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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Former SEC-registered adviser

P•••••••• E••••••••• I•••

Former SEC-registered adviserWarren, New JerseyCRD 129123SEC 801-70015IAPD
Latest filing Apr 4, 2022
First filing on the tape Mar 12, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
45
37 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 4, 2022
Mar 12, 20120 then
Employees (5.A)45 as of Apr 4, 2022
Mar 13, 201343 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 4, 2022; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
204reported
Charitable clients
16reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• M••••••• A••• · Co-Foundercontrol
        since 09/1992 · owns 25% to 50%
      • T••••••••• R•••••• · Co-Foundercontrol
        since 09/1992 · owns 25% to 50%
      • T•••• A•••••• T••••• · Chief Compliance Officer/Co-Foundercontrol
        since 09/1992 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 26, 2021 to Mar 24, 2022
      • Related broker-dealer · false to true
        Mar 26, 2021 to Mar 24, 2022
      • Charity clients · 14 to 16
        Oct 15, 2020 to Mar 10, 2021
      • Pension plan clients · 199 to 204
        Oct 15, 2020 to Mar 10, 2021
      • Employees · 46 to 45
        Oct 15, 2020 to Mar 10, 2021
      • Advisory employees · 38 to 37
        Mar 14, 2019 to Mar 6, 2020
      • Charity clients · 15 to 14
        Mar 14, 2019 to Mar 6, 2020
      • Pension plan clients · 193 to 199
        Mar 14, 2019 to Mar 6, 2020
      • Advisory employees · 34 to 38
        Mar 16, 2018 to Mar 14, 2019
      • Charity clients · 11 to 15
        Mar 16, 2018 to Mar 14, 2019
      • Pension plan clients · 199 to 193
        Mar 16, 2018 to Mar 14, 2019
      • Employees · 42 to 46
        Mar 16, 2018 to Mar 14, 2019
      • Pension RAUM · unset to 0.0
        Mar 16, 2018 to Mar 14, 2019
      • Advisory employees · 37 to 34
        Mar 13, 2017 to Mar 16, 2018
      • Charity clients · unset to 11.0
        Mar 13, 2017 to Mar 16, 2018
      • Corporate clients · unset to 0.0
        Mar 13, 2017 to Mar 16, 2018
      • HNW clients · unset to 0.0
        Mar 13, 2017 to Mar 16, 2018
      • Individual clients · unset to 0.0
        Mar 13, 2017 to Mar 16, 2018
      • Pension plan clients · unset to 199.0
        Mar 13, 2017 to Mar 16, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 13, 2017 to Mar 16, 2018
      • Employees · 45 to 42
        Mar 13, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        Mar 13, 2017 to Mar 16, 2018
      • Advisory employees · 38 to 37
        Mar 21, 2016 to Mar 13, 2017
      • Employees · 43 to 45
        Mar 21, 2016 to Mar 13, 2017
      • Advisory employees · 37 to 38
        Mar 25, 2015 to Mar 21, 2016
      • Employees · 42 to 43
        Mar 25, 2015 to Mar 21, 2016
      • Advisory employees · 38 to 37
        Mar 5, 2014 to Mar 25, 2015
      • Employees · 43 to 42
        Mar 5, 2014 to Mar 25, 2015
      • Advisory employees · unset to 38.0
        Mar 12, 2012 to Mar 13, 2013
      • Employees · unset to 43.0
        Mar 12, 2012 to Mar 13, 2013
      Signals
      3 dated events
      • A••••• T••••• T••• left P•••••••• E••••••••• I••• for C••••••• (registered 2022-03-25)
        Aug 30, 2022 · Advisor changed firm · fact
      • M•••••• A••• S•••• left P•••••••• E••••••••• I••• for C••••••• (registered 2022-03-30)
        Aug 30, 2022 · Advisor changed firm · fact
      • 2 advisors left P•••••••• E••••••••• I••• for C••••••• on the same day
        Aug 30, 2022 · Team lift-out · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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