DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••• C•••••• I•••••••••
Legal name C••••• C•••••• I••••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 26, 2012
RAUM
$444M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.4%
$41.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$444M as of Aug 13, 2026
Mar 21, 2013$113M then
HNW client RAUM$41.6M as of Aug 13, 2026
Mar 29, 2018$9.1M then
State-registered IARs (5.B.3)0 as of Aug 13, 2026
Mar 21, 20130 then
Employees (5.A)7 as of Aug 13, 2026
Mar 21, 20139 then
Private funds3 as of Aug 13, 2026
Mar 21, 20131 then
RAUM +68% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 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
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $19.3MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$264M74%
- High-net-worth individuals$41.6M12%
- Banks and thrifts$34.4M9.6%
- Other investment advisers$16.0M4.5%
- Corporations and businesses$2.6M0.7%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.09 fund_share=0.63 institutional_share=0.0 related_bd=false related_bank=true 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• H••• M••••• F••• L••• | Hedge Fund | $86.3M | 42 | Feb 14, 2012 |
| A•••• P••• F••• | Hedge Fund | $13.9M | 14 | Mar 31, 2022 |
| C•• I••••• P••••••• F••• L• | Hedge Fund | $11.7M | 17 | Mar 31, 2023 |
| T••• H••• I•••• M••••• F••• | Hedge Fund | $2.5M | 5 | Jun 22, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• V•••••• P••••••••• · Managing Principalcontrolsince 12/2006 · owns 75% or more
- M•••••• R•••••• F•••••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• P••• G• L••bankpooled vehicle sponsorn
- C•• I••••• P••••••• F••• G• L••bankpooled vehicle sponsorn
- T••• H••• F••• •••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Jul 17, 2026 to Aug 13, 2026
- HNW clients · 10 to 8Jul 17, 2026 to Aug 13, 2026
- HNW RAUM · $127M to $41.6MJul 17, 2026 to Aug 13, 2026
- Discretionary RAUM · $351M to $444MMar 30, 2026 to Jul 17, 2026
- HNW RAUM · $110M to $127MMar 30, 2026 to Jul 17, 2026
- Pooled vehicle RAUM · $180M to $264MMar 30, 2026 to Jul 17, 2026
- RAUM · $351M to $444MMar 30, 2026 to Jul 17, 2026
- Accounts · 21 to 23Mar 28, 2025 to Mar 30, 2026
- HNW clients · 8 to 10Mar 28, 2025 to Mar 30, 2026
- Employees · 8 to 7Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $265M to $351MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $87.2M to $110MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $118M to $180MMar 28, 2025 to Mar 30, 2026
- RAUM · $265M to $351MMar 28, 2025 to Mar 30, 2026
- Accounts · 20 to 21Mar 28, 2024 to Mar 28, 2025
- HNW clients · 7 to 8Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $220M to $265MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $57.1M to $87.2MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $112M to $118MMar 28, 2024 to Mar 28, 2025
- RAUM · $220M to $265MMar 28, 2024 to Mar 28, 2025
- Accounts · 21 to 20Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 5Mar 31, 2023 to Mar 28, 2024
- Employees · 10 to 8Mar 31, 2023 to Mar 28, 2024
- Private funds · 4 to 3Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $207M to $220MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $36.6M to $57.1MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · 0.0 to unsetMar 31, 2023 to Mar 28, 2024
- Pension RAUM · 0.0 to unsetMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $122M to $112MMar 31, 2023 to Mar 28, 2024
- RAUM · $207M to $220MMar 31, 2023 to Mar 28, 2024
- Accounts · 20 to 21Nov 8, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 6Nov 8, 2022 to Mar 31, 2023
- Private funds · 3 to 4Nov 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $205M to $207MNov 8, 2022 to Mar 31, 2023
- HNW RAUM · $20.2M to $36.6MNov 8, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $144M to $122MNov 8, 2022 to Mar 31, 2023
- RAUM · $205M to $207MNov 8, 2022 to Mar 31, 2023
- HQ city · SHORT H•••S to LIVINGSTONMar 31, 2022 to Nov 8, 2022
- Accounts · 15 to 20Mar 31, 2021 to Mar 31, 2022
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
- Website
- CREDITCI.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 973-315-3000reportedpublic record, Form ADV, Aug 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
- Asset manager (funds and pooled vehicles)deriveda 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