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
A•••• M••••••••• C••••••••• S•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since Oct 24, 2003
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
14%
$19.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$144M as of Mar 27, 2026
Mar 29, 2012$122M then
HNW client RAUM$19.9M as of Mar 27, 2026
Mar 30, 2018$68.0M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 27, 2026
Mar 27, 20132 then
Private funds5 as of Mar 27, 2026
Mar 29, 20125 then
RAUM +2.5% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 5.G
- Custody
- $124M, 5 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$124M86%
- High-net-worth individuals$19.9M14%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $124M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.14 fund_share=0.86 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S••••• A••••••• | Livingston, Nj | Oct 18, 2004 | 31 y | 0 |
| K•••• B•••• A••••••• | Livingston, Nj | Oct 18, 2004 | 30 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• O••••••••• F••• L•• | Hedge Fund | $38.4M | 36 | Mar 29, 2012 |
| I••••••••• I•••••••• F••• L• | Other Private Fund | $20.0M | 47 | Mar 29, 2012 |
| I••••••••• I•••••••• R••••••••• F••• L• | Other Private Fund | $18.4M | 40 | Mar 29, 2012 |
| I••••••••• P••••••• R••••••••• F••• L• | Other Private Fund | $15.2M | 30 | Mar 29, 2012 |
| I••••••••• P••••••• F••• L• | Other Private Fund | $15.0M | 37 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• B••••• S••••• · Chief Executive Officercontrolsince 01/1995 · owns 10% to 25%
- A•••••••• K••••• B•••• · Chief Compliance Officercontrolsince 06/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Livingston, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 35 to 36Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $122M to $124MMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $141M to $144MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $18.3M to $19.9MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $122M to $124MMar 28, 2025 to Mar 27, 2026
- RAUM · $141M to $144MMar 28, 2025 to Mar 27, 2026
- Accounts · 11 to 35Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $107M to $122MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $122M to $141MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $14.6M to $18.3MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $107M to $122MMar 27, 2024 to Mar 28, 2025
- RAUM · $122M to $141MMar 27, 2024 to Mar 28, 2025
- Assets in custody · $90.4M to $107MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $102M to $122MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $11.3M to $14.6MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $90.4M to $107MMar 30, 2023 to Mar 27, 2024
- RAUM · $102M to $122MMar 30, 2023 to Mar 27, 2024
- Accounts · 9 to 11Mar 30, 2022 to Mar 30, 2023
- HNW clients · 4 to 6Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $123M to $90.4MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $138M to $102MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $15.3M to $11.3MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $123M to $90.4MMar 30, 2022 to Mar 30, 2023
- RAUM · $138M to $102MMar 30, 2022 to Mar 30, 2023
- Accounts · 33 to 9Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $103M to $123MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $116M to $138MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $12.6M to $15.3MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $103M to $123MMar 30, 2021 to Mar 30, 2022
- RAUM · $116M to $138MMar 30, 2021 to Mar 30, 2022
- Accounts · 41 to 33Jul 31, 2020 to Mar 30, 2021
- HNW clients · 8 to 4Jul 31, 2020 to Mar 30, 2021
- Assets in custody · $83.3M to $103MJul 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $93.4M to $116MJul 31, 2020 to Mar 30, 2021
- HNW RAUM · $10.1M to $12.6MJul 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $83.3M to $103MJul 31, 2020 to Mar 30, 2021
- RAUM · $93.4M to $116MJul 31, 2020 to Mar 30, 2021
- Accounts · 87 to 41Jun 26, 2020 to Jul 31, 2020
- HNW clients · 47 to 8Jun 26, 2020 to Jul 31, 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
- Principal office phone
- 212-628-7800reportedpublic record, Form ADV, Mar 27, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $72.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026