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
P•••••••• G••••• A•••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 26, 2012 · 41 filings
SEC status approved since Apr 9, 2010
RAUM
$921M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$882M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$43.9M
derived; firm RAUM over IAPD count
Employees
22
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$921M as of Mar 24, 2026
Mar 26, 2012$109M then
HNW client RAUM$794M as of Mar 24, 2026
Mar 30, 2018$180M then
State-registered IARs (5.B.3)17 as of Mar 24, 2026
Mar 26, 20120 then
Employees (5.A)22 as of Mar 24, 2026
Mar 12, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+23% a year over threeIARs 15 to 17
Practice profile
derived from the filing of Mar 24, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $43.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $749,654derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 21.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
- High-net-worth individuals$794M86%
- Individuals$88.6M9.6%
- Pension and profit-sharing plans$38.0M4.1%
- Corporations and businesses$1.0M0.1%
- Charitable organizations$256,0870.0%
- Individual clients
- 190reported
- HNW clients
- 166reported
- Pension plan clients
- 9reported
- Charitable clients
- 0reported
- Accounts
- 1,229reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• H••••••••Chartered Financial Analyst | P••••••••, Nj | Feb 19, 2009 | 35 y | 2 |
| P••• J•••••• G•••••Chartered Financial Analyst | P••••••••, Nj | Apr 16, 2009 | 38 y | 2 |
| B•••• M•••••• S•••••Chartered Financial Analyst | P••••••••, Nj | Dec 15, 2016 | 24 y | 2 |
| R••••• G• S•••••••• | P••••••••, Nj | Sep 18, 2017 | 20 y | 4 |
| P••• A• L•••••••Certified Financial Planner | Boynton Beach, Fl | Apr 15, 2019 | 39 y | 3 |
| J••••• T••••• S•••••••• | P••••••••, Nj | Aug 9, 2019 | 11 y | 0 |
| T••• C•••• B•••••Certified Financial Planner | P••••••••, Nj | Apr 7, 2022 | 18 y | 4 |
| D••••• J••• H•••••Certified Financial Planner | P••••••••, Nj | Jan 30, 2023 | 31 y | 4 |
| J•••• A•••••• K•••••••••Certified Financial Planner | P••••••••, Nj | Apr 26, 2024 | 41 y | 3 |
| M•••••• R• M•••• | Chevy Chase, Md | Dec 2, 2024 | 27 y | 6 |
| M•••••• D•••• G••••••Certified Financial Planner, Chartered Financial Analyst | P••••••••, Nj | Dec 3, 2024 | 33 y | 7 |
| E•••• S•••• B•••••••• | P••••••••, Nj | May 29, 2025 | 19 y | 1 |
| M•••••• J••••• S••••••Certified Financial Planner | Parker, Co | Nov 6, 2025 | 19 y | 4 |
| D•••• E•••••• L••• | P••••••••, Nj | Jan 1, 2026 | 32 y | 0 |
| F•••••• J••••• K••••Certified Financial Planner | P••••••••, Nj | Jan 1, 2026 | 40 y | 0 |
| M•••••• L• P•••••• | P••••••••, Nj | Jan 1, 2026 | 19 y | 5 |
| W•••••• L•••• K•••• | P••••••••, Nj | Jan 1, 2026 | 10 y | 0 |
| B•••••• J••• M••••••Certified Financial Planner | P••••••••, Nj | Jan 2, 2026 | 24 y | 4 |
| R•••••• M•••••• M•••••• | P••••••••, Nj | Apr 20, 2026 | 21 y | 3 |
| G••••• B••••••••• W••••• | P••••••••, Nj | May 15, 2026 | 39 y | 6 |
| J•••• A• K••••••••• | P••••••••, Nj | Jul 29, 2026 | 16 y | 1 |
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••• P••••• to M•• I•••••••• S•••••••• L••Nov 29, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• A• K••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 29, 2026 · Wirehouse to independent RIA
- G••••• B••••••••• W••••• from A••••• W••••• M••••••••• L••May 15, 2026 · Other
- R•••••• M•••••• M•••••• from A•••• R••• M••••••••• L••Apr 20, 2026 · Other
- B•••••• J••• M•••••• from A••••••• W••••• M••••••••• L••Jan 2, 2026 · RIA to RIA
- M•••••• J••••• S•••••• from C••••••• W••••• G•••• L••Nov 6, 2025 · RIA to RIA
- E•••• S•••• B•••••••• from B•••••••• I••••••••• M••••••••• L••May 29, 2025 · Other
- M•••••• D•••• G•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 3, 2024 · Wirehouse to independent RIA
- M•••••• R• M•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 2, 2024 · Wirehouse to independent RIA
- J•••• A•••••• K••••••••• from P••••••• S••••••••• I•••Apr 26, 2024 · Other
- D••••• J••• H••••• from S•••• B•••••• C••••••• • Y•••• S••••••••• C•••Jan 30, 2023 · RIA to RIA
- T••• C•••• B••••• from P••••••• I••••• C••••••••• L••Apr 7, 2022 · Other
- P••• A• L••••••• from F••••••••• A•••••••Apr 15, 2019 · RIA to RIA
- M••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 4, 2018 · Wirehouse to independent RIA
- R••••• G• S•••••••• from P•••••• F••••••••Sep 18, 2017 · Other
- B•••• M•••••• S••••• from B•••••••• I••••••••• M••••••••• L••Dec 15, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 2, 2024 · Bethesda, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• P•••• J•••••• · Chairmancontrolsince 01/2008 · owns 10% to 25%
- M••••••• R••••••• M•••••• · Partner And Portfolio Managercontrolsince 03/2021 · owns less than 5%
- S•••••• B••••• M•••••• · President And Ccocontrolsince 09/2016 · owns 50% to 75%
- H••••••••• J••• · Chief Investment Officersince 01/2009 · owns less than 5%
Entity owners
- E••••• O• A•••••• O• E•••••• · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| P••••••••, Nj · principal | 21 | 9 | 0 | ||
| Chevy Chase, Md | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,164 to 1,229Nov 6, 2025 to Mar 24, 2026
- Advisory employees · 15 to 17Nov 6, 2025 to Mar 24, 2026
- HNW clients · 183 to 166Nov 6, 2025 to Mar 24, 2026
- Individual clients · 240 to 190Nov 6, 2025 to Mar 24, 2026
- Pension plan clients · 19 to 9Nov 6, 2025 to Mar 24, 2026
- Employees · 17 to 22Nov 6, 2025 to Mar 24, 2026
- Financial planning clients · 1-10 to 11-25Nov 6, 2025 to Mar 24, 2026
- State-registered IARs · 15 to 17Nov 6, 2025 to Mar 24, 2026
- Discretionary RAUM · $750M to $883MNov 6, 2025 to Mar 24, 2026
- HNW RAUM · $661M to $794MNov 6, 2025 to Mar 24, 2026
- Individual RAUM · $89.7M to $88.6MNov 6, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $32.4M to $38.0MNov 6, 2025 to Mar 24, 2026
- Pension RAUM · $32.4M to $38.0MNov 6, 2025 to Mar 24, 2026
- RAUM · $783M to $921MNov 6, 2025 to Mar 24, 2026
- Financial planning clients · 1-10 to 1-10Mar 20, 2025 to May 13, 2025
- Accounts · 1,001 to 1,164Jan 29, 2025 to Mar 20, 2025
- Advisory employees · 13 to 15Jan 29, 2025 to Mar 20, 2025
- HNW clients · 143 to 183Jan 29, 2025 to Mar 20, 2025
- Individual clients · 239 to 240Jan 29, 2025 to Mar 20, 2025
- Pension plan clients · 10 to 19Jan 29, 2025 to Mar 20, 2025
- Assets in custody · 1187091.0 to unsetJan 29, 2025 to Mar 20, 2025
- Custody of client assets · true to falseJan 29, 2025 to Mar 20, 2025
- Employees · 15 to 17Jan 29, 2025 to Mar 20, 2025
- Financial planning clients · 51-100 to 1-10Jan 29, 2025 to Mar 20, 2025
- State-registered IARs · 13 to 15Jan 29, 2025 to Mar 20, 2025
- Discretionary RAUM · $579M to $750MJan 29, 2025 to Mar 20, 2025
- HNW RAUM · $486M to $661MJan 29, 2025 to Mar 20, 2025
- Individual RAUM · $93.5M to $89.7MJan 29, 2025 to Mar 20, 2025
- Non-discretionary RAUM · $26.4M to $32.4MJan 29, 2025 to Mar 20, 2025
- Pension RAUM · $26.4M to $32.4MJan 29, 2025 to Mar 20, 2025
- RAUM · $606M to $783MJan 29, 2025 to Mar 20, 2025
- Accounts · 892 to 1,001Mar 20, 2023 to Mar 7, 2024
- Advisory employees · 12 to 13Mar 20, 2023 to Mar 7, 2024
- HNW clients · 107 to 143Mar 20, 2023 to Mar 7, 2024
- Individual clients · 223 to 239Mar 20, 2023 to Mar 7, 2024
- Employees · 13 to 15Mar 20, 2023 to Mar 7, 2024
- State-registered IARs · 12 to 13Mar 20, 2023 to Mar 7, 2024
- Discretionary RAUM · $470M to $579MMar 20, 2023 to Mar 7, 2024
- HNW RAUM · $378M to $486MMar 20, 2023 to Mar 7, 2024
- Individual RAUM · $91.5M to $93.5MMar 20, 2023 to Mar 7, 2024
Signals
7 dated events
- P•••••••• G••••• A•••• M••••••••• L•• reported RAUM $782.8M, up 29% from $605.8M (2025-01-29 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- 2 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Bethesda, MD) for P•••••••• G••••• A•••• M••••••••• L•• on the same dayDec 2, 2024 · Team lift-out · derived
- A•••••••• A••• W••••••• (Managing Member) no longer on Schedule A of P•••••••• G••••• A•••• M••••••••• L•• (listed 2021-06-17, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- A•••••••• A••• W••••••• (Managing Member) appeared on Schedule A of P•••••••• G••••• A•••• M••••••••• L••Jun 17, 2021 · Control person joined · fact
- M•••••• Richard Moseley (Partner And Portfolio Manager) appeared on Schedule A of P•••••••• G••••• A•••• M••••••••• L••Mar 28, 2021 · Control person joined · fact
- Lawrence Adolf Herst (President) no longer on Schedule A of P•••••••• G••••• A•••• M••••••••• L•• (listed 2021-03-18, absent 2021-03-28)Mar 28, 2021 · Control person left · inference
- P•••••••• G••••• A•••• M••••••••• L•• reported RAUM $463.3M, up 133% from $198.6M (2020-02-10 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
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
- p••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 609-945-1781reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-945-1781reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $43.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026