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
M••••• W••••• M••••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Aug 3, 2012 · 27 filings
SEC status approved since Aug 13, 2012
RAUM
$507M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
97%
$490M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$507M as of Feb 27, 2026
Mar 25, 2013$101M then
HNW client RAUM$461M as of Feb 27, 2026
Mar 13, 2018$162M then
State-registered IARs (5.B.3)4 as of Feb 27, 2026
Mar 25, 20132 then
Employees (5.A)5 as of Feb 27, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $490,518derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +22%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $1.0BreportedItem 5.I
- Custody
- $176M, 89 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$461M91%
- Individuals$28.8M5.7%
- Pension and profit-sharing plans$8.6M1.7%
- Corporations and businesses$8.3M1.6%
- Individual clients
- 75reported
- HNW clients
- 126reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 1,034reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $507M sponsored, $507M managedreported
- Custody of client assets
- $176M for 89 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• L• M••••• | Ridgewood, Nj | Sep 25, 2012 | 25 y | 1 |
| G••••• Z•••••• B••••Certified Financial Planner | Ridgewood, Nj | May 24, 2022 | 12 y | 2 |
| W•••••• M•• S••••• | Ridgewood, Nj | Oct 3, 2022 | 13 y | 0 |
| S••••• D••••• R••••••••Certified Financial Planner | Ridgewood, Nj | May 12, 2023 | 10 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L••••• A•• R•••• to A• W•••••Oct 18, 2021 · RIA to RIA
- J••••• L•• C•••••• to M• H••••••• S••••••••• I•••Dec 10, 2019 · RIA to affiliated broker-dealer or bank
- M•••••• L•••• to C•••••••• G••••• M•••••• I•••Nov 5, 2016 · Other
Joined, latest
- S••••• D••••• R•••••••• from O•••• F•• I•••May 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- G••••• Z•••••• B•••• from J••••• M••••••••• S•••• L••May 24, 2022 · Affiliated broker-dealer or bank to independent RIA
- L••••• A•• R•••• from A••••••••• L•••May 12, 2020 · Other
- M•••••• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 26, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P•••• L• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 25, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P••••• L• · Principal / Chief Compliance Officercontrolsince 09/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ridgewood, Nj | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,123 to 1,034Feb 18, 2025 to Feb 27, 2026
- HNW clients · 123 to 126Feb 18, 2025 to Feb 27, 2026
- Individual clients · 42 to 75Feb 18, 2025 to Feb 27, 2026
- Pension plan clients · 5 to 7Feb 18, 2025 to Feb 27, 2026
- Assets in custody · $130M to $176MFeb 18, 2025 to Feb 27, 2026
- Discretionary RAUM · $399M to $480MFeb 18, 2025 to Feb 27, 2026
- HNW RAUM · $403M to $461MFeb 18, 2025 to Feb 27, 2026
- Individual RAUM · $14.3M to $28.8MFeb 18, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $26.3M to $27.6MFeb 18, 2025 to Feb 27, 2026
- Pension RAUM · $5.6M to $8.6MFeb 18, 2025 to Feb 27, 2026
- RAUM · $425M to $507MFeb 18, 2025 to Feb 27, 2026
- Wrap assets (manager) · $425M to $507MFeb 18, 2025 to Feb 27, 2026
- Wrap assets (sponsor) · $425M to $507MFeb 18, 2025 to Feb 27, 2026
- Accounts · 1,082 to 1,123Mar 18, 2024 to Feb 18, 2025
- Corporate clients · unset to 6.0Mar 18, 2024 to Feb 18, 2025
- HNW clients · 117 to 123Mar 18, 2024 to Feb 18, 2025
- Individual clients · 48 to 42Mar 18, 2024 to Feb 18, 2025
- Pension plan clients · unset to 5.0Mar 18, 2024 to Feb 18, 2025
- Assets in custody · $115M to $130MMar 18, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Feb 18, 2025
- HQ city · unset to Mar 18, 2024 to Feb 18, 2025
- HQ state · unset to Mar 18, 2024 to Feb 18, 2025
- Discretionary RAUM · $333M to $399MMar 18, 2024 to Feb 18, 2025
- HNW RAUM · $335M to $403MMar 18, 2024 to Feb 18, 2025
- Individual RAUM · $15.3M to $14.3MMar 18, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $23.6M to $26.3MMar 18, 2024 to Feb 18, 2025
- Pension RAUM · $4.5M to $5.6MMar 18, 2024 to Feb 18, 2025
- RAUM · $356M to $425MMar 18, 2024 to Feb 18, 2025
- Wrap assets (manager) · $356M to $425MMar 18, 2024 to Feb 18, 2025
- Wrap assets (sponsor) · $356M to $425MMar 18, 2024 to Feb 18, 2025
- Accounts · 1,027 to 1,082Mar 13, 2023 to Mar 18, 2024
- Advisory employees · 3 to 4Mar 13, 2023 to Mar 18, 2024
- HNW clients · 114 to 117Mar 13, 2023 to Mar 18, 2024
- Individual clients · 51 to 48Mar 13, 2023 to Mar 18, 2024
- Assets in custody · $79.4M to $115MMar 13, 2023 to Mar 18, 2024
- Employees · 4 to 5Mar 13, 2023 to Mar 18, 2024
- Financial planning clients · 0 to 1-10Mar 13, 2023 to Mar 18, 2024
- State-registered IARs · 3 to 4Mar 13, 2023 to Mar 18, 2024
- Discretionary RAUM · $289M to $333MMar 13, 2023 to Mar 18, 2024
- HNW RAUM · $283M to $335MMar 13, 2023 to Mar 18, 2024
Signals
1 dated events
- A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 3, 2012 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 201-215-3845reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 201-215-3855reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 201-215-3855reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- maltinwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026