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.
SEC-registered adviser
D••••• • S••••••• I•••
Latest filing Mar 5, 2026
First filing on the tape Feb 23, 2012 · 23 filings
SEC status approved since Jul 7, 2011
RAUM
$747M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
57%
$423M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$249M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$747M as of Mar 5, 2026
Feb 23, 2012$456M then
HNW client RAUM$423M as of Mar 5, 2026
Feb 9, 2018$395M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Feb 23, 20120 then
Employees (5.A)5 as of Mar 5, 2026
Jan 24, 20133 then
Private funds3 as of Mar 5, 2026
Feb 23, 20123 then
RAUM +4.7% over the last fiscal year+6.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $249MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.4MderivedHNW RAUM over HNW clients
- Average account
- $14.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $154M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$423M57%
- Pooled investment vehicles$261M35%
- Charitable organizations$62.5M8.4%
- Individual clients
- n/areported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 51reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $154M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.57 fund_share=0.35 institutional_share=0.08 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 |
|---|---|---|---|---|
| G•••••• R•••••• G•••••Chartered Financial Analyst | Red Bank, Nj | Feb 9, 2018 | 34 y | 1 |
| H•••• C••••••• D••••• | Durango, Co | Apr 8, 2025 | 25 y | 0 |
| F•••• E••••• S•••••• | Palm Beach, Fl | Jun 17, 2025 | 40 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
- G•••••• R•••••• G••••• from G••• G••••• • C••••••• L••Feb 9, 2018 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• F•••• L•• | Other Private Fund | $129M | 34 | Feb 23, 2012 |
| G••••••••• A••••••••• L•• | Other Private Fund | $93.4M | 6 | Feb 23, 2012 |
| G••••••••• F•••• L• | Other Private Fund | $19.8M | 12 | Feb 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• H••••• C••••••• · Chairmancontrolsince 01/2018 · owns 25% to 50%
- S••••••• F••••• E••••• · President And Chief Compliance Officercontrolsince 01/2018 · owns 25% to 50%
- G•••••• G••••••• R•••••• · Senior Vice President And Treasurersince 01/2018 · owns 10% to 25%
- M•••••••• C••••••••• C• · Vice President, Secretary And Assistant Treasurersince 01/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
- D••••• • S••••••• I•••investment adviserpooled vehicle sponsoryRAUM $747M
Advisers that list D••••• • S••••••• I••• as a related person
- 157515 y
Offices
Schedule D 1.F, the 25 largest
- Red Bank, NJ3 employees
- Durango, CO1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 5, 2026RAUM per account of $14,643,759 against a peer median of $610,947 (1443 comparable advisers, 100.0th percentile, 9.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 49 to 51Mar 11, 2025 to Mar 5, 2026
- HNW clients · 43 to 45Mar 11, 2025 to Mar 5, 2026
- Assets in custody · $147M to $154MMar 11, 2025 to Mar 5, 2026
- Discretionary RAUM · $713M to $747MMar 11, 2025 to Mar 5, 2026
- HNW RAUM · $403M to $423MMar 11, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $250M to $261MMar 11, 2025 to Mar 5, 2026
- RAUM · $713M to $747MMar 11, 2025 to Mar 5, 2026
- Accounts · 47 to 49Jan 7, 2025 to Mar 11, 2025
- HNW clients · 41 to 43Jan 7, 2025 to Mar 11, 2025
- Assets in custody · $149M to $147MJan 7, 2025 to Mar 11, 2025
- Financial planning clients · unset to Jan 7, 2025 to Mar 11, 2025
- Discretionary RAUM · $660M to $713MJan 7, 2025 to Mar 11, 2025
- HNW RAUM · $363M to $403MJan 7, 2025 to Mar 11, 2025
- Pooled vehicle RAUM · $243M to $250MJan 7, 2025 to Mar 11, 2025
- RAUM · $660M to $713MJan 7, 2025 to Mar 11, 2025
- Assets in custody · $142M to $149MMar 17, 2023 to Mar 13, 2024
- Discretionary RAUM · $611M to $660MMar 17, 2023 to Mar 13, 2024
- HNW RAUM · $336M to $363MMar 17, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $227M to $243MMar 17, 2023 to Mar 13, 2024
- RAUM · $611M to $660MMar 17, 2023 to Mar 13, 2024
- Advisory activities · 2 to 3Mar 16, 2022 to Mar 17, 2023
- Assets in custody · $167M to $142MMar 16, 2022 to Mar 17, 2023
- Discretionary RAUM · $690M to $611MMar 16, 2022 to Mar 17, 2023
- HNW RAUM · $372M to $336MMar 16, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · $265M to $227MMar 16, 2022 to Mar 17, 2023
- RAUM · $690M to $611MMar 16, 2022 to Mar 17, 2023
- Assets in custody · $165M to $167MMar 10, 2021 to Mar 16, 2022
- Discretionary RAUM · $708M to $690MMar 10, 2021 to Mar 16, 2022
- HNW RAUM · $396M to $372MMar 10, 2021 to Mar 16, 2022
- Pooled vehicle RAUM · $261M to $265MMar 10, 2021 to Mar 16, 2022
- RAUM · $708M to $690MMar 10, 2021 to Mar 16, 2022
- Related adviser · false to trueMar 10, 2021 to Mar 16, 2022
- Accounts · 48 to 47May 4, 2020 to Mar 10, 2021
- HNW clients · 42 to 41May 4, 2020 to Mar 10, 2021
- Assets in custody · $124M to $165MMay 4, 2020 to Mar 10, 2021
- Employees · 4 to 5May 4, 2020 to Mar 10, 2021
- Discretionary RAUM · $659M to $708MMay 4, 2020 to Mar 10, 2021
- HNW RAUM · $369M to $396MMay 4, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · $252M to $261MMay 4, 2020 to Mar 10, 2021
- RAUM · $659M to $708MMay 4, 2020 to Mar 10, 2021
Signals
1 dated events
- D••••• • S••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 18, 2018 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- D••••• • S••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- D•••••S••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-855-4742reportedpublic record, Form ADV, Mar 5, 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
- $249Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026