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

L• C• B••••••• • C••

Other adviserCRD 158831SEC 801-74751IAPD
Latest filing Apr 13, 2026
First filing on the tape Mar 21, 2012 · 15 filings
SEC status approved since Apr 2, 2012
RAUM
$344M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$344M as of Apr 13, 2026
May 28, 2013$158M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 13, 2026
May 28, 20130 then
Employees (5.A)1 as of Apr 13, 2026
May 28, 20131 then
Private funds: no history
RAUM +15% over the last fiscal year+9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2026; 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
unknownderivedHNW RAUM over HNW clients
Average account
$344MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$344M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• B••••••• K••••• · Share-Holdercontrol
        since 06/1998 · owns 75% or more
      • B•••••••• L••••• C•••• · Chief Executive Officer & Chief Compliance Officercontrol
        since 06/1998 · owns 75% or more
      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 · 2 to 1
        Apr 22, 2025 to Apr 13, 2026
      • Discretionary RAUM · $300M to $344M
        Apr 22, 2025 to Apr 13, 2026
      • RAUM · $300M to $344M
        Apr 22, 2025 to Apr 13, 2026
      • Financial planning clients · unset to
        Apr 11, 2024 to Apr 22, 2025
      • HQ city · unset to
        Apr 11, 2024 to Apr 22, 2025
      • HQ state · unset to
        Apr 11, 2024 to Apr 22, 2025
      • Discretionary RAUM · $285M to $300M
        Apr 11, 2024 to Apr 22, 2025
      • RAUM · $285M to $300M
        Apr 11, 2024 to Apr 22, 2025
      • Discretionary RAUM · $244M to $285M
        May 15, 2023 to Apr 11, 2024
      • RAUM · $244M to $285M
        May 15, 2023 to Apr 11, 2024
      • Discretionary RAUM · $259M to $244M
        Apr 27, 2022 to May 15, 2023
      • RAUM · $259M to $244M
        Apr 27, 2022 to May 15, 2023
      • Discretionary RAUM · $253M to $259M
        May 20, 2021 to Apr 27, 2022
      • RAUM · $253M to $259M
        May 20, 2021 to Apr 27, 2022
      • Discretionary RAUM · $172M to $253M
        May 13, 2020 to May 20, 2021
      • RAUM · $172M to $253M
        May 13, 2020 to May 20, 2021
      • Discretionary RAUM · $194M to $172M
        May 9, 2019 to May 13, 2020
      • RAUM · $194M to $172M
        May 9, 2019 to May 13, 2020
      • Discretionary RAUM · $191M to $194M
        Apr 30, 2018 to May 9, 2019
      • RAUM · $191M to $194M
        Apr 30, 2018 to May 9, 2019
      • Accounts · 1 to 2
        May 30, 2017 to Apr 30, 2018
      • Other offices · unset to 0.0
        May 30, 2017 to Apr 30, 2018
      • Discretionary RAUM · $173M to $191M
        May 30, 2017 to Apr 30, 2018
      • RAUM · $173M to $191M
        May 30, 2017 to Apr 30, 2018
      • Discretionary RAUM · $162M to $173M
        May 25, 2016 to May 30, 2017
      • RAUM · $162M to $173M
        May 25, 2016 to May 30, 2017
      • Discretionary RAUM · $171M to $162M
        Apr 20, 2015 to May 25, 2016
      • RAUM · $171M to $162M
        Apr 20, 2015 to May 25, 2016
      • Discretionary RAUM · $167M to $171M
        Jun 16, 2014 to Apr 20, 2015
      • RAUM · $167M to $171M
        Jun 16, 2014 to Apr 20, 2015
      • Discretionary RAUM · $158M to $167M
        May 28, 2013 to Jun 16, 2014
      • RAUM · $158M to $167M
        May 28, 2013 to Jun 16, 2014
      • Advisory employees · unset to 1.0
        Mar 21, 2012 to May 28, 2013
      • BD registered reps · unset to 0.0
        Mar 21, 2012 to May 28, 2013
      • Employees · unset to 1.0
        Mar 21, 2012 to May 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 21, 2012 to May 28, 2013
      • Discretionary RAUM · $150M to $158M
        Mar 21, 2012 to May 28, 2013
      • RAUM · $150M to $158M
        Mar 21, 2012 to May 28, 2013
      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
      Principal office phone
      908-232-5193reportedpublic record, Form ADV, Apr 13, 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
      Other 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