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
L•• W••••• A•••••••• I•••
Latest filing Mar 6, 2024
First filing on the tape Mar 11, 2013 · 42 filings
RAUM
$549M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$530M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$549M as of Mar 6, 2024
Mar 22, 2013$106M then
HNW client RAUM$508M as of Mar 6, 2024
Mar 15, 2018$222M then
State-registered IARs (5.B.3)3 as of Mar 6, 2024
Mar 22, 20132 then
Employees (5.A)3 as of Mar 6, 2024
Mar 22, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+9.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 2024; every figure names its basis
- RAUM per advisor
- $183MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $681,628derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $1.1BreportedItem 5.I
- Custody
- $94.8M, 95 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$508M93%
- Individuals$22.3M4.1%
- Pension and profit-sharing plans$18.2M3.3%
- Charitable organizations$593,1920.1%
- Corporations and businesses$5,3390.0%
- Individual clients
- 95reported
- HNW clients
- 124reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 805reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $526M sponsored, $526M managedreported
- Custody of client assets
- $94.8M for 95 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- G•••• C•••• to M•• C•••••• M••••••••• L••Mar 12, 2024 · RIA to RIA
- L•••• A•••• L••••• to M•• C•••••• M••••••••• L••Mar 12, 2024 · RIA to RIA
- V•••••• L••••• D•••• to M•• C•••••• M••••••••• L••Mar 12, 2024 · RIA to RIA
- M••• A••• L•••••••• to M••• A••• W••••• M••••••••• L••Dec 4, 2020 · RIA to a state-registered adviser
Joined, latest
- L•••• A•••• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 4, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•• C•••••• M••••••••• L••Mar 12, 2024 · Basking Ridge, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• L••••• A•••• · President & Chief Compliance Officercontrolsince 05/2012 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Basking Ridge, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 769 to 805Mar 23, 2023 to Mar 6, 2024
- HNW clients · 108 to 124Mar 23, 2023 to Mar 6, 2024
- Individual clients · 106 to 95Mar 23, 2023 to Mar 6, 2024
- Pension plan clients · unset to 7.0Mar 23, 2023 to Mar 6, 2024
- Assets in custody · $33.4M to $94.8MMar 23, 2023 to Mar 6, 2024
- Discretionary RAUM · $445M to $529MMar 23, 2023 to Mar 6, 2024
- HNW RAUM · $408M to $508MMar 23, 2023 to Mar 6, 2024
- Individual RAUM · $37.9M to $22.3MMar 23, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $16.2M to $19.9MMar 23, 2023 to Mar 6, 2024
- Pension RAUM · $14.7M to $18.2MMar 23, 2023 to Mar 6, 2024
- RAUM · $461M to $549MMar 23, 2023 to Mar 6, 2024
- Wrap assets (manager) · $444M to $526MMar 23, 2023 to Mar 6, 2024
- Wrap assets (sponsor) · $444M to $526MMar 23, 2023 to Mar 6, 2024
- Accounts · 789 to 769Jun 28, 2022 to Mar 22, 2023
- HNW clients · 150 to 108Jun 28, 2022 to Mar 22, 2023
- Individual clients · 46 to 106Jun 28, 2022 to Mar 22, 2023
- Assets in custody · $168M to $33.4MJun 28, 2022 to Mar 22, 2023
- Discretionary RAUM · $501M to $445MJun 28, 2022 to Mar 22, 2023
- HNW RAUM · $485M to $408MJun 28, 2022 to Mar 22, 2023
- Individual RAUM · $14.2M to $37.9MJun 28, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $17.1M to $16.2MJun 28, 2022 to Mar 22, 2023
- Pension RAUM · $15.0M to $14.7MJun 28, 2022 to Mar 22, 2023
- RAUM · $518M to $461MJun 28, 2022 to Mar 22, 2023
- Wrap assets (manager) · $499M to $444MJun 28, 2022 to Mar 22, 2023
- Wrap assets (sponsor) · $499M to $444MJun 28, 2022 to Mar 22, 2023
- Accounts · 785 to 789Sep 22, 2021 to Feb 9, 2022
- Advisory activities · 4 to 3Sep 22, 2021 to Feb 9, 2022
- Corporate clients · 8.0 to unsetSep 22, 2021 to Feb 9, 2022
- HNW clients · 171 to 150Sep 22, 2021 to Feb 9, 2022
- Individual clients · 56 to 46Sep 22, 2021 to Feb 9, 2022
- Assets in custody · $133M to $168MSep 22, 2021 to Feb 9, 2022
- Financial planning clients · 1-10 to 0Sep 22, 2021 to Feb 9, 2022
- Discretionary RAUM · $408M to $501MSep 22, 2021 to Feb 9, 2022
- HNW RAUM · $395M to $485MSep 22, 2021 to Feb 9, 2022
- Individual RAUM · $12.3M to $14.2MSep 22, 2021 to Feb 9, 2022
- Non-discretionary RAUM · $13.6M to $17.1MSep 22, 2021 to Feb 9, 2022
- Pension RAUM · $11.7M to $15.0MSep 22, 2021 to Feb 9, 2022
- RAUM · $422M to $518MSep 22, 2021 to Feb 9, 2022
- Wrap assets (manager) · $390M to $499MSep 22, 2021 to Feb 9, 2022
- Wrap assets (sponsor) · $406M to $499MSep 22, 2021 to Feb 9, 2022
Signals
6 dated events
- V•••••• L••••• D•••• left L•• W••••• A•••••••• I••• for M•• C•••••• M••••••••• L•• (registered 2024-09-18)Mar 12, 2024 · Advisor changed firm · fact
- G•••• C•••• left L•• W••••• A•••••••• I••• for M•• C•••••• M••••••••• L•• (registered 2024-05-06)Mar 12, 2024 · Advisor changed firm · fact
- L•••• A•••• L••••• left L•• W••••• A•••••••• I••• for M•• C•••••• M••••••••• L•• (registered 2024-03-12)Mar 12, 2024 · Advisor changed firm · fact
- L•• W••••• A•••••••• I•••'s advisors moved to M•• C•••••• M••••••••• L•• (Basking Ridge, NJ): 3 of 3 registered, on the same dayMar 12, 2024 · Firm absorbed (people side) · derived
- L•• W••••• A•••••••• I••• reported RAUM $389.3M, up 38% from $282.5M (2019-07-24 to 2020-02-06)Feb 6, 2020 · RAUM change · derived
- L••••• W••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Mar 11, 2013 · First SEC registration · fact
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