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

S••••••••• C•••••• M••••••••• I•• L•••••

Former SEC-registered adviserParamus, New JerseyCRD 137097SEC 801-64915IAPD
Latest filing Aug 12, 2014
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$2.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.4M as of Mar 29, 2014
Mar 30, 2012$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2014
Apr 1, 20131 then
Employees (5.A)6 as of Mar 29, 2014
Apr 1, 20136 then
Private funds: no history
RAUM -6.0% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 12, 2014; every figure names its basis
RAUM per advisor
$2.4MderivedRAUM 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
$480,013derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
  • D••••••• K••••• M•••• · Chief Compliance Officercontrol
    since 09/2011 · owns less than 5%
  • K•••••••• K••••••••• · Officer/Investment Managercontrol
    since 09/2005 · owns less than 5%
  • L•••••• J••••••• A••• · Officer/Investment Managercontrol
    since 09/2011 · owns less than 5%
  • A••••••• C••••••••• A•••••• · LLC Membercontrol
    since 09/2005 · owns F of Swpa C••••••••• LLC
  • K•••••••• K••••••••• · Shareholdercontrol
    since 09/2005 · owns 25% to 50% of S••••••••• F•••••••• I••
  • L•••••• J••••••• A••• · Shareholdercontrol
    since 09/2011 · owns 25% to 50% of S••••••••• Financial, Inc.
  • S•••••••• N••••• · LLC Membercontrol
    since 09/2005 · owns F of Swpa C••••••••• LLC
  • W••••••• D•••• · LLC Membercontrol
    since 09/2005 · owns F of Swpa C••••••••• LLC
Entity owners
  • S••••••••• F•••••••• I•• · Managing Member
    direct · owns 50% to 75%
  • S•• C••••••••• L•• · Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related broker-dealer · true to false
    Mar 29, 2014 to Aug 12, 2014
  • Accounts · 8 to 5
    Apr 1, 2013 to Mar 29, 2014
  • Discretionary RAUM · $2.6M to $2.4M
    Apr 1, 2013 to Mar 29, 2014
  • RAUM · $2.6M to $2.4M
    Apr 1, 2013 to Mar 29, 2014
  • Accounts · 9 to 8
    Nov 5, 2012 to Apr 1, 2013
  • Discretionary RAUM · $2.3M to $2.6M
    Nov 5, 2012 to Apr 1, 2013
  • RAUM · $2.3M to $2.6M
    Nov 5, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Mar 30, 2012 to Nov 5, 2012
  • BD registered reps · unset to 4.0
    Mar 30, 2012 to Nov 5, 2012
  • Employees · unset to 6.0
    Mar 30, 2012 to Nov 5, 2012
  • HQ city · WEST CALDWELL to PARAMUS
    Mar 30, 2012 to Nov 5, 2012
  • State-registered IARs · unset to 1.0
    Mar 30, 2012 to Nov 5, 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