DFX Intelligence

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M••••••• A••••••• C•••••••••

STATE REGISTEREDFormer SEC adviserwebsite

State Registered, reporting $33.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $33.1M
Private clients: 71%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 128920 · 1 filingShow

CRD 128920First filing on the tape Mar 30, 2026, latest Mar 30, 2026IAPD

RAUM

$33.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

71%

$23.3M individuals and HNW

Advisors

n/a

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

0 filings and snapshots on the tape

Filed figures over time

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3): no history

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $6.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 10derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $611,877derivedHNW RAUM over HNW clients
Average account: $551,387derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

54% high-net-worth individuals, 17% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$17.7M54%
Individuals$5.6M17%
Corporations and businesses$5.4M16%
Other investment advisers$3.9M12%
Pooled investment vehicles$464,4461.4%

Individual clients: 19reported
HNW clients: 29reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 60reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourly, performancereported
Class basis: on the IAPD state feed, not SEC-registeredderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

C•••••••• I••••••••• R••••••• A•••••••• I•••1 advisor

Left, latest

N••••• B•••••• M••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
Jan 4, 2007 · Other

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
L••••••• G•••• M•••••••	Randolph, Nj	Feb 17, 2005	35 y
R••• S•••• B••••••	Randolph, Nj	Dec 11, 2006	21 y
G•••••• R••••• D••••••	Randolph, Nj	Sep 19, 2017	15 y
M••• J••••• M••••••••	Randolph, Nj	Oct 25, 2022	21 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

No Schedule A on the extract for this adviser.

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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
Randolph, Nj	4	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (2), Facebook (1), X (Twitter) (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 15, 2026Show

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: STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 15, 2026