DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••• F•••••••• S••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 30, 2021 · 10 filings
SEC status approved since Apr 30, 2021
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$156M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$156M as of Apr 15, 2026
Mar 31, 2022$133M then
HNW client RAUM$125M as of Apr 15, 2026
Mar 31, 2022$108M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Mar 31, 20221 then
Employees (5.A)2 as of Apr 15, 2026
Mar 31, 20222 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 15, 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
- $77.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $384,320derivedRAUM 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
- +14%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M80%
- Individuals$31.1M20%
- Individual clients
- 92reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 405reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• A••••• G••••••• | Denver, Co | Jun 21, 2021 | 29 y | 0 |
| K•••••• P•••••• L••••••Certified Financial Planner | Manasquan, Nj | Apr 20, 2026 | 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• E••••• D• · Membercontrolsince 05/1997 · owns 50% to 75%
- L••••••• K••••••• P•••••• · Ccocontrolsince 05/1997 · owns 50% to 75%
Related persons
Schedule D 7.A
- K•• F•••••••• S••••••• G••••• L•••••investment advisernRAUM $23.2M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Manasquan, Nj · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 382 to 405Mar 30, 2025 to Mar 29, 2026
- HNW clients · 31 to 39Mar 30, 2025 to Mar 29, 2026
- Individual clients · 83 to 92Mar 30, 2025 to Mar 29, 2026
- Discretionary RAUM · $137M to $156MMar 30, 2025 to Mar 29, 2026
- HNW RAUM · $106M to $125MMar 30, 2025 to Mar 29, 2026
- Individual RAUM · $30.6M to $31.1MMar 30, 2025 to Mar 29, 2026
- RAUM · $137M to $156MMar 30, 2025 to Mar 29, 2026
- Accounts · 379 to 382Mar 29, 2024 to Mar 30, 2025
- Individual clients · 88 to 83Mar 29, 2024 to Mar 30, 2025
- Pooled vehicle clients · 0.0 to unsetMar 29, 2024 to Mar 30, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $125M to $137MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $92.5M to $106MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $30.5M to $30.6MMar 29, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 29, 2024 to Mar 30, 2025
- RAUM · $125M to $137MMar 29, 2024 to Mar 30, 2025
- State-registered IARs · 1 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $103M to $125MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $80.8M to $92.5MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $17.8M to $30.5MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · 3448875.0 to unsetMar 31, 2023 to Mar 29, 2024
- RAUM · $103M to $125MMar 31, 2023 to Mar 29, 2024
- Accounts · 367 to 379Mar 31, 2023 to Mar 29, 2024
- HNW clients · 36 to 31Mar 31, 2023 to Mar 29, 2024
- Individual clients · 79 to 88Mar 31, 2023 to Mar 29, 2024
- Insurance-licensed employees · 1 to 2Mar 31, 2023 to Mar 29, 2024
- Accounts · 350 to 367Mar 31, 2022 to Mar 31, 2023
- Charity clients · 2.0 to unsetMar 31, 2022 to Mar 31, 2023
- Corporate clients · 1.0 to unsetMar 31, 2022 to Mar 31, 2023
- HNW clients · 37 to 36Mar 31, 2022 to Mar 31, 2023
- Individual clients · 76 to 79Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 2.0 to unsetMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $133M to $103MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $108M to $80.8MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $20.5M to $17.8MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $3.6M to $3.4MMar 31, 2022 to Mar 31, 2023
- RAUM · $133M to $103MMar 31, 2022 to Mar 31, 2023
- Accounts · 101 to 350Apr 28, 2021 to Mar 31, 2022
- Charity clients · 0 to 2Apr 28, 2021 to Mar 31, 2022
- Corporate clients · 0 to 1Apr 28, 2021 to Mar 31, 2022
Signals
1 dated events
- P••••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 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
- Principal office phone
- 732-722-7912reportedpublic record, Form ADV, Apr 15, 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
- $77.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026