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

R•• I••••••••• L••

Former SEC-registered adviserSummit, New JerseyCRD 134261SEC 801-63947IAPD
Latest filing Mar 21, 2019
First filing on the tape Jan 6, 2012 · 15 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$2.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.2B as of Mar 21, 2019
Jan 27, 2012$1.3B then
HNW client RAUM$1.6B as of Mar 21, 2019
Mar 14, 2018$1.7B then
State-registered IARs (5.B.3)2 as of Mar 21, 2019
Jan 27, 20120 then
Employees (5.A)10 as of Mar 21, 2019
Jan 29, 20138 then
Private funds: no history
RAUM -2.5% over the last fiscal year+2.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
RAUM per advisor
$1.1BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
657derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.9%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.6B73%
  • Individuals$496M22%
  • Insurance companies$111M5.0%
Individual clients
892reported
HNW clients
422reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,543reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $2.2B managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••• R•••••• S••••• · Ceo/Cio/Ccocontrol
        since 01/2005 · owns 75% or more
      • W•••••• M••••••• T••••• · Member
        since 02/2009 · owns 5% to 10%
      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 · 1,572 to 1,543
        Mar 14, 2018 to Mar 21, 2019
      • HNW clients · 479 to 422
        Mar 14, 2018 to Mar 21, 2019
      • Individual clients · 888 to 892
        Mar 14, 2018 to Mar 21, 2019
      • Employees · 11 to 10
        Mar 14, 2018 to Mar 21, 2019
      • Discretionary RAUM · $2.3B to $2.2B
        Mar 14, 2018 to Mar 21, 2019
      • HNW RAUM · $1.7B to $1.6B
        Mar 14, 2018 to Mar 21, 2019
      • Individual RAUM · $426M to $496M
        Mar 14, 2018 to Mar 21, 2019
      • RAUM · $2.3B to $2.2B
        Mar 14, 2018 to Mar 21, 2019
      • Wrap assets (manager) · $2.3B to $2.2B
        Mar 14, 2018 to Mar 21, 2019
      • Accounts · 1,488 to 1,572
        Sep 11, 2017 to Mar 14, 2018
      • Advisory employees · 4 to 6
        Sep 11, 2017 to Mar 14, 2018
      • Charity clients · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • Corporate clients · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • HNW clients · unset to 479.0
        Sep 11, 2017 to Mar 14, 2018
      • Individual clients · unset to 888.0
        Sep 11, 2017 to Mar 14, 2018
      • Pension plan clients · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • State-registered IARs · 1 to 2
        Sep 11, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • Discretionary RAUM · $2.2B to $2.3B
        Sep 11, 2017 to Mar 14, 2018
      • HNW RAUM · unset to 1734742653.0
        Sep 11, 2017 to Mar 14, 2018
      • Individual RAUM · unset to 425527040.0
        Sep 11, 2017 to Mar 14, 2018
      • Pension RAUM · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • RAUM · $2.2B to $2.3B
        Sep 11, 2017 to Mar 14, 2018
      • Wrap assets (manager) · unset to 2275509744.0
        Sep 11, 2017 to Mar 14, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Sep 11, 2017 to Mar 14, 2018
      • Accounts · 1,342 to 1,488
        Mar 14, 2016 to Mar 27, 2017
      • Employees · 8 to 11
        Mar 14, 2016 to Mar 27, 2017
      • Discretionary RAUM · $2.0B to $2.2B
        Mar 14, 2016 to Mar 27, 2017
      • RAUM · $2.0B to $2.2B
        Mar 14, 2016 to Mar 27, 2017
      • Accounts · 1,226 to 1,342
        Nov 28, 2015 to Mar 14, 2016
      • Employees · 9 to 8
        Nov 28, 2015 to Mar 14, 2016
      • Discretionary RAUM · $1.9B to $2.0B
        Nov 28, 2015 to Mar 14, 2016
      • RAUM · $1.9B to $2.0B
        Nov 28, 2015 to Mar 14, 2016
      • Accounts · 1,114 to 1,226
        Feb 7, 2014 to Mar 13, 2015
      • State-registered IARs · 2 to 1
        Feb 7, 2014 to Mar 13, 2015
      • Discretionary RAUM · $1.5B to $1.9B
        Feb 7, 2014 to Mar 13, 2015
      • RAUM · $1.5B to $1.9B
        Feb 7, 2014 to Mar 13, 2015
      • Accounts · 1,054 to 1,114
        Jun 12, 2013 to Feb 3, 2014
      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