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
G•••••• P••• C•••••• M••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Apr 24, 2018 · 15 filings
SEC status approved since May 25, 2018
RAUM
$9.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$4.9B
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$9.9B as of Feb 23, 2026
Mar 12, 2019$18B then
HNW client RAUM$0 as of Feb 23, 2026
Mar 12, 2019$0 then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Mar 12, 20192 then
Employees (5.A)5 as of Feb 23, 2026
Mar 12, 20195 then
Private funds: no history
RAUM -12% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
- RAUM per advisor
- $4.9BderivedRAUM 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
- $2.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $7.8M, 5 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$9.9B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.8M for 5 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• T••••••• P••••• | Boca Grande, Fl | Mar 26, 2013 | 27 y | 2 |
| M••••• C••• Y•••••• | Gladstone, Nj | Mar 26, 2013 | 22 y | 2 |
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
none on the tape
Joined, latest
- M••••• C••• Y•••••• from R••••••••• A•••••••• L••Mar 26, 2013 · Other
- W•••••• T••••••• P••••• from R••••••••• A•••••••• L••Mar 26, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• T•••• M•••••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- P•••••• W••••••• T••••••• · Principalcontrolsince 01/2006 · owns 75% or more
- Y••••••• M•••••• C••• · Portfolio Managersince 01/2006 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••••• S••••••••• L••broker-dealercustodiann
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 5Feb 12, 2025 to Feb 23, 2026
- Corporate clients · 6 to 5Feb 12, 2025 to Feb 23, 2026
- Assets in custody · $11.1M to $7.8MFeb 12, 2025 to Feb 23, 2026
- Employees · 6 to 5Feb 12, 2025 to Feb 23, 2026
- Discretionary RAUM · $11B to $9.9BFeb 12, 2025 to Feb 23, 2026
- RAUM · $11B to $9.9BFeb 12, 2025 to Feb 23, 2026
- Assets in custody · $51.4M to $11.1MDec 17, 2024 to Feb 12, 2025
- Financial planning clients · unset to Dec 17, 2024 to Feb 12, 2025
- Discretionary RAUM · $774M to $11BDec 17, 2024 to Feb 12, 2025
- RAUM · $774M to $11BDec 17, 2024 to Feb 12, 2025
- Accounts · 7 to 6Mar 10, 2023 to Mar 4, 2024
- Corporate clients · 7 to 6Mar 10, 2023 to Mar 4, 2024
- Assets in custody · $37.4M to $51.4MMar 10, 2023 to Mar 4, 2024
- Discretionary RAUM · $5.4B to $774MMar 10, 2023 to Mar 4, 2024
- RAUM · $5.4B to $774MMar 10, 2023 to Mar 4, 2024
- Accounts · 5 to 7Mar 2, 2022 to Mar 10, 2023
- Corporate clients · 5 to 7Mar 2, 2022 to Mar 10, 2023
- Assets in custody · $3.2M to $37.4MMar 2, 2022 to Mar 10, 2023
- HQ city · CHATTHAM to CHATHAMMar 2, 2022 to Mar 10, 2023
- Discretionary RAUM · $2.8B to $5.4BMar 2, 2022 to Mar 10, 2023
- RAUM · $2.8B to $5.4BMar 2, 2022 to Mar 10, 2023
- Accounts · 6 to 5May 25, 2021 to Mar 2, 2022
- Corporate clients · 6 to 5May 25, 2021 to Mar 2, 2022
- Assets in custody · $10.0M to $3.2MMay 25, 2021 to Mar 2, 2022
- HQ city · BEDMINSTER to CHATTHAMMay 25, 2021 to Mar 2, 2022
- Discretionary RAUM · $4.1B to $2.8BMay 25, 2021 to Mar 2, 2022
- RAUM · $4.1B to $2.8BMay 25, 2021 to Mar 2, 2022
- Assets in custody · unset to 10010426.0Mar 26, 2021 to May 25, 2021
- Custody of client assets · false to trueMar 26, 2021 to May 25, 2021
- Accounts · 7 to 6Feb 20, 2020 to Mar 26, 2021
- Corporate clients · 7 to 6Feb 20, 2020 to Mar 26, 2021
- Discretionary RAUM · $457M to $4.1BFeb 20, 2020 to Mar 26, 2021
- RAUM · $457M to $4.1BFeb 20, 2020 to Mar 26, 2021
- Discretionary RAUM · $18B to $457MApr 30, 2019 to Feb 20, 2020
- RAUM · $18B to $457MApr 30, 2019 to Feb 20, 2020
- Employees · 5 to 6Mar 12, 2019 to Apr 30, 2019
- Accounts · 4 to 7Nov 1, 2018 to Mar 12, 2019
- Corporate clients · unset to 7.0Nov 1, 2018 to Mar 12, 2019
- Employees · 3 to 5Nov 1, 2018 to Mar 12, 2019
- Discretionary RAUM · $11B to $18BNov 1, 2018 to Mar 12, 2019
Signals
8 dated events
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $11.2B, up 1343% from $774.2M (2024-12-17 to 2025-02-12)Feb 12, 2025 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $774.2M, down 86% from $5.4B (2023-03-10 to 2024-03-04)Mar 4, 2024 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $5.4B, up 93% from $2.8B (2022-03-02 to 2023-03-10)Mar 10, 2023 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $2.8B, down 33% from $4.1B (2021-05-25 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $4.1B, up 800% from $456.9M (2020-02-20 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $456.9M, down 97% from $18.1B (2019-04-30 to 2020-02-20)Feb 20, 2020 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• reported RAUM $18.1B, up 66% from $10.9B (2018-11-01 to 2019-03-12)Mar 12, 2019 · RAUM change · derived
- G•••••• P••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 2018 · 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
- Principal office phone
- 908-304-9200reportedpublic record, Form ADV, Feb 23, 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
- $4.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026