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
P••••••• C•• S•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 23, 2012 · 26 filings
SEC status approved since Mar 21, 2012
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.6B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
18
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.6B as of Mar 30, 2026
Mar 28, 2013$242M then
HNW client RAUM$1.6B as of Mar 30, 2026
Mar 14, 2018$543M then
State-registered IARs (5.B.3)11 as of Mar 30, 2026
Mar 28, 20133 then
Employees (5.A)18 as of Mar 30, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +20% over the last fiscal year+20% a year over threeIARs 10 to 11
Practice profile
derived from the filing of Mar 30, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $346,199derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 506reportedItem 5.H
- Wrap fee program
- $362MreportedItem 5.I
- Custody
- $200M, 189 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B94%
- Individuals$78.4M4.8%
- Pension and profit-sharing plans$8.6M0.5%
- Corporations and businesses$5.2M0.3%
- Individual clients
- 237reported
- HNW clients
- 387reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 4,764reported
- Financial planning clients
- 506reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $200M for 189 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• F••••••• V••••• | Chester, Nj | Jul 19, 2011 | 20 y | 1 |
| B•••• P•••••• L•••••••Certified Financial Planner | Chester, Nj | Jan 31, 2012 | 30 y | 1 |
| M•••••• J•••• K••••••• | Concord, Ma | Sep 9, 2013 | 16 y | 1 |
| M••••••• B••••• M••••••• | Chester, Nj | Dec 5, 2016 | 29 y | 1 |
| B••••••• H• O•••••• | Chester, Nj | Dec 15, 2017 | 22 y | 1 |
| J••••• P• F•••• | Chester, Nj | Apr 30, 2018 | 8 y | 0 |
| P•••••• A•••••••• N•••• | Chester, Nj | Jan 5, 2026 | 29 y | 1 |
| N••••••• J••••• L•••• | Chester, Nj | Jun 23, 2026 | 11 y | 0 |
| C•••• L•••••Certified Financial Planner | Randolph, Nj | Jul 14, 2026 | 21 y | 4 |
| K•••••• S•••• | Stow, Ma | Aug 12, 2026 | 10 y | 0 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 30% of current headcount3 left over 36 months
Left, latest
- C•••• S••••• P••••••••• to C••••••••• P•••••••• R••••• C•••Jun 1, 2026 · RIA to RIA
- J••• H•••••• V•• to C••••••••• P•••••••• R••••• C•••Jun 1, 2026 · RIA to RIA
- K•••••• S••••••• to C••••••••• P•••••••• R••••• C•••Jun 1, 2026 · RIA to RIA
- D••••• J••• F•••• to S•••••••• A••••••• L••Nov 10, 2017 · Other
- J•••• W••••• B•••••• to A•••••• P••••••• W••••• M•••••••••Mar 10, 2016 · Other
Joined, latest
- C•••• L••••• from S•••••••• A••••••• L••Jul 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- P•••••• A•••••••• N•••• from G•••••• S•••• W••••• S•••••••• L•••Jan 5, 2026 · Other
- C•••• S••••• P••••••••• from U••••• C•••••• F•••••••• A•••••••Feb 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••• H•••••• V•• from U••••• C•••••• F•••••••• A•••••••Feb 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- K•••••• S••••••• from G•••••• S•••• W••••• S•••••••• L•••Mar 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- B••••••• H• O•••••• from G•••••• S•••• W••••• S•••••••• L•••Dec 15, 2017 · Other
- M••••••• B••••• M••••••• from G•••••• S•••• W••••• S•••••••• L•••Dec 5, 2016 · Other
- D••••• J••• F•••• from J• E••• W••••• A•••••••• L••Jul 29, 2016 · Other
- M•••••• J•••• K••••••• from G•••••• S•••• W••••• S•••••••• L•••Sep 9, 2013 · Other
- B•••• P•••••• L••••••• from G•••••• S•••• W••••• S•••••••• L•••Jan 31, 2012 · Other
- J••• F••••••• V••••• from G•••••• S•••• W••••• S•••••••• L•••Jul 19, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••••••• P•••••••• R••••• C•••Jun 1, 2026 · Chester, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• B••••• P•••••• · Co-Managing Member, Managing Directorcontrolsince 09/2011 · owns 25% to 50%
- N••••• P••••••• A•••••••• · Co-Managing Member, Managing Directorcontrolsince 11/2011 · owns 25% to 50%
- V•••••• J•••• F••••••• · Co-Managing Member, Managing Directorcontrolsince 05/2011 · owns 25% to 50%
- D•••••• J•••••• C••••• · Chief Compliance Officersince 09/2019 · 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 |
|---|---|---|---|---|---|
| Chester, Nj · principal | 10 | 4 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Concord, MA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026L•••••••• B••••• P•••••• (CO-MANAGING MEMBER, MANAGING DIRECTOR) left Schedule A between the filings of 2019-09-09 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026V•••••• J•••• F••••••• (CO-MANAGING MEMBER, MANAGING DIRECTOR) left Schedule A between the filings of 2019-09-09 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026N••••• P••••••• A•••••••• (CO-MANAGING MEMBER, MANAGING DIRECTOR) left Schedule A between the filings of 2019-09-09 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,411 to 4,764Mar 24, 2025 to Mar 30, 2026
- Corporate clients · 15 to 17Mar 24, 2025 to Mar 30, 2026
- HNW clients · 389 to 387Mar 24, 2025 to Mar 30, 2026
- Individual clients · 198 to 237Mar 24, 2025 to Mar 30, 2026
- Pension plan clients · 9 to 12Mar 24, 2025 to Mar 30, 2026
- Assets in custody · $120M to $200MMar 24, 2025 to Mar 30, 2026
- State-registered IARs · 10 to 11Mar 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.4B to $1.6BMar 24, 2025 to Mar 30, 2026
- HNW RAUM · $1.3B to $1.6BMar 24, 2025 to Mar 30, 2026
- Individual RAUM · $77.8M to $78.4MMar 24, 2025 to Mar 30, 2026
- Pension RAUM · $6.4M to $8.6MMar 24, 2025 to Mar 30, 2026
- RAUM · $1.4B to $1.6BMar 24, 2025 to Mar 30, 2026
- Accounts · 4,056 to 4,411Mar 29, 2024 to Mar 24, 2025
- Advisory employees · 13 to 14Mar 29, 2024 to Mar 24, 2025
- Charity clients · 1.0 to unsetMar 29, 2024 to Mar 24, 2025
- Corporate clients · 13 to 15Mar 29, 2024 to Mar 24, 2025
- HNW clients · 340 to 389Mar 29, 2024 to Mar 24, 2025
- Individual clients · 162 to 198Mar 29, 2024 to Mar 24, 2025
- Pension plan clients · 6 to 9Mar 29, 2024 to Mar 24, 2025
- Assets in custody · $93.9M to $120MMar 29, 2024 to Mar 24, 2025
- Employees · 17 to 18Mar 29, 2024 to Mar 24, 2025
- Financial planning clients · 251-500 to More than 500Mar 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.2B to $1.4BMar 29, 2024 to Mar 24, 2025
- HNW RAUM · $1.1B to $1.3BMar 29, 2024 to Mar 24, 2025
- Individual RAUM · $45.9M to $77.8MMar 29, 2024 to Mar 24, 2025
- Pension RAUM · $1.9M to $6.4MMar 29, 2024 to Mar 24, 2025
- RAUM · $1.2B to $1.4BMar 29, 2024 to Mar 24, 2025
- Accounts · 4,218 to 4,056Apr 28, 2023 to Mar 29, 2024
- Charity clients · unset to 1.0Apr 28, 2023 to Mar 29, 2024
- Corporate clients · unset to 13.0Apr 28, 2023 to Mar 29, 2024
- HNW clients · 332 to 340Apr 28, 2023 to Mar 29, 2024
- Individual clients · 151 to 162Apr 28, 2023 to Mar 29, 2024
- Pension plan clients · unset to 6.0Apr 28, 2023 to Mar 29, 2024
- Assets in custody · $101M to $93.9MApr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $961M to $1.2BApr 28, 2023 to Mar 29, 2024
- HNW RAUM · $925M to $1.1BApr 28, 2023 to Mar 29, 2024
- Individual RAUM · $34.2M to $45.9MApr 28, 2023 to Mar 29, 2024
- Pension RAUM · $749,948 to $1.9MApr 28, 2023 to Mar 29, 2024
- RAUM · $961M to $1.2BApr 28, 2023 to Mar 29, 2024
- Accounts · 3,759 to 4,218Mar 29, 2022 to Mar 24, 2023
Signals
6 dated events
- C•••• S••••• P••••••••• left P••••••• C•• S•••••••• L•• for C••••••••• P•••••••• R••••• C••• (registered 2026-05-01)Jun 1, 2026 · Advisor changed firm · fact
- J••• H•••••• V•• left P••••••• C•• S•••••••• L•• for C••••••••• P•••••••• R••••• C••• (registered 2026-05-01)Jun 1, 2026 · Advisor changed firm · fact
- K•••••• S••••••• left P••••••• C•• S•••••••• L•• for C••••••••• P•••••••• R••••• C••• (registered 2026-05-01)Jun 1, 2026 · Advisor changed firm · fact
- 3 advisors left P••••••• C•• S•••••••• L•• (Chester, NJ) for C••••••••• P•••••••• R••••• C••• on the same dayJun 1, 2026 · Team lift-out · derived
- P••••••• C•• S•••••••• L•• reported RAUM $890.6M, up 43% from $622.2M (2019-09-09 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- C••••• J••••• D••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• C•• S•••••••• L••Sep 9, 2019 · Control person joined · 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 phone
- 908-955-7055reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-955-7055reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- personalcfosolutions.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- personalcfosolutions.com/who-we-arereportedpublished 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026