DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P••••••• A•••• S••••••••• I•••
Latest filing Jun 15, 2026
First filing on the tape Sep 4, 2012 · 20 filings
SEC status approved since Nov 12, 2004
RAUM
$50.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$40.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$50.6M as of Jun 15, 2026
Sep 4, 2012$27.9M then
HNW client RAUM$30.5M as of Jun 15, 2026
Jul 6, 2018$26.1M then
State-registered IARs (5.B.3)0 as of Jun 15, 2026
Sep 4, 20120 then
Employees (5.A)3 as of Jun 15, 2026
Jul 12, 20134 then
Private funds: no history
RAUM +46% over the last fiscal year+10% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $472,787derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.3M, 20 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$30.5M76%
- Individuals$9.8M24%
- Individual clients
- 22reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 107reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••••••• B•••• · Chief Compliance Officer, Secretary And Directorcontrolsince 04/1991 · owns less than 5%
- G•••••• L•••••• M••••• · President And Directorcontrolsince 04/1991 · owns 75% or more
Related persons
Schedule D 7.A
- J•••••• B• G•••••n
Offices
Schedule D 1.F, the 25 largest
- Livingston, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 105 to 107Jun 19, 2025 to Jun 15, 2026
- Other offices · 1 to 0Jun 19, 2025 to Jun 15, 2026
- Discretionary RAUM · $40.3M to $50.6MJun 19, 2025 to Jun 15, 2026
- HNW RAUM · $25.5M to $30.5MJun 19, 2025 to Jun 15, 2026
- Individual RAUM · $6.8M to $9.8MJun 19, 2025 to Jun 15, 2026
- RAUM · $40.3M to $50.6MJun 19, 2025 to Jun 15, 2026
- Accounts · 112 to 105Jul 30, 2024 to Jun 19, 2025
- Assets in custody · $3.7M to $2.3MJul 30, 2024 to Jun 19, 2025
- Financial planning clients · 26-50 to 26-50Jul 30, 2024 to Jun 19, 2025
- Discretionary RAUM · $38.9M to $40.3MJul 30, 2024 to Jun 19, 2025
- HNW RAUM · $26.1M to $25.5MJul 30, 2024 to Jun 19, 2025
- Individual RAUM · $6.2M to $6.8MJul 30, 2024 to Jun 19, 2025
- RAUM · $38.9M to $40.3MJul 30, 2024 to Jun 19, 2025
- Accounts · 120 to 112Jul 31, 2023 to Jul 30, 2024
- HNW clients · 24 to 18Jul 31, 2023 to Jul 30, 2024
- Individual clients · 34 to 22Jul 31, 2023 to Jul 30, 2024
- Employees · 4 to 3Jul 31, 2023 to Jul 30, 2024
- Discretionary RAUM · $34.8M to $38.9MJul 31, 2023 to Jul 30, 2024
- HNW RAUM · $25.2M to $26.1MJul 31, 2023 to Jul 30, 2024
- Individual RAUM · $4.4M to $6.2MJul 31, 2023 to Jul 30, 2024
- RAUM · $34.8M to $38.9MJul 31, 2023 to Jul 30, 2024
- Accounts · 130 to 120May 31, 2022 to Jul 31, 2023
- Assets in custody · $3.7M to $3.7MMay 31, 2022 to Jul 31, 2023
- Employees · 5 to 4May 31, 2022 to Jul 31, 2023
- Discretionary RAUM · $36.7M to $34.8MMay 31, 2022 to Jul 31, 2023
- HNW RAUM · $27.4M to $25.2MMay 31, 2022 to Jul 31, 2023
- Individual RAUM · $4.6M to $4.4MMay 31, 2022 to Jul 31, 2023
- RAUM · $36.7M to $34.8MMay 31, 2022 to Jul 31, 2023
- Assets in custody · $3.7M to $3.7MJun 15, 2021 to May 31, 2022
- Discretionary RAUM · $37.8M to $36.7MJun 15, 2021 to May 31, 2022
- HNW RAUM · $29.1M to $27.4MJun 15, 2021 to May 31, 2022
- Individual RAUM · $4.5M to $4.6MJun 15, 2021 to May 31, 2022
- RAUM · $37.8M to $36.7MJun 15, 2021 to May 31, 2022
- Accounts · 137 to 130Jun 29, 2020 to Jun 15, 2021
- Assets in custody · $4.9M to $3.7MJun 29, 2020 to Jun 15, 2021
- Discretionary RAUM · $31.8M to $37.8MJun 29, 2020 to Jun 15, 2021
- HNW RAUM · $24.8M to $29.1MJun 29, 2020 to Jun 15, 2021
- Individual RAUM · $3.8M to $4.5MJun 29, 2020 to Jun 15, 2021
- RAUM · $31.8M to $37.8MJun 29, 2020 to Jun 15, 2021
- Accounts · 138 to 137May 31, 2019 to Jun 25, 2020
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@pasfinance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-248-8811reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-248-1183reportedpublished by the firm, firm site, Sep 16, 2026
- f••• website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-248-8811reportedpublic record, Form ADV, Jun 15, 2026
- Contact form
- pasfinance.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026