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

W••••• H•••••• L••

Former SEC-registered adviserRoseland, New JerseyCRD 130951SEC 801-64171IAPD
Latest filing Mar 17, 2020
First filing on the tape Dec 1, 2011 · 12 filings
RAUM
$399M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$398M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$399M as of Mar 17, 2020
Mar 27, 2012$126M then
HNW client RAUM$349M as of Mar 17, 2020
Feb 27, 2018$369M then
State-registered IARs (5.B.3)3 as of Mar 17, 2020
Mar 27, 20120 then
Employees (5.A)7 as of Mar 17, 2020
Apr 1, 20133 then
Private funds: no history
RAUM +4.2% over the last fiscal year+1.0% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 17, 2020; every figure names its basis
RAUM per advisor
$133MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.4MderivedHNW RAUM over HNW clients
Average account
$435,377derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.2%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$71.2M, 87 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
  • 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)
  • 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$349M87%
  • Individuals$49.4M12%
  • Pension and profit-sharing plans$1.2M0.3%
Individual clients
113reported
HNW clients
103reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
917reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$71.2M for 87 clientsreported
Compensation
% of AUM, fixedreported
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
Left, latest
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
    • C••••• R••••••• N•• · Managing Director And Chief Compliance Officercontrol
      since 10/2003 · owns 50% to 75%
    • G•••••••• D••••• P•••••• · Managing Directorcontrol
      since 04/2004 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 201 to 917
      Feb 1, 2019 to Mar 17, 2020
    • HNW clients · 117 to 103
      Feb 1, 2019 to Mar 17, 2020
    • Individual clients · 83 to 113
      Feb 1, 2019 to Mar 17, 2020
    • Pension plan clients · 0.0 to unset
      Feb 1, 2019 to Mar 17, 2020
    • Assets in custody · $43.9M to $71.2M
      Feb 1, 2019 to Mar 17, 2020
    • State-registered IARs · 4 to 3
      Feb 1, 2019 to Mar 17, 2020
    • Discretionary RAUM · $383M to $391M
      Feb 1, 2019 to Mar 17, 2020
    • HNW RAUM · $323M to $349M
      Feb 1, 2019 to Mar 17, 2020
    • Individual RAUM · $60.6M to $49.4M
      Feb 1, 2019 to Mar 17, 2020
    • Non-discretionary RAUM · $0 to $8.0M
      Feb 1, 2019 to Mar 17, 2020
    • Pension RAUM · $0 to $1.2M
      Feb 1, 2019 to Mar 17, 2020
    • RAUM · $383M to $399M
      Feb 1, 2019 to Mar 17, 2020
    • Accounts · 1,006 to 201
      Mar 6, 2018 to Feb 1, 2019
    • HNW clients · 105 to 117
      Mar 6, 2018 to Feb 1, 2019
    • Individual clients · 111 to 83
      Mar 6, 2018 to Feb 1, 2019
    • Assets in custody · $23.8M to $43.9M
      Mar 6, 2018 to Feb 1, 2019
    • Financial planning clients · 101-250 to 51-100
      Mar 6, 2018 to Feb 1, 2019
    • Discretionary RAUM · $420M to $383M
      Mar 6, 2018 to Feb 1, 2019
    • HNW RAUM · $369M to $323M
      Mar 6, 2018 to Feb 1, 2019
    • Individual RAUM · $56.5M to $60.6M
      Mar 6, 2018 to Feb 1, 2019
    • Non-discretionary RAUM · $6.1M to $0
      Mar 6, 2018 to Feb 1, 2019
    • RAUM · $426M to $383M
      Mar 6, 2018 to Feb 1, 2019
    • Accounts · 1,050 to 1,006
      Mar 15, 2017 to Feb 27, 2018
    • Advisory employees · 6 to 4
      Mar 15, 2017 to Feb 27, 2018
    • Charity clients · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • Corporate clients · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • HNW clients · unset to 105.0
      Mar 15, 2017 to Feb 27, 2018
    • Individual clients · unset to 111.0
      Mar 15, 2017 to Feb 27, 2018
    • Pension plan clients · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • Assets in custody · unset to 23833252.0
      Mar 15, 2017 to Feb 27, 2018
    • Custody of client assets · false to true
      Mar 15, 2017 to Feb 27, 2018
    • Other offices · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • Discretionary RAUM · $387M to $420M
      Mar 15, 2017 to Feb 27, 2018
    • HNW RAUM · unset to 369335071.0
      Mar 15, 2017 to Feb 27, 2018
    • Individual RAUM · unset to 56506175.0
      Mar 15, 2017 to Feb 27, 2018
    • Non-discretionary RAUM · $0 to $6.1M
      Mar 15, 2017 to Feb 27, 2018
    • Pension RAUM · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 15, 2017 to Feb 27, 2018
    • RAUM · $387M to $426M
      Mar 15, 2017 to Feb 27, 2018
    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