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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SEC-registered adviser
B•••• F•••••••• G•••• L••
Latest filing Sep 10, 2026
First filing on the tape Mar 22, 2012 · 34 filings
SEC status approved since Jun 14, 2007
RAUM
$369M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$357M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$92.3M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$369M as of Jul 16, 2026
Mar 22, 2012$145M then
HNW client RAUM$275M as of Jul 16, 2026
Mar 28, 2018$155M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Mar 22, 20120 then
Employees (5.A)9 as of Jul 16, 2026
Feb 28, 20138 then
Private funds: no history
RAUM +8.6% over the last fiscal year+7.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $92.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $407,860derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Custody
- $132M, 255 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$275M74%
- Individuals$82.8M22%
- Charitable organizations$11.7M3.2%
- Individual clients
- 200reported
- HNW clients
- 106reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 905reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $132M for 255 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V••••• P••• C••••••• | Fair Lawn, Nj | Jun 14, 2007 | 21 y | 1 |
| A•••••• J••• B••••••Certified Financial Planner, Chartered Financial Analyst | Fair Lawn, Nj | Jun 14, 2007 | 23 y | 1 |
| J•••• J•••• S••••Chartered Financial Consultant | Morristown, Nj | Oct 14, 2021 | 10 y | 0 |
| A•••• D•• R••••• | Fair Lawn, Nj | Jul 8, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- N••••••• J••••• S•••••••• to S••••••••• F••••••••• L••Mar 26, 2024 · RIA to a state-registered adviser
- J•••• D•••••• S••••••• to S••••••• F•••••••• A•••••••• L•• D•• W••••••• W••••• A•••••••Mar 27, 2017 · Other
- L•••• M••••• to A• N•• A••••••• F•••••••• P•••••••Dec 22, 2015 · Other
Joined, latest
- A•••• D•• R••••• from M•• I•••••••• S•••••••• L••Jul 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- L•••• M••••• from O•••• F•• I•••Apr 11, 2008 · Other
- V••••• P••• C••••••• from S•••••••• W••••• M••••••••• L••Jun 14, 2007 · Other
- A•••••• J••• B•••••• from S•••••••• W••••• M••••••••• L••Jun 14, 2007 · Other
- J•••• D•••••• S••••••• from S•••••••• W••••• M••••••••• L••Jun 14, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••••• J••• · Managing Membercontrolsince 04/2007 · owns 25% to 50%
- C•••••••• V•••••• P••• · Managing Membercontrolsince 04/2007 · owns 75% or more
- C•••••••• G••••••• P••• · Chief Compliance Officersince 04/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Fair Lawn, Nj · principal | 4 | 1 | 0 | ||
| Morristown, Nj | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ2 employees
- Sarasota, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jul 16, 2026 to Sep 10, 2026
- Related adviser · false to unsetJul 16, 2026 to Sep 10, 2026
- Related bank · false to unsetJul 16, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetJul 16, 2026 to Sep 10, 2026
- Related insurance company · false to unsetJul 16, 2026 to Sep 10, 2026
- Succession · false to unsetJul 16, 2026 to Sep 10, 2026
- Accounts · 928 to 905Mar 7, 2025 to Mar 12, 2026
- Individual clients · 219 to 200Mar 7, 2025 to Mar 12, 2026
- Assets in custody · $110M to $132MMar 7, 2025 to Mar 12, 2026
- Employees · 8 to 9Mar 7, 2025 to Mar 12, 2026
- Discretionary RAUM · $336M to $364MMar 7, 2025 to Mar 12, 2026
- HNW RAUM · $237M to $275MMar 7, 2025 to Mar 12, 2026
- Individual RAUM · $91.2M to $82.8MMar 7, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $4.2M to $5.1MMar 7, 2025 to Mar 12, 2026
- RAUM · $340M to $369MMar 7, 2025 to Mar 12, 2026
- Accounts · 956 to 928Jun 25, 2024 to Mar 7, 2025
- HNW clients · 94 to 106Jun 25, 2024 to Mar 7, 2025
- Individual clients · 228 to 219Jun 25, 2024 to Mar 7, 2025
- Pension plan clients · 1.0 to unsetJun 25, 2024 to Mar 7, 2025
- Assets in custody · $105M to $110MJun 25, 2024 to Mar 7, 2025
- Financial planning clients · 251-500 to 251-500Jun 25, 2024 to Mar 7, 2025
- Discretionary RAUM · $328M to $336MJun 25, 2024 to Mar 7, 2025
- HNW RAUM · $226M to $237MJun 25, 2024 to Mar 7, 2025
- Individual RAUM · $89.5M to $91.2MJun 25, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $4.1M to $4.2MJun 25, 2024 to Mar 7, 2025
- Pension RAUM · 5106987.0 to unsetJun 25, 2024 to Mar 7, 2025
- RAUM · $332M to $340MJun 25, 2024 to Mar 7, 2025
- Advisory employees · 6 to 5Apr 4, 2024 to Jun 25, 2024
- Employees · 9 to 8Apr 4, 2024 to Jun 25, 2024
- State-registered IARs · 4 to 3Apr 4, 2024 to Jun 25, 2024
- Accounts · 931 to 956Mar 21, 2023 to Mar 6, 2024
- Advisory employees · 5 to 6Mar 21, 2023 to Mar 6, 2024
- Charity clients · 8 to 9Mar 21, 2023 to Mar 6, 2024
- HNW clients · 85 to 94Mar 21, 2023 to Mar 6, 2024
- Individual clients · 224 to 228Mar 21, 2023 to Mar 6, 2024
- Assets in custody · $87.6M to $105MMar 21, 2023 to Mar 6, 2024
- Discretionary RAUM · $297M to $328MMar 21, 2023 to Mar 6, 2024
- HNW RAUM · $194M to $226MMar 21, 2023 to Mar 6, 2024
- Individual RAUM · $91.1M to $89.5MMar 21, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $3.5M to $4.1MMar 21, 2023 to Mar 6, 2024
Signals
1 dated events
- N••••••• J••••• S•••••••• left B•••• F•••••••• G•••• L•• for S••••••••• F••••••••• L•• (registered 2024-03-19)Mar 26, 2024 · Advisor changed firm · 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
- info@baron-financial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-333-6659reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 201-791-3907reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 201-791-6408reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/baron-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- baron-financial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-791-6408reportedpublic record, Form ADV, Sep 10, 2026
- Contact form
- baron-financial.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $92.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026