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
D••••••• W••••• M••••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Mar 27, 2012 · 31 filings
SEC status approved since Mar 22, 2010
RAUM
$172M
reported, Item 5.F
Discretionary
35%
of RAUM
Private clients
99%
$170M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$172M as of Jun 15, 2026
Mar 27, 2012$125M then
HNW client RAUM$124M as of Jun 15, 2026
Mar 21, 2018$51.3M then
State-registered IARs (5.B.3)3 as of Jun 15, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Jun 15, 2026
Mar 21, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 15, 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
- $57.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $263,939derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +3.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$124M72%
- Individuals$46.0M27%
- Pension and profit-sharing plans$2.0M1.2%
- Corporations and businesses$378,2070.2%
- Charitable organizations$16,9250.0%
- Individual clients
- 174reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 653reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• E••••• P••••• | Forked River, Nj | Apr 7, 2010 | 36 y | 1 |
| K••••••••• M•••••• S•••••••Certified Financial Planner | Forked River, Nj | Apr 2, 2013 | 21 y | 0 |
| R•••••• J••••• P••••• | Forked River, Nj | Apr 16, 2024 | 23 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
- P••• A• L••••••• to F••••••••• A•••••••Nov 26, 2012 · Other
Joined, latest
- P••• A• L••••••• from D••••••• A•••• M••••••••• I•••Apr 8, 2010 · Other
- R•••••• E••••• P••••• from D••••••• A•••• M••••••••• I•••Apr 7, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• R••••••• E••••• · Managing Member And Chief Compliance Officercontrolsince 02/2010 · owns 75% or more
- S•••••••• K••••••••• M•••••• · Financial Planner And Minority Ownersince 01/2020 · 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 |
|---|---|---|---|---|---|
| Forked River, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 635 to 653Dec 17, 2025 to Mar 16, 2026
- HNW clients · 45 to 54Dec 17, 2025 to Mar 16, 2026
- Individual clients · 176 to 174Dec 17, 2025 to Mar 16, 2026
- Financial planning clients · 11-25 to 1-10Dec 17, 2025 to Mar 16, 2026
- Discretionary RAUM · $57.5M to $60.7MDec 17, 2025 to Mar 16, 2026
- HNW RAUM · $97.9M to $124MDec 17, 2025 to Mar 16, 2026
- Individual RAUM · $48.2M to $46.0MDec 17, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $90.1M to $112MDec 17, 2025 to Mar 16, 2026
- Pension RAUM · $1.4M to $2.0MDec 17, 2025 to Mar 16, 2026
- RAUM · $148M to $172MDec 17, 2025 to Mar 16, 2026
- HQ city · MANALAPAN to FORKED RIVERFeb 25, 2025 to Nov 17, 2025
- Accounts · 599 to 635Feb 29, 2024 to Feb 25, 2025
- Advisory employees · 2 to 3Feb 29, 2024 to Feb 25, 2025
- BD registered reps · 2 to 3Feb 29, 2024 to Feb 25, 2025
- HNW clients · 44 to 45Feb 29, 2024 to Feb 25, 2025
- Individual clients · 180 to 176Feb 29, 2024 to Feb 25, 2025
- Assets in custody · 100845.0 to unsetFeb 29, 2024 to Feb 25, 2025
- Custody of client assets · true to falseFeb 29, 2024 to Feb 25, 2025
- Financial planning clients · 26-50 to 11-25Feb 29, 2024 to Feb 25, 2025
- State-registered IARs · 2 to 3Feb 29, 2024 to Feb 25, 2025
- Discretionary RAUM · $51.9M to $57.5MFeb 29, 2024 to Feb 25, 2025
- HNW RAUM · $85.0M to $97.9MFeb 29, 2024 to Feb 25, 2025
- Individual RAUM · $44.5M to $48.2MFeb 29, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $78.8M to $90.1MFeb 29, 2024 to Feb 25, 2025
- Pension RAUM · $1.1M to $1.4MFeb 29, 2024 to Feb 25, 2025
- RAUM · $131M to $148MFeb 29, 2024 to Feb 25, 2025
- Accounts · 613 to 599Jul 20, 2023 to Feb 29, 2024
- HNW clients · 50 to 44Jul 20, 2023 to Feb 29, 2024
- Individual clients · 168 to 180Jul 20, 2023 to Feb 29, 2024
- Assets in custody · $1.1M to $100,845Jul 20, 2023 to Feb 29, 2024
- Financial planning clients · 1-10 to 26-50Jul 20, 2023 to Feb 29, 2024
- Discretionary RAUM · $49.4M to $51.9MJul 20, 2023 to Feb 29, 2024
- HNW RAUM · $78.9M to $85.0MJul 20, 2023 to Feb 29, 2024
- Individual RAUM · $38.7M to $44.5MJul 20, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $69.1M to $78.8MJul 20, 2023 to Feb 29, 2024
- Pension RAUM · $825,282 to $1.1MJul 20, 2023 to Feb 29, 2024
- RAUM · $119M to $131MJul 20, 2023 to Feb 29, 2024
- Accounts · 587 to 613Sep 7, 2022 to Mar 3, 2023
- HNW clients · 48 to 50Sep 7, 2022 to Mar 3, 2023
- Individual clients · 176 to 168Sep 7, 2022 to Mar 3, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- 732-409-1052reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 732-409-1060reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-409-1060reportedpublic record, Form ADV, Jun 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
- $57.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026