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
R•••••••• C••••••• L••
Latest filing May 19, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Sep 2, 2008
RAUM
$2.1B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
91%
$1.9B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$425M
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.1B as of May 19, 2026
Mar 29, 2012$217M then
HNW client RAUM$1.9B as of May 19, 2026
Mar 29, 2018$484M then
State-registered IARs (5.B.3)5 as of May 19, 2026
Mar 29, 20120 then
Employees (5.A)13 as of May 19, 2026
Feb 28, 20136 then
Private funds1 as of Mar 22, 2024
Mar 24, 20221 then
RAUM +13% over the last fiscal year+22% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $425MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 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$1.9B88%
- Charitable organizations$133M6.2%
- Corporations and businesses$53.8M2.5%
- Individuals$52.1M2.4%
- Pension and profit-sharing plans$7.4M0.3%
- Individual clients
- 192reported
- HNW clients
- 352reported
- Pension plan clients
- 6reported
- Charitable clients
- 12reported
- Accounts
- 1,911reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• K•••••• S•••• | Princeton, Nj | Jan 28, 2009 | 24 y | 1 |
| H••••• T••• A•••• | Princeton, Nj | Jan 28, 2009 | 34 y | 1 |
| A••••• S••••• L•••Certified Financial Planner | Princeton, Nj | May 14, 2012 | 20 y | 0 |
| M•••••• D•••••• W••••••Chartered Financial Analyst | Princeton, Nj | Mar 28, 2014 | 17 y | 1 |
| N••••••• A• S••••••Certified Financial Planner | Princeton, Nj | Oct 9, 2020 | 10 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
- M•••••• D•••••• W•••••• from O•••••• P••• C••••••• L•••••Mar 28, 2014 · Other
- H••••• T••• A•••• from A•••• A•••• M••••••••• I••Jan 28, 2009 · Other
- S•••••• K•••••• S•••• from A•••• A•••• M••••••••• I••Jan 28, 2009 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• C•••••• P••••••• S••••• F••• L•• • S••••• L••no longer reported | Real Estate Fund | $75,770 | 21 | Mar 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• H•••••• T••• · Managing Partnercontrolsince 04/2008 · owns 25% to 50%
- C•••• J••••• G••••• · Chief Financial Officercontrolsince 08/2008 · owns less than 5%
- K•••••• C••••••••• S•• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- L•••• A•••••• S••••• · Partnercontrolsince 01/2020 · owns 10% to 25%
- S••••• S••••••• K•••••• · Managing Partnercontrolsince 04/2008 · owns 25% to 50%
- W••••••• M••••••• D•••••• · Chief Investment Officercontrolsince 01/2014 · 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 |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,784 to 1,911Apr 22, 2025 to Mar 16, 2026
- HNW clients · 324 to 352Apr 22, 2025 to Mar 16, 2026
- Discretionary RAUM · $1.7B to $2.0BApr 22, 2025 to Mar 16, 2026
- HNW RAUM · $1.6B to $1.9BApr 22, 2025 to Mar 16, 2026
- Individual RAUM · $66.6M to $52.1MApr 22, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $133M to $126MApr 22, 2025 to Mar 16, 2026
- Pension RAUM · $6.4M to $7.4MApr 22, 2025 to Mar 16, 2026
- RAUM · $1.9B to $2.1BApr 22, 2025 to Mar 16, 2026
- Accounts · 1,603 to 1,784Dec 16, 2024 to Apr 22, 2025
- Charity clients · 10 to 12Dec 16, 2024 to Apr 22, 2025
- HNW clients · 303 to 324Dec 16, 2024 to Apr 22, 2025
- Individual clients · 172 to 192Dec 16, 2024 to Apr 22, 2025
- Pension plan clients · 9 to 6Dec 16, 2024 to Apr 22, 2025
- Assets in custody · 75770.0 to unsetDec 16, 2024 to Apr 22, 2025
- Custody of client assets · true to falseDec 16, 2024 to Apr 22, 2025
- Employees · 12 to 13Dec 16, 2024 to Apr 22, 2025
- Financial planning clients · 51-100 to 51-100Dec 16, 2024 to Apr 22, 2025
- Discretionary RAUM · $1.3B to $1.7BDec 16, 2024 to Apr 22, 2025
- HNW RAUM · $1.2B to $1.6BDec 16, 2024 to Apr 22, 2025
- Individual RAUM · $44.1M to $66.6MDec 16, 2024 to Apr 22, 2025
- Non-discretionary RAUM · $109M to $133MDec 16, 2024 to Apr 22, 2025
- Pension RAUM · $14.7M to $6.4MDec 16, 2024 to Apr 22, 2025
- RAUM · $1.4B to $1.9BDec 16, 2024 to Apr 22, 2025
- Private funds · 1 to unsetMar 22, 2024 to Dec 16, 2024
- Accounts · 1,512 to 1,603Sep 11, 2023 to Mar 22, 2024
- Charity clients · 9 to 10Sep 11, 2023 to Mar 22, 2024
- Corporate clients · 2 to 3Sep 11, 2023 to Mar 22, 2024
- HNW clients · 276 to 303Sep 11, 2023 to Mar 22, 2024
- Individual clients · 171 to 172Sep 11, 2023 to Mar 22, 2024
- Assets in custody · $3.3M to $75,770Sep 11, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.1B to $1.3BSep 11, 2023 to Mar 22, 2024
- HNW RAUM · $1.0B to $1.2BSep 11, 2023 to Mar 22, 2024
- Individual RAUM · $43.5M to $44.1MSep 11, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $106M to $109MSep 11, 2023 to Mar 22, 2024
- Pension RAUM · $19.3M to $14.7MSep 11, 2023 to Mar 22, 2024
- RAUM · $1.2B to $1.4BSep 11, 2023 to Mar 22, 2024
- Accounts · 1,361 to 1,512Apr 12, 2022 to Mar 10, 2023
- HNW clients · 254 to 276Apr 12, 2022 to Mar 10, 2023
- Individual clients · 150 to 171Apr 12, 2022 to Mar 10, 2023
- Assets in custody · $2.0M to $3.3MApr 12, 2022 to Mar 10, 2023
Signals
4 dated events
- R•••••••• C••••••• L•• reported RAUM $1.9B, up 33% from $1.4B (2024-12-16 to 2025-04-22)Apr 22, 2025 · RAUM change · derived
- Sim Christina Keddie (Chief Compliance Officer) appeared on Schedule A of R•••••••• C••••••• L••Mar 10, 2023 · Control person joined · fact
- R•••••••• C••••••• L•• reported RAUM $772.7M, up 30% from $593.1M (2019-03-28 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- Edward George Andresen (Executive Vice President, Chief Compliance Officer) no longer on Schedule A of R•••••••• C••••••• L•• (listed 2018-03-29, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
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
- 609-688-9500reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-688-9500reportedpublic record, Form ADV, May 19, 2026
- Team page
- r•••••••••.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
- $425Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
R•••••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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