DFX Intelligence

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O•• W••••• M•••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $183M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $183M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +19%
Private clients: 98%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-02-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Feb 2026, RAUM $153M to $183M (+19.5%) on the Form ADV filed 25 Feb 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 133846 · SEC 801-130612 · 3 filingsShow

CRD 133846SEC 801-130612Legal name O•• F•••••••• P•••••••• L••First filing on the tape Jun 4, 2024, latest Feb 25, 2026SEC status approved since Jul 1, 2024IAPD

RAUM

$183M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$179M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$91.4M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

RAUM +19% over the last fiscal year · the tape starts Jun 4, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$183M as of Feb 25, 2026

Feb 27, 2025$153M then

HNW client RAUM$148M as of Feb 25, 2026

Feb 27, 2025$126M then

State-registered IARs (5.B.3)2 as of Feb 25, 2026

Feb 27, 20252 then

Employees (5.A)2 as of Feb 25, 2026

Feb 27, 20252 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Feb 25, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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

RAUM per advisor: $91.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.7MderivedHNW RAUM over HNW clients
Average account: $495,463derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $170,731, 1 clientreportedItem 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)
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

81% high-net-worth individuals, 17% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$148M81%
Individuals$30.5M17%
Charitable organizations$3.3M1.8%
Corporations and businesses$593,6390.3%

Individual clients: 59reported
HNW clients: 40reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 369reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: $170,731 for 1 clientreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 98% private clients, 0% pooled funds, 2% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J•••••• R•••••• W•••••Certified Financial Planner	Short Hills, Nj	Feb 16, 2005	39 y	0
E•••• M••••••• J••••Certified Financial Planner	Short Hills, Nj	Oct 18, 2017	24 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••• E••••• M••••••• · Presidentcontrol
since 03/2022 · owns 50% to 75%
W•••••• J••••••• R•••••• · President; Chief Compliance Officer; Chief Investment Officercontrol
since 01/2005 · owns 50% to 75%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

13F holdings

quarter ended Jun 30, 2026, filed Aug 5, 2026

Reported value: $113M+10.6% on Mar 31, 2026 ($102M)reportedsec.gov
Positions: 57 in 34 issuers0.0% on the quarterreported
Concentration: top 10 issuers 84%, largest 23%derivedlargest: Vanguard Index Fds
Filed as: O•• F•••••••• P•••••••• L••reportedmatched by the 13F filer reports this CRD

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Short Hills, Nj	2	0	0

Offices

Schedule D 1.F, the 25 largest

Short Hills, NJ2 employees
, 1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Feb 25, 2026
custody of client assets (Item 9.A): no on the filing of 2025-02-27, yes on the filing of 2026-02-25
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 337 to 369
Feb 27, 2025 to Feb 25, 2026
HNW clients · 37 to 40
Feb 27, 2025 to Feb 25, 2026
Individual clients · 55 to 59
Feb 27, 2025 to Feb 25, 2026
Assets in custody · unset to 170731.0
Feb 27, 2025 to Feb 25, 2026
Custody of client assets · false to true
Feb 27, 2025 to Feb 25, 2026

Full history · 19 changes

Financial planning clients · 1-10 to 11-25
Feb 27, 2025 to Feb 25, 2026
Discretionary RAUM · $153M to $183M
Feb 27, 2025 to Feb 25, 2026
HNW RAUM · $126M to $148M
Feb 27, 2025 to Feb 25, 2026
Individual RAUM · $23.4M to $30.5M
Feb 27, 2025 to Feb 25, 2026
RAUM · $153M to $183M
Feb 27, 2025 to Feb 25, 2026
Accounts · 299 to 337
Jun 4, 2024 to Feb 27, 2025
Individual clients · 53 to 55
Jun 4, 2024 to Feb 27, 2025
Financial planning clients · 51-100 to 1-10
Jun 4, 2024 to Feb 27, 2025
HQ city · unset to
Jun 4, 2024 to Feb 27, 2025
HQ state · unset to
Jun 4, 2024 to Feb 27, 2025
Discretionary RAUM · $122M to $153M
Jun 4, 2024 to Feb 27, 2025
HNW RAUM · $99.2M to $126M
Jun 4, 2024 to Feb 27, 2025
Individual RAUM · $19.4M to $23.4M
Jun 4, 2024 to Feb 27, 2025
RAUM · $122M to $153M
Jun 4, 2024 to Feb 27, 2025

Signals

1 dated events

••• Locked
Jun 4, 2024 · 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 25, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 25, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $91.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026