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

H•••••••• W••••• M••••••••• L••

Former SEC-registered adviserMadison, New JerseyCRD 164442SEC 801-112921IAPD
Latest filing Mar 27, 2023
First filing on the tape Mar 23, 2018 · 9 filings
RAUM
$526M
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
100%
$526M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$526M as of Mar 27, 2023
Mar 27, 2018$255M then
HNW client RAUM$526M as of Mar 27, 2023
Mar 27, 2018$255M then
State-registered IARs (5.B.3)1 as of Mar 27, 2023
Mar 27, 20181 then
Employees (5.A)1 as of Mar 27, 2023
Mar 27, 20181 then
Private funds: no history
RAUM -5.7% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2023; every figure names its basis
RAUM per advisor
$526MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$17.0MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
21%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$526M100%
Individual clients
0reported
HNW clients
31reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
270reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• T•••••• F•••••• · Managing Member & Chief Compliance Officercontrol
      since 05/2012 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Madison, Nj · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 267 to 270
      Jan 4, 2023 to Mar 27, 2023
    • HNW clients · 30 to 31
      Jan 4, 2023 to Mar 27, 2023
    • Discretionary RAUM · $111M to $110M
      Jan 4, 2023 to Mar 27, 2023
    • HNW RAUM · $558M to $526M
      Jan 4, 2023 to Mar 27, 2023
    • Non-discretionary RAUM · $447M to $416M
      Jan 4, 2023 to Mar 27, 2023
    • RAUM · $558M to $526M
      Jan 4, 2023 to Mar 27, 2023
    • Accounts · 185 to 267
      Mar 10, 2021 to Mar 25, 2022
    • HNW clients · 28 to 30
      Mar 10, 2021 to Mar 25, 2022
    • Discretionary RAUM · $97.6M to $111M
      Mar 10, 2021 to Mar 25, 2022
    • HNW RAUM · $402M to $558M
      Mar 10, 2021 to Mar 25, 2022
    • Non-discretionary RAUM · $304M to $447M
      Mar 10, 2021 to Mar 25, 2022
    • RAUM · $402M to $558M
      Mar 10, 2021 to Mar 25, 2022
    • Accounts · 148 to 185
      Jun 22, 2020 to Mar 10, 2021
    • Discretionary RAUM · $65.8M to $97.6M
      Jun 22, 2020 to Mar 10, 2021
    • HNW RAUM · $330M to $402M
      Jun 22, 2020 to Mar 10, 2021
    • Non-discretionary RAUM · $264M to $304M
      Jun 22, 2020 to Mar 10, 2021
    • RAUM · $330M to $402M
      Jun 22, 2020 to Mar 10, 2021
    • Accounts · 140 to 148
      Mar 26, 2019 to Mar 31, 2020
    • Discretionary RAUM · $60.2M to $65.8M
      Mar 26, 2019 to Mar 31, 2020
    • HNW RAUM · $309M to $330M
      Mar 26, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $249M to $264M
      Mar 26, 2019 to Mar 31, 2020
    • RAUM · $309M to $330M
      Mar 26, 2019 to Mar 31, 2020
    • Accounts · 141 to 140
      Mar 27, 2018 to Mar 26, 2019
    • HNW clients · 27 to 28
      Mar 27, 2018 to Mar 26, 2019
    • Discretionary RAUM · $59.1M to $60.2M
      Mar 27, 2018 to Mar 26, 2019
    • HNW RAUM · $255M to $309M
      Mar 27, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · $196M to $249M
      Mar 27, 2018 to Mar 26, 2019
    • RAUM · $255M to $309M
      Mar 27, 2018 to Mar 26, 2019
    Signals
    3 dated events
    • T••••• F•••••• H••••••••• left H•••••••• W••••• M••••••••• L•• for R•••••••• S••••••• (registered 2023-07-11)
      Mar 7, 2024 · Advisor changed firm · fact
    • H•••••••• W••••• M••••••••• L•• reported RAUM $558.0M, up 39% from $402.0M (2021-03-10 to 2022-03-25)
      Mar 25, 2022 · RAUM change · derived
    • H•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 23, 2018 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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