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
F•••••••• F••••••
Legal name F•••••••• F•••••• L•••••• L•••••••• C••••••
Latest filing Mar 18, 2026
First filing on the tape Feb 26, 2021 · 11 filings
SEC status approved since Mar 29, 2021
RAUM
$270M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$264M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$270M as of Mar 18, 2026
Mar 10, 2022$173M then
HNW client RAUM$217M as of Mar 18, 2026
Mar 10, 2022$123M then
State-registered IARs (5.B.3)4 as of Mar 18, 2026
Mar 10, 20222 then
Employees (5.A)5 as of Mar 18, 2026
Mar 10, 20223 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $356,362derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M80%
- Individuals$46.1M17%
- Charitable organizations$6.4M2.4%
- Pension and profit-sharing plans$523,0000.2%
- Individual clients
- 115reported
- HNW clients
- 89reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 759reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• M•••• G•••••••• | Las Vegas, Nv | Sep 29, 2025 | 10 y | 0 |
| J•••• B•••••• J••••••Certified Financial Planner | Brielle, Nj | Nov 10, 2025 | 23 y | 0 |
| E••• T••• F••••••Certified Financial Planner | Wall Township, Nj | Dec 3, 2025 | 23 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- E••• T••• F•••••• from O•••• F••••••••• L••Dec 3, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• J••••• B•••••• · President And Ccocontrolsince 09/2003 · 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 |
|---|---|---|---|---|---|
| Brielle, Nj · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 679 to 759Mar 7, 2025 to Mar 18, 2026
- HNW clients · 75 to 89Mar 7, 2025 to Mar 18, 2026
- Individual clients · 103 to 115Mar 7, 2025 to Mar 18, 2026
- Discretionary RAUM · $217M to $270MMar 7, 2025 to Mar 18, 2026
- HNW RAUM · $169M to $217MMar 7, 2025 to Mar 18, 2026
- Individual RAUM · $41.6M to $46.1MMar 7, 2025 to Mar 18, 2026
- Pension RAUM · $383,164 to $523,000Mar 7, 2025 to Mar 18, 2026
- RAUM · $217M to $270MMar 7, 2025 to Mar 18, 2026
- Accounts · 636 to 679May 10, 2024 to Mar 7, 2025
- HNW clients · 59 to 75May 10, 2024 to Mar 7, 2025
- Individual clients · 108 to 103May 10, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250May 10, 2024 to Mar 7, 2025
- Discretionary RAUM · $196M to $217MMay 10, 2024 to Mar 7, 2025
- HNW RAUM · $140M to $169MMay 10, 2024 to Mar 7, 2025
- Individual RAUM · $49.6M to $41.6MMay 10, 2024 to Mar 7, 2025
- Pension RAUM · $359,786 to $383,164May 10, 2024 to Mar 7, 2025
- RAUM · $196M to $217MMay 10, 2024 to Mar 7, 2025
- Accounts · 623 to 636Mar 26, 2024 to May 10, 2024
- HNW clients · 65 to 59Mar 26, 2024 to May 10, 2024
- Individual clients · 99 to 108Mar 26, 2024 to May 10, 2024
- Discretionary RAUM · $182M to $196MMar 26, 2024 to May 10, 2024
- HNW RAUM · $136M to $140MMar 26, 2024 to May 10, 2024
- Individual RAUM · $41.1M to $49.6MMar 26, 2024 to May 10, 2024
- Pension RAUM · $317,856 to $359,786Mar 26, 2024 to May 10, 2024
- RAUM · $182M to $196MMar 26, 2024 to May 10, 2024
- Accounts · 605 to 623Sep 27, 2023 to Mar 26, 2024
- Advisory employees · 2 to 4Sep 27, 2023 to Mar 26, 2024
- Advisory activities · 2 to 3Sep 27, 2023 to Mar 26, 2024
- Charity clients · 0 to 1Sep 27, 2023 to Mar 26, 2024
- HNW clients · 52 to 65Sep 27, 2023 to Mar 26, 2024
- Individual clients · 103 to 99Sep 27, 2023 to Mar 26, 2024
- Pension plan clients · 0 to 1Sep 27, 2023 to Mar 26, 2024
- State-registered IARs · 2 to 4Sep 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $155M to $182MSep 27, 2023 to Mar 26, 2024
- HNW RAUM · $109M to $136MSep 27, 2023 to Mar 26, 2024
- Individual RAUM · $46.1M to $41.1MSep 27, 2023 to Mar 26, 2024
- Pension RAUM · $231,003 to $317,856Sep 27, 2023 to Mar 26, 2024
- RAUM · $155M to $182MSep 27, 2023 to Mar 26, 2024
- Accounts · 570 to 605Mar 10, 2022 to Mar 13, 2023
- Advisory employees · 3 to 2Mar 10, 2022 to Mar 13, 2023
Signals
1 dated events
- F•••••••• F•••••• filed its initial SEC registration (Form ADV)Feb 26, 2021 · First SEC registration · fact
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
- Website
- FINANCIAL-F••••••-LLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 732-722-7289reportedpublic record, Form ADV, Mar 18, 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
- $90.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026