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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Former SEC-registered adviser

P•••••••• P•••••••• S••••••••• G•••• L••

Former SEC-registered adviserP••••••••, New JerseyCRD 158570SEC 801-72695IAPD
Latest filing Mar 31, 2021
First filing on the tape Dec 2, 2011 · 19 filings
RAUM
$571M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$551M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$571M as of Mar 31, 2021
Mar 28, 2012$38.5M then
HNW client RAUM$445M as of Mar 31, 2021
Mar 29, 2018$335M then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 28, 20120 then
Employees (5.A)9 as of Mar 31, 2021
Mar 28, 20137 then
Private funds2 as of Mar 29, 2018
Mar 31, 20172 then
RAUM +14% over the last fiscal year+7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.0MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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$445M78%
  • Individuals$106M19%
  • Pension and profit-sharing plans$8.0M1.4%
  • Corporations and businesses$7.6M1.3%
  • Charitable organizations$3.8M0.7%
Individual clients
142reported
HNW clients
64reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
458reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••••• T•••••• S••••• V•••• L•no longer reportedHedge Fund$4.1M7Sep 8, 2016
      P•••••••• T•••••• A••••••• R••••• L•no longer reportedHedge Fund$3.4M9Sep 8, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J•••• J••••• · Co-Managing Membercontrol
        since 06/2015 · owns 10% to 25%
      • H•••••• W••••••• H•••• B•••••• · Co-Managing Membercontrol
        since 05/2012 · owns 10% to 25%
      • H•••••• S••••••• T•••••••• · Co-Managing Member, Chief Compliance Officercontrol
        since 08/2011 · owns 10% to 25%
      • M•••••• A•••• M•••••• · Co-Managing Membercontrol
        since 12/2013 · owns 10% to 25%
      • S•••••• C••••••• O•••• · Co-Managing Membercontrol
        since 08/2011 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 448 to 458
        Oct 2, 2020 to Mar 31, 2021
      • HNW clients · 62 to 64
        Oct 2, 2020 to Mar 31, 2021
      • Individual clients · 140 to 142
        Oct 2, 2020 to Mar 31, 2021
      • Discretionary RAUM · $493M to $563M
        Oct 2, 2020 to Mar 31, 2021
      • HNW RAUM · $379M to $445M
        Oct 2, 2020 to Mar 31, 2021
      • Individual RAUM · $106M to $106M
        Oct 2, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $7.2M to $8.0M
        Oct 2, 2020 to Mar 31, 2021
      • Pension RAUM · $6.4M to $8.0M
        Oct 2, 2020 to Mar 31, 2021
      • RAUM · $500M to $571M
        Oct 2, 2020 to Mar 31, 2021
      • Employees · 10 to 9
        Jun 30, 2020 to Oct 2, 2020
      • Advisory employees · 5 to 4
        Mar 28, 2019 to Mar 30, 2020
      • HNW clients · 63 to 62
        Mar 28, 2019 to Mar 30, 2020
      • Employees · 11 to 10
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $395M to $493M
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · $298M to $379M
        Mar 28, 2019 to Mar 30, 2020
      • Individual RAUM · $88.8M to $106M
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $5.5M to $7.2M
        Mar 28, 2019 to Mar 30, 2020
      • Pension RAUM · $7.7M to $6.4M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $400M to $500M
        Mar 28, 2019 to Mar 30, 2020
      • Accounts · 440 to 448
        Oct 25, 2018 to Mar 28, 2019
      • HNW clients · 60 to 63
        Oct 25, 2018 to Mar 28, 2019
      • Individual clients · 347 to 140
        Oct 25, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 2.0 to unset
        Oct 25, 2018 to Mar 28, 2019
      • Discretionary RAUM · $451M to $395M
        Oct 25, 2018 to Mar 28, 2019
      • HNW RAUM · $335M to $298M
        Oct 25, 2018 to Mar 28, 2019
      • Individual RAUM · $101M to $88.8M
        Oct 25, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $3.6M to $5.5M
        Oct 25, 2018 to Mar 28, 2019
      • Pension RAUM · $3.1M to $7.7M
        Oct 25, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · 7466182.0 to unset
        Oct 25, 2018 to Mar 28, 2019
      • RAUM · $455M to $400M
        Oct 25, 2018 to Mar 28, 2019
      • Private funds · 2 to unset
        Mar 29, 2018 to Oct 25, 2018
      • Accounts · 426 to 440
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 5
        Mar 31, 2017 to Mar 29, 2018
      • HNW clients · unset to 60.0
        Mar 31, 2017 to Mar 29, 2018
      • Individual clients · unset to 347.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Financial planning clients · unset to 1-10
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $410M to $451M
        Mar 31, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 335482601.0
        Mar 31, 2017 to Mar 29, 2018
      Signals
      1 dated events
      • Todd Robert Lincoln (Co-Managing Member) no longer on Schedule A of P•••••••• P•••••••• S••••••••• G•••• L•• (listed 2020-06-30, absent 2020-10-02)
        Oct 2, 2020 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026