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
S••••• P•••• F•••••••• A•••••••• L••
Legal name S••••• P•••• F•••••••• A•••••••••
Latest filing Mar 19, 2026
First filing on the tape Mar 9, 2012 · 24 filings
SEC status approved since Apr 22, 2015
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$294M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$75.1M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$300M as of Mar 19, 2026
Mar 9, 2012$57.1M then
HNW client RAUM$291M as of Mar 19, 2026
Mar 1, 2018$123M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 9, 20120 then
Employees (5.A)6 as of Mar 19, 2026
Mar 22, 20164 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
- RAUM per advisor
- $75.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $896,731derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $5.7M, 1 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
- High-net-worth individuals$291M97%
- Corporations and businesses$6.6M2.2%
- Individuals$2.8M0.9%
- Individual clients
- 9reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 335reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.7M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••••• K••• M•••••Certified Financial Planner, Chartered Financial Analyst | S•••••, Nj | Nov 21, 2008 | 32 y | 1 |
| C••••••••• J•••••• G•••Chartered Financial Analyst | S•••••, Nj | Aug 24, 2021 | 10 y | 0 |
| K•••••••• L••• F•••••Certified Financial Planner, Chartered Financial Analyst | S•••••, Nj | Jan 15, 2025 | 12 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
- E•••••••• K••• M••••• from T••••• S•••••• B••••• • J••••••• I••Nov 21, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• E••••••••• K••• · Managing Member, Chief Compliance Officercontrolsince 09/2008 · owns 75% or more
- M•••••• A••••••• R•••••• · Managing Directorsince 11/2022 · 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 |
|---|---|---|---|---|---|
| S•••••, Nj · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 338 to 335Nov 6, 2025 to Mar 19, 2026
- HNW clients · 34 to 50Nov 6, 2025 to Mar 19, 2026
- Individual clients · 13 to 9Nov 6, 2025 to Mar 19, 2026
- Assets in custody · $21.4M to $5.7MNov 6, 2025 to Mar 19, 2026
- Discretionary RAUM · $256M to $300MNov 6, 2025 to Mar 19, 2026
- HNW RAUM · $247M to $291MNov 6, 2025 to Mar 19, 2026
- Individual RAUM · $3.5M to $2.8MNov 6, 2025 to Mar 19, 2026
- RAUM · $256M to $300MNov 6, 2025 to Mar 19, 2026
- Accounts · 305 to 338Mar 1, 2024 to Feb 21, 2025
- Advisory employees · 3 to 4Mar 1, 2024 to Feb 21, 2025
- Individual clients · 11 to 13Mar 1, 2024 to Feb 21, 2025
- Assets in custody · $16.3M to $21.4MMar 1, 2024 to Feb 21, 2025
- Employees · 4 to 6Mar 1, 2024 to Feb 21, 2025
- Financial planning clients · 1-10 to 1-10Mar 1, 2024 to Feb 21, 2025
- State-registered IARs · 3 to 4Mar 1, 2024 to Feb 21, 2025
- Other offices · 3 to 4Mar 1, 2024 to Feb 21, 2025
- Discretionary RAUM · $239M to $256MMar 1, 2024 to Feb 21, 2025
- HNW RAUM · $229M to $247MMar 1, 2024 to Feb 21, 2025
- Individual RAUM · $4.0M to $3.5MMar 1, 2024 to Feb 21, 2025
- RAUM · $239M to $256MMar 1, 2024 to Feb 21, 2025
- Accounts · 299 to 305Mar 27, 2023 to Feb 29, 2024
- Advisory employees · 2 to 3Mar 27, 2023 to Feb 29, 2024
- HNW clients · 31 to 34Mar 27, 2023 to Feb 29, 2024
- Individual clients · 14 to 11Mar 27, 2023 to Feb 29, 2024
- Assets in custody · $23.1M to $16.3MMar 27, 2023 to Feb 29, 2024
- Employees · 5 to 4Mar 27, 2023 to Feb 29, 2024
- Other offices · 1 to 3Mar 27, 2023 to Feb 29, 2024
- Discretionary RAUM · $208M to $239MMar 27, 2023 to Feb 29, 2024
- HNW RAUM · $200M to $229MMar 27, 2023 to Feb 29, 2024
- Individual RAUM · $2.8M to $4.0MMar 27, 2023 to Feb 29, 2024
- RAUM · $208M to $239MMar 27, 2023 to Feb 29, 2024
- Accounts · 267 to 299Oct 24, 2022 to Mar 25, 2023
- HNW clients · 29 to 31Oct 24, 2022 to Mar 25, 2023
- Individual clients · 12 to 14Oct 24, 2022 to Mar 25, 2023
- Assets in custody · $20.3M to $23.1MOct 24, 2022 to Mar 25, 2023
- Employees · 6 to 5Oct 24, 2022 to Mar 25, 2023
- State-registered IARs · 2 to 3Oct 24, 2022 to Mar 25, 2023
- Discretionary RAUM · $232M to $208MOct 24, 2022 to Mar 25, 2023
- HNW RAUM · $223M to $200MOct 24, 2022 to Mar 25, 2023
- Individual RAUM · $3.0M to $2.8MOct 24, 2022 to Mar 25, 2023
Signals
1 dated events
- S••••• P•••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 15, 2015 · 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 email
- advisors@summitplacefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- elaina.formichella@summitplacefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- thomas.allison@summitplacefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 908-517-5880reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••P••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-517-5880reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- summitplacefinancial.com/contactreportedpublished 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
- $75.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026