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

G••••••••• C•••••• M•••••••••

Former SEC-registered adviserSummit, New JerseyCRD 130889SEC 801-62976IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 26, 2012 · 3 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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: $325M
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2013
Mar 26, 20120 then
Employees (5.A): 6
Private funds: 1
RAUM n/a over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Mar 28, 2013; 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
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••• S•••••• B•••••• · Chief Compliance Officer/Co-Chief Investment Officercontrol
    since 06/2011 · owns 75% or more
  • M•••• S•••••• B•••••• · Sole Membercontrol
    since 01/1990 · owns F of W• H• M••• A••••••••• I•••
Entity owners
  • W• H• M••• A••••••••• I••• · Sole Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1.0 to unset
    Jun 28, 2012 to Mar 28, 2013
  • Advisory employees · unset to 4.0
    Jun 28, 2012 to Mar 28, 2013
  • BD registered reps · unset to 6.0
    Jun 28, 2012 to Mar 28, 2013
  • Employees · unset to 6.0
    Jun 28, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 2
    Jun 28, 2012 to Mar 28, 2013
  • Private funds · 1 to unset
    Jun 28, 2012 to Mar 28, 2013
  • Discretionary RAUM · 300000000.0 to unset
    Jun 28, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · 0.0 to unset
    Jun 28, 2012 to Mar 28, 2013
  • RAUM · 300000000.0 to unset
    Jun 28, 2012 to Mar 28, 2013
  • Accounts · 75 to 1
    Mar 26, 2012 to Jun 28, 2012
  • Advisory activities · 4 to 1
    Mar 26, 2012 to Jun 28, 2012
  • Discretionary RAUM · $325M to $300M
    Mar 26, 2012 to Jun 28, 2012
  • RAUM · $325M to $300M
    Mar 26, 2012 to Jun 28, 2012
  • Related bank · false to true
    Mar 26, 2012 to Jun 28, 2012
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.
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