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
M••• S••••• F•••••••• S••••••••• L••
Latest filing Aug 1, 2019
First filing on the tape Jan 19, 2012 · 27 filings
RAUM
$884M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$884M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
19 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$884M as of Mar 28, 2019
Mar 26, 2012$80.0M then
HNW client RAUM$695M as of Mar 28, 2019
Feb 28, 2018$110M then
State-registered IARs (5.B.3)19 as of Mar 28, 2019
Mar 26, 20120 then
Employees (5.A)21 as of Mar 28, 2019
Mar 14, 201311 then
Private funds: no history
RAUM +20% over the last fiscal year+45% a year over threeIARs 10 to 19
Practice profile
derived from the filing of Aug 1, 2019; every figure names its basis
- RAUM per advisor
- $46.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $307,946derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.6derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +90%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$695M79%
- Individuals$189M21%
- Individual clients
- 626reported
- HNW clients
- 277reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,870reported
- Financial planning clients
- 11-25reported
- 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
Left, latest
- D•••••• R••••• B••••• to B••••••••• S•••••••• W•••••• L••Jul 29, 2019 · RIA to affiliated broker-dealer or bank
- J•••••• P••• W•••••••• to C•••• C•••••• M••••••••• L•Jul 31, 2014 · Other
- E•••••••• M• B•••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Oct 9, 2013 · Other
- T••• C•••• B••••• to G••• E•••• A•••••••• L••Jul 18, 2013 · Other
Joined, latest
- J••••••• C•••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 31, 2019 · Wirehouse to independent RIA
- M•••••• C•••••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 2, 2019 · Wirehouse to independent RIA
- C•••••• D••••• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 2, 2019 · Wirehouse to independent RIA
- A•• L••• from J••••• M••••••••• S•••• L••Jul 19, 2019 · Affiliated broker-dealer or bank to independent RIA
- A•••• E•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 30, 2018 · Wirehouse to independent RIA
- K•••••• C••••••••• P••• from A••••••• W••••• M••••••••• G••••• L••May 22, 2018 · RIA to RIA
- K••••• G••••••••• from B• R•••• W••••• A•••••••• I•••Jun 13, 2017 · Other
- J••••• L•••••• M•••••• from A••••• W•••••May 10, 2017 · Other
- J••• J••• M•••••• from J•• F•••••••• S••••••••• I••Dec 27, 2016 · Other
- J•••••• J••••••• B•••• from U•• F•••••••• S••••••• I•••Oct 24, 2016 · Other
- A••••• J•••••• M••••• from U•• F•••••••• S••••••• I•••Oct 19, 2016 · Other
- J••••••• L• H•••••• from J• H•••••• F•••••••• P•••••••Jun 27, 2016 · Other
- M•••••• A•••••• B••••••• from H• B•••• I•••Jun 17, 2016 · Other
- J•••• J• B•••••• from T•••••••• F••••••••• I•••Jan 20, 2016 · Other
- M• T••••• P•••• from A•••••••• A•••••••• L••May 12, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for M••• S••••• F•••••••• S••••••••• L••Jul 1, 2020 · Newtown, Pa · Firm absorbed
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 9, 2019 · The Woodlands, Tx
- 2 joined from U•• F•••••••• S••••••• I•••Sep 20, 2016 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• B••••• R••••• · Managing Member, Chief Executive Officer, And Chief Compliance Officercontrolsince 06/2002 · owns 50% to 75%
- D••••••••• M••••• T•••••• · Chief Financial Officercontrolsince 01/2017 · owns less than 5%
- E••••••• C•••••••• A••• · Chief Administrative Officercontrolsince 09/2017 · owns less than 5%
- M•••••• M••••••• S•••• · Chief Investment Officercontrolsince 10/2008 · owns 10% to 25%
- B•••••• D••••••• R••••• · Membersince 07/2011 · owns 5% to 10%
Related persons
Schedule D 7.A
- S••••••• C••• I•••••••• S•••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Verona, NJ2 employees
- Atlanta, GA2 employees
- Greensboro, GA2 employees
- New York, NY1 employees
- South Hamilton, MA1 employees
- , 1 employees
- , 1 employees
- Chevy Chase, MD1 employees
- Flemington, NJ1 employees
What changed
consecutive filings, newest first
- Succession · true to falseMar 28, 2019 to Aug 1, 2019
- Accounts · 2,832 to 2,870Aug 24, 2018 to Mar 28, 2019
- Advisory employees · 20 to 19Aug 24, 2018 to Mar 28, 2019
- Charity clients · 5.0 to unsetAug 24, 2018 to Mar 28, 2019
- HNW clients · 100 to 277Aug 24, 2018 to Mar 28, 2019
- Individual clients · 637 to 626Aug 24, 2018 to Mar 28, 2019
- Employees · 20 to 21Aug 24, 2018 to Mar 28, 2019
- State-registered IARs · 10 to 19Aug 24, 2018 to Mar 28, 2019
- Discretionary RAUM · $631M to $760MAug 24, 2018 to Mar 28, 2019
- HNW RAUM · $110M to $695MAug 24, 2018 to Mar 28, 2019
- Individual RAUM · $604M to $189MAug 24, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $103M to $123MAug 24, 2018 to Mar 28, 2019
- RAUM · $735M to $884MAug 24, 2018 to Mar 28, 2019
- Succession · false to trueAug 24, 2018 to Mar 28, 2019
- Accounts · 2,219 to 2,832May 8, 2017 to Feb 28, 2018
- Charity clients · unset to 5.0May 8, 2017 to Feb 28, 2018
- HNW clients · unset to 100.0May 8, 2017 to Feb 28, 2018
- Individual clients · unset to 637.0May 8, 2017 to Feb 28, 2018
- HQ city · PENNINGTON to NEWTOWNMay 8, 2017 to Feb 28, 2018
- HQ state · NJ to PAMay 8, 2017 to Feb 28, 2018
- Other offices · unset to 11.0May 8, 2017 to Feb 28, 2018
- Discretionary RAUM · $554M to $631MMay 8, 2017 to Feb 28, 2018
- HNW RAUM · unset to 110196723.0May 8, 2017 to Feb 28, 2018
- Individual RAUM · unset to 604448096.0May 8, 2017 to Feb 28, 2018
- Non-discretionary RAUM · $118M to $103MMay 8, 2017 to Feb 28, 2018
- RAUM · $672M to $735MMay 8, 2017 to Feb 28, 2018
- Accounts · 1,604 to 2,219Mar 30, 2017 to May 8, 2017
- Discretionary RAUM · $385M to $554MMar 30, 2017 to May 8, 2017
- Non-discretionary RAUM · $110M to $118MMar 30, 2017 to May 8, 2017
- RAUM · $495M to $672MMar 30, 2017 to May 8, 2017
- Accounts · 1,268 to 1,604Jan 9, 2017 to Mar 30, 2017
- Advisory employees · 9 to 20Jan 9, 2017 to Mar 30, 2017
- Employees · 14 to 20Jan 9, 2017 to Mar 30, 2017
- Discretionary RAUM · $176M to $385MJan 9, 2017 to Mar 30, 2017
- Non-discretionary RAUM · $117M to $110MJan 9, 2017 to Mar 30, 2017
- RAUM · $293M to $495MJan 9, 2017 to Mar 30, 2017
- Accounts · 1,157 to 1,268Mar 26, 2015 to Mar 10, 2016
- Discretionary RAUM · $157M to $176MMar 26, 2015 to Mar 10, 2016
- Non-discretionary RAUM · $100M to $117MMar 26, 2015 to Mar 10, 2016
- RAUM · $258M to $293MMar 26, 2015 to Mar 10, 2016
Signals
3 dated events
- M••• S••••• F•••••••• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2019 · Succession (Item 4) · fact
- Therese Marie Dzelzgalvis (Chief Financial Officer) appeared on Schedule A of M••• S••••• F•••••••• S••••••••• L••Mar 28, 2019 · Control person joined · fact
- Anne Courtney Elliott (Chief Administrative Officer) appeared on Schedule A of M••• S••••• F•••••••• S••••••••• L••Mar 28, 2019 · Control person joined · fact
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