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
O•••• C•••••• M••••••••• L••
Legal name O•••• C•••••• M•••••••••
Latest filing Mar 17, 2026
First filing on the tape Mar 2, 2021 · 7 filings
SEC status approved since Apr 2, 2021
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$140M as of Mar 17, 2026
Mar 22, 2022$115M then
HNW client RAUM$87.2M as of Mar 17, 2026
Mar 22, 2022$77.0M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 22, 20222 then
Employees (5.A)2 as of Mar 17, 2026
Mar 22, 20222 then
Private funds: no history
RAUM +10% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $246,020derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $61.5M, 118 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$87.2M62%
- Individuals$31.9M23%
- Pension and profit-sharing plans$20.4M15%
- Charitable organizations$167,1480.1%
- Individual clients
- 106reported
- HNW clients
- 54reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 568reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.5M for 118 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• M• B•••••Certified Financial Planner | Flanders, Nj | Jan 1, 2026 | 32 y | 1 |
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
- B•••••• S•••••• M• · Managing Principal & Chief Compliance Officercontrolsince 02/1999 · owns 75% or more
- B•••••• J•••••••• B••• · Office Assistantsince 01/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 17, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $126,970,439 to $139,739,351, advisors 1 to 1, private clients 213 to 160, offices 0 to 0 (2025-03-22 to 2026-03-17)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 562 to 568Mar 22, 2025 to Mar 17, 2026
- HNW clients · 119 to 54Mar 22, 2025 to Mar 17, 2026
- Individual clients · 94 to 106Mar 22, 2025 to Mar 17, 2026
- Pension plan clients · 12 to 11Mar 22, 2025 to Mar 17, 2026
- Assets in custody · $59.8M to $61.5MMar 22, 2025 to Mar 17, 2026
- Discretionary RAUM · $127M to $140MMar 22, 2025 to Mar 17, 2026
- HNW RAUM · $87.5M to $87.2MMar 22, 2025 to Mar 17, 2026
- Individual RAUM · $16.3M to $31.9MMar 22, 2025 to Mar 17, 2026
- Pension RAUM · $23.1M to $20.4MMar 22, 2025 to Mar 17, 2026
- RAUM · $127M to $140MMar 22, 2025 to Mar 17, 2026
- Accounts · 574 to 562Mar 19, 2024 to Mar 22, 2025
- Advisory employees · 2 to 1Mar 19, 2024 to Mar 22, 2025
- Advisory activities · 3 to 2Mar 19, 2024 to Mar 22, 2025
- HNW clients · 76 to 119Mar 19, 2024 to Mar 22, 2025
- Individual clients · 87 to 94Mar 19, 2024 to Mar 22, 2025
- Pension plan clients · 15 to 12Mar 19, 2024 to Mar 22, 2025
- Assets in custody · $62.6M to $59.8MMar 19, 2024 to Mar 22, 2025
- Employees · 3 to 2Mar 19, 2024 to Mar 22, 2025
- Financial planning clients · 0 to 101-250Mar 19, 2024 to Mar 22, 2025
- State-registered IARs · 2 to 1Mar 19, 2024 to Mar 22, 2025
- Other offices · 1 to 0Mar 19, 2024 to Mar 22, 2025
- Discretionary RAUM · $113M to $127MMar 19, 2024 to Mar 22, 2025
- HNW RAUM · $77.6M to $87.5MMar 19, 2024 to Mar 22, 2025
- Individual RAUM · $14.3M to $16.3MMar 19, 2024 to Mar 22, 2025
- Pension RAUM · $21.0M to $23.1MMar 19, 2024 to Mar 22, 2025
- RAUM · $113M to $127MMar 19, 2024 to Mar 22, 2025
- Accounts · 651 to 574Mar 21, 2023 to Mar 19, 2024
- Advisory activities · 2 to 3Mar 21, 2023 to Mar 19, 2024
- Charity clients · 1.0 to unsetMar 21, 2023 to Mar 19, 2024
- HNW clients · 114 to 76Mar 21, 2023 to Mar 19, 2024
- Individual clients · 99 to 87Mar 21, 2023 to Mar 19, 2024
- Assets in custody · $53.1M to $62.6MMar 21, 2023 to Mar 19, 2024
- Discretionary RAUM · $95.7M to $113MMar 21, 2023 to Mar 19, 2024
- HNW RAUM · $66.5M to $77.6MMar 21, 2023 to Mar 19, 2024
- Individual RAUM · $12.3M to $14.3MMar 21, 2023 to Mar 19, 2024
- Pension RAUM · $16.9M to $21.0MMar 21, 2023 to Mar 19, 2024
- RAUM · $95.7M to $113MMar 21, 2023 to Mar 19, 2024
- Accounts · 566 to 651Mar 22, 2022 to Mar 21, 2023
- Charity clients · unset to 1.0Mar 22, 2022 to Mar 21, 2023
- HNW clients · 69 to 114Mar 22, 2022 to Mar 21, 2023
Signals
1 dated events
- O•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 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
- O••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-927-8388reportedpublic record, Form ADV, Mar 17, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026