DFX Intelligence
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I••••••••• R••••••• C••••
Former SEC-registered adviserFormer SEC adviser· Montvale, New Jersey
Former SEC-registered adviser, based in Montvale, New Jersey, reporting $2.2M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $2.2M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- -96%
- Private clients
- 0.0% of RAUM
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $61.2MRAUM now $2.2M
Every filed figure, and the identifiersCRD 160149 · SEC 801-73725 · 5 filingsShowHide
RAUM
$2.2M
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
Not computed
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.2M as of Oct 9, 2015
Sep 21, 2012$389M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 9, 2015
Sep 30, 20130 then
Employees (5.A)6 as of Oct 9, 2015
Sep 30, 20138 then
Private funds: no history
RAUM -96% over the last fiscal year-82% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 9, 2015; 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
- $1.1MderivedRAUM 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
- -96%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••••• M• · Director, Chief Executive Officer And Chief Compliance Officercontrolsince 12/1990 · owns 50% to 75%
- N•••••••• S••• · Shareholdersince 11/2009 · owns 5% to 10%
- O•••• W••••••• A••••• · Shareholdersince 12/1990 · owns 5% to 10%
Related persons
Schedule D 7.A
- B•• B•••• P•••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 3Sep 30, 2014 to Oct 9, 2015
- Employees · 8 to 6Sep 30, 2014 to Oct 9, 2015
- Discretionary RAUM · $61.2M to $2.2MSep 30, 2014 to Oct 9, 2015
- RAUM · $61.2M to $2.2MSep 30, 2014 to Oct 9, 2015
- Accounts · 3 to 2Sep 30, 2013 to Sep 30, 2014
- Discretionary RAUM · $367M to $61.2MSep 30, 2013 to Sep 30, 2014
- RAUM · $367M to $61.2MSep 30, 2013 to Sep 30, 2014
- Advisory employees · unset to 5.0Sep 21, 2012 to Sep 30, 2013
- BD registered reps · unset to 0.0Sep 21, 2012 to Sep 30, 2013
- Employees · unset to 8.0Sep 21, 2012 to Sep 30, 2013
- State-registered IARs · unset to 0.0Sep 21, 2012 to Sep 30, 2013
- Discretionary RAUM · $389M to $367MSep 21, 2012 to Sep 30, 2013
- RAUM · $389M to $367MSep 21, 2012 to Sep 30, 2013
- Discretionary RAUM · $249M to $389MFeb 14, 2012 to Sep 21, 2012
- RAUM · $249M to $389MFeb 14, 2012 to Sep 21, 2012
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.
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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026