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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• W••••• A••••••• L••

Former SEC-registered adviserSummit, New JerseyCRD 147557SEC 801-69415IAPD
Latest filing Mar 27, 2015
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$226M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$226M as of Mar 27, 2015
Mar 30, 2012$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 30, 20120 then
Employees (5.A)8 as of Mar 27, 2015
Mar 27, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2015; 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
$466,336derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$11.6M, 7 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)
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
484reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$11.6M for 7 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• B•••••••• C••• · Member-Managing Directorcontrol
      since 07/2008 · owns 25% to 50%
    • P••••••• M••••••• C••••• · Member-Managing Director-Chief Compliance Officercontrol
      since 07/2008 · owns 25% to 50%
    • T••••••••• C••••••••• J••••• · Member-Managing Directorcontrol
      since 07/2008 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 395 to 484
      Dec 1, 2014 to Mar 27, 2015
    • Assets in custody · $12.3M to $11.6M
      Dec 1, 2014 to Mar 27, 2015
    • Discretionary RAUM · $191M to $215M
      Dec 1, 2014 to Mar 27, 2015
    • Non-discretionary RAUM · $5.2M to $11.0M
      Dec 1, 2014 to Mar 27, 2015
    • RAUM · $196M to $226M
      Dec 1, 2014 to Mar 27, 2015
    • Advisory employees · 3 to 6
      Mar 31, 2014 to Dec 1, 2014
    • Employees · 4 to 8
      Mar 31, 2014 to Dec 1, 2014
    • Accounts · 363 to 395
      Mar 27, 2013 to Mar 31, 2014
    • Advisory employees · 2 to 3
      Mar 27, 2013 to Mar 31, 2014
    • Assets in custody · $3.4M to $12.3M
      Mar 27, 2013 to Mar 31, 2014
    • Discretionary RAUM · $168M to $191M
      Mar 27, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $0 to $5.2M
      Mar 27, 2013 to Mar 31, 2014
    • RAUM · $168M to $196M
      Mar 27, 2013 to Mar 31, 2014
    • Accounts · 335 to 363
      Jan 16, 2013 to Mar 27, 2013
    • Assets in custody · $12.4M to $3.4M
      Jan 16, 2013 to Mar 27, 2013
    • Discretionary RAUM · $153M to $168M
      Jan 16, 2013 to Mar 27, 2013
    • RAUM · $153M to $168M
      Jan 16, 2013 to Mar 27, 2013
    • Advisory employees · unset to 2.0
      Sep 26, 2012 to Jan 16, 2013
    • Employees · unset to 4.0
      Sep 26, 2012 to Jan 16, 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