DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••• P•••• W••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Mar 29, 2024 · 3 filings
SEC status approved since Apr 30, 2024
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$193M as of Feb 13, 2026
Feb 27, 2025$173M then
HNW client RAUM$173M as of Feb 13, 2026
Feb 27, 2025$158M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Feb 27, 20252 then
Employees (5.A)2 as of Feb 13, 2026
Feb 27, 20252 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $96.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $515,894derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$173M90%
- Individuals$20.0M10%
- Individual clients
- 103reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 374reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• S• G•••• | Chester, Nj | Jun 12, 2008 | 18 y | 0 |
| J••• F•••••• S••••• | Chester, Nj | Apr 4, 2024 | 24 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• B•••••••• S• · Managing Member / Chief Compliance Officercontrolsince 04/2008 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Chester, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 328 to 374Feb 27, 2025 to Feb 13, 2026
- HNW clients · 39 to 43Feb 27, 2025 to Feb 13, 2026
- Individual clients · 84 to 103Feb 27, 2025 to Feb 13, 2026
- Discretionary RAUM · $173M to $193MFeb 27, 2025 to Feb 13, 2026
- HNW RAUM · $158M to $173MFeb 27, 2025 to Feb 13, 2026
- Individual RAUM · $15.7M to $20.0MFeb 27, 2025 to Feb 13, 2026
- RAUM · $173M to $193MFeb 27, 2025 to Feb 13, 2026
- Accounts · 283 to 328Mar 29, 2024 to Feb 27, 2025
- HNW clients · 31 to 39Mar 29, 2024 to Feb 27, 2025
- Individual clients · 72 to 84Mar 29, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Feb 27, 2025
- Discretionary RAUM · $128M to $173MMar 29, 2024 to Feb 27, 2025
- HNW RAUM · $112M to $158MMar 29, 2024 to Feb 27, 2025
- Individual RAUM · $15.6M to $15.7MMar 29, 2024 to Feb 27, 2025
- RAUM · $128M to $173MMar 29, 2024 to Feb 27, 2025
Signals
1 dated events
- H••• P•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2024 · First SEC registration · 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 phone
- 908-975-3367reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 908-975-3367reportedpublic record, Form ADV, Feb 13, 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
- $96.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026