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

C••••••• M••• A••••••• L••

Former SEC-registered adviserHamilton, New JerseyCRD 138613SEC 801-65306IAPD
Latest filing Feb 15, 2017
First filing on the tape Mar 27, 2012 · 8 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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$37.2M as of Mar 30, 2016
Mar 27, 2012$79.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 15, 2017
Mar 27, 20120 then
Employees (5.A)6 as of Feb 15, 2017
Mar 20, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 15, 2017; 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
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Custody
$2.2M, 3 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
$2.2M for 3 clientsreported
Compensation
% of AUM, commissionsreported
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
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
    • A•••• L••••• S••••• · Ceo/President/Managing Member/Iarcontrol
      since 11/2005 · owns 75% or more
    • B•••••• D••••• S•••• · Senior Vice President/Chief Compliance Officer (Cco)control
      since 12/2005 · owns less than 5%
    • M•••••• D••••• M•••• · Vice President/Member/Iar/Assistant Compliance Officercontrol
      since 03/2006 · owns less than 5%
    • A•••• L••••• S••••• · Trusteecontrol
      since 03/2006 · owns F of R•••• A••• M•••••••• I••••••••• T•••• D•••• 3••••••
    • A•••• L••••• S••••• · Trusteecontrol
      since 03/2006 · owns F of A••••• A••• L••• I••••••••• T•••• D•••• 3••••••
    Entity owners
    • A••••• A••• L••• I••••••••• T•••• D•••• 3•••••• · Member
      direct · owns 5% to 10%
    • R•••• A••• M•••••••• I••••••••• T•••• D•••• 3•••••• · Member
      direct · 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 · 53.0 to unset
      Jan 9, 2017 to Feb 15, 2017
    • Discretionary RAUM · 33106477.0 to unset
      Jan 9, 2017 to Feb 15, 2017
    • Non-discretionary RAUM · 0.0 to unset
      Jan 9, 2017 to Feb 15, 2017
    • RAUM · 33106477.0 to unset
      Jan 9, 2017 to Feb 15, 2017
    • Accounts · 54 to 53
      Mar 30, 2016 to Aug 22, 2016
    • Assets in custody · $2.1M to $2.2M
      Mar 30, 2016 to Aug 22, 2016
    • Discretionary RAUM · $37.2M to $33.1M
      Mar 30, 2016 to Aug 22, 2016
    • RAUM · $37.2M to $33.1M
      Mar 30, 2016 to Aug 22, 2016
    • Accounts · 62 to 54
      Mar 27, 2015 to Mar 30, 2016
    • BD registered reps · 2 to 3
      Mar 27, 2015 to Mar 30, 2016
    • Assets in custody · $2.8M to $2.1M
      Mar 27, 2015 to Mar 30, 2016
    • State-registered IARs · 2 to 3
      Mar 27, 2015 to Mar 30, 2016
    • Discretionary RAUM · $45.3M to $37.2M
      Mar 27, 2015 to Mar 30, 2016
    • RAUM · $45.3M to $37.2M
      Mar 27, 2015 to Mar 30, 2016
    • Accounts · 65 to 62
      Mar 13, 2014 to Mar 27, 2015
    • Assets in custody · $3.5M to $2.8M
      Mar 13, 2014 to Mar 27, 2015
    • Discretionary RAUM · $50.6M to $45.3M
      Mar 13, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $1.2M to $0
      Mar 13, 2014 to Mar 27, 2015
    • RAUM · $51.8M to $45.3M
      Mar 13, 2014 to Mar 27, 2015
    • Accounts · 69 to 65
      Mar 20, 2013 to Mar 13, 2014
    • Assets in custody · $5.5M to $3.5M
      Mar 20, 2013 to Mar 13, 2014
    • Discretionary RAUM · $56.7M to $50.6M
      Mar 20, 2013 to Mar 13, 2014
    • Non-discretionary RAUM · $1.1M to $1.2M
      Mar 20, 2013 to Mar 13, 2014
    • RAUM · $57.8M to $51.8M
      Mar 20, 2013 to Mar 13, 2014
    • Accounts · 76 to 69
      Mar 27, 2012 to Mar 20, 2013
    • Advisory employees · unset to 3.0
      Mar 27, 2012 to Mar 20, 2013
    • Advisory activities · 4 to 3
      Mar 27, 2012 to Mar 20, 2013
    • BD registered reps · unset to 2.0
      Mar 27, 2012 to Mar 20, 2013
    • Assets in custody · $5.7M to $5.5M
      Mar 27, 2012 to Mar 20, 2013
    • Employees · unset to 6.0
      Mar 27, 2012 to Mar 20, 2013
    • State-registered IARs · 0 to 2
      Mar 27, 2012 to Mar 20, 2013
    • Discretionary RAUM · $78.5M to $56.7M
      Mar 27, 2012 to Mar 20, 2013
    • Non-discretionary RAUM · $1.1M to $1.1M
      Mar 27, 2012 to Mar 20, 2013
    • RAUM · $79.6M to $57.8M
      Mar 27, 2012 to Mar 20, 2013
    • Related broker-dealer · true to false
      Mar 27, 2012 to Mar 20, 2013
    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