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••• H••••• • W••••• M••••••••• G••••
Legal name L••• A•• A••••••••• L••
Latest filing Feb 6, 2025
First filing on the tape Aug 1, 2013 · 30 filings
SEC status approved since Apr 16, 2018
RAUM
$418M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
93%
$390M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$418M as of Feb 6, 2025
Mar 27, 2014$235M then
HNW client RAUM$264M as of Feb 6, 2025
Mar 31, 2019$64.3M then
State-registered IARs (5.B.3)5 as of Feb 6, 2025
Mar 27, 20147 then
Employees (5.A)8 as of Feb 6, 2025
Mar 27, 201411 then
Private funds: no history
RAUM +33% over the last fiscal year+16% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Feb 6, 2025; every figure names its basis
- RAUM per advisor
- $83.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $386,414derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$264M67%
- Individuals$126M32%
- Charitable organizations$3.6M0.9%
- Pension and profit-sharing plans$2.9M0.7%
- Individual clients
- 309reported
- HNW clients
- 102reported
- Pension plan clients
- 5reported
- Charitable clients
- 2reported
- Accounts
- 1,083reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- T••••• A••••• L••• to M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- E•••• R••• M••••••• to M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- T••••• A••••• L••• to M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- G•••••• H•••• R•••••• to M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- A••••• C• H••••• to M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
- D•••• K••••• to K••••• W••••• P••••••• L••Dec 3, 2020 · Other
- T•••••• J••• F••••• to G•••••••• F•••••••• N••••••• L••May 2, 2017 · Other
- W•••••• S••• M••••••• to R•••••• W••••• M••••••••• G••••• L••Sep 28, 2016 · Other
- V••••• R••• S••••• to R•••••• W••••• M••••••••• G••••• L••Feb 22, 2016 · Other
- J••••• W••••••• to R•••••• W••••• M••••••••• G••••• L••Dec 22, 2015 · Other
- S••••• C••• B••••••• to R•••••• W••••• M••••••••• G••••• L••Dec 22, 2015 · Other
Joined, latest
- G•••••• H•••• R•••••• from C••••• I••••••••• A••••••• L••Jun 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- W•••••• S••• M••••••• from V•• A••••••• S•••••••Nov 30, 2015 · Other
- T••••• A••••• L••• from V•• A••••••• S•••••••Oct 31, 2013 · Other
- A••••• C• H••••• from V•• A••••••• S•••••••Oct 29, 2013 · Other
- T••••• A••••• L••• from V•• A••••••• S•••••••Oct 1, 2013 · Other
- V••••• R••• S••••• from V•• A••••••• S•••••••Oct 1, 2013 · Other
- J••••• W••••••• from V•• A••••••• S•••••••Oct 1, 2013 · Other
- S••••• C••• B••••••• from V•• A••••••• S•••••••Oct 1, 2013 · Other
- T•••••• J••• F••••• from V•• A••••••• S•••••••Oct 1, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for M••••• G•••• I••••••••• A•••••••• L••Dec 31, 2025 · Moorestown, Nj · Firm absorbed
- 2 left for R•••••• W••••• M••••••••• G••••• L••Dec 22, 2015 · Moorestown, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• A•••••• C• · Partnercontrolsince 01/2019 · owns 25% to 50%
- L•••• T•••••• A••••• · Managing Partner, Ccocontrolsince 09/2003 · owns 25% to 50%
- L•••• T•••••• A••••• · Vice Presidentcontrolsince 01/2019 · owns 25% to 50%
- S•••••••• M••••••• T••••• · Chief Operating Officercontrolsince 03/2022 · owns less than 5%
Related persons
Schedule D 7.A
- I••••• R••••••••• G•••• L••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Moorestown, Nj · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 937 to 1,083Jan 9, 2025 to Feb 6, 2025
- HNW clients · 74 to 102Jan 9, 2025 to Feb 6, 2025
- Individual clients · 303 to 309Jan 9, 2025 to Feb 6, 2025
- Financial planning clients · 251-500 to 251-500Jan 9, 2025 to Feb 6, 2025
- Discretionary RAUM · $293M to $397MJan 9, 2025 to Feb 6, 2025
- HNW RAUM · $179M to $264MJan 9, 2025 to Feb 6, 2025
- Individual RAUM · $109M to $126MJan 9, 2025 to Feb 6, 2025
- Non-discretionary RAUM · $21.2M to $21.6MJan 9, 2025 to Feb 6, 2025
- Pension RAUM · $2.0M to $2.9MJan 9, 2025 to Feb 6, 2025
- RAUM · $314M to $418MJan 9, 2025 to Feb 6, 2025
- Advisory employees · 4 to 5Dec 5, 2024 to Jan 9, 2025
- Employees · 7 to 8Dec 5, 2024 to Jan 9, 2025
- State-registered IARs · 4 to 5Dec 5, 2024 to Jan 9, 2025
- Accounts · 867 to 937Oct 26, 2023 to Feb 23, 2024
- HNW clients · 76 to 74Oct 26, 2023 to Feb 23, 2024
- Individual clients · 283 to 303Oct 26, 2023 to Feb 23, 2024
- Discretionary RAUM · $229M to $293MOct 26, 2023 to Feb 23, 2024
- HNW RAUM · $150M to $179MOct 26, 2023 to Feb 23, 2024
- Individual RAUM · $77.5M to $109MOct 26, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $27.5M to $21.2MOct 26, 2023 to Feb 23, 2024
- Pension RAUM · $1.0M to $2.0MOct 26, 2023 to Feb 23, 2024
- RAUM · $256M to $314MOct 26, 2023 to Feb 23, 2024
- Accounts · 724 to 867Aug 2, 2022 to Mar 23, 2023
- BD registered reps · 1 to 0Aug 2, 2022 to Mar 23, 2023
- Charity clients · unset to 2.0Aug 2, 2022 to Mar 23, 2023
- HNW clients · 105 to 76Aug 2, 2022 to Mar 23, 2023
- Individual clients · 214 to 283Aug 2, 2022 to Mar 23, 2023
- Pension plan clients · unset to 5.0Aug 2, 2022 to Mar 23, 2023
- Employees · 6 to 7Aug 2, 2022 to Mar 23, 2023
- Financial planning clients · 101-250 to 251-500Aug 2, 2022 to Mar 23, 2023
- Discretionary RAUM · $245M to $229MAug 2, 2022 to Mar 23, 2023
- HNW RAUM · $185M to $150MAug 2, 2022 to Mar 23, 2023
- Individual RAUM · $57.5M to $77.5MAug 2, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $26.3M to $27.5MAug 2, 2022 to Mar 23, 2023
- Pension RAUM · $266,283 to $1.0MAug 2, 2022 to Mar 23, 2023
- RAUM · $271M to $256MAug 2, 2022 to Mar 23, 2023
- Accounts · 652 to 724Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 3 to 4Mar 31, 2021 to Mar 31, 2022
- HNW clients · 51 to 105Mar 31, 2021 to Mar 31, 2022
- Individual clients · 245 to 214Mar 31, 2021 to Mar 31, 2022
Signals
11 dated events
- L••• H••••• • W••••• M••••••••• G•••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $418.5M)Jan 2, 2026 · Left the SEC roster · derived
- G•••••• H•••• R•••••• left L••• H••••• • W••••• M••••••••• G•••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2025-09-04)Dec 31, 2025 · Advisor changed firm · fact
- E•••• R••• M••••••• left L••• H••••• • W••••• M••••••••• G•••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2025-09-08)Dec 31, 2025 · Advisor changed firm · fact
- T••••• A••••• L••• left L••• H••••• • W••••• M••••••••• G•••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2025-08-27)Dec 31, 2025 · Advisor changed firm · fact
- T••••• A••••• L••• left L••• H••••• • W••••• M••••••••• G•••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2025-08-27)Dec 31, 2025 · Advisor changed firm · fact
- A••••• C• H••••• left L••• H••••• • W••••• M••••••••• G•••• for M••••• G•••• I••••••••• A•••••••• L•• (registered 2025-09-08)Dec 31, 2025 · Advisor changed firm · fact
- L••• H••••• • W••••• M••••••••• G••••'s advisors moved to M••••• G•••• I••••••••• A•••••••• L•• (Moorestown, NJ): 5 of 5 registered, on the same dayDec 31, 2025 · Firm absorbed (people side) · derived
- L••• H••••• • W••••• M••••••••• G•••• reported RAUM $418.5M, up 33% from $313.9M (2025-01-09 to 2025-02-06)Feb 6, 2025 · RAUM change · derived
- T••••• M•••••• S••••••• (Chief Operating Officer) appeared on Schedule A of L••• H••••• • W••••• M••••••••• G••••Mar 23, 2023 · Control person joined · fact
- C Andrew H••••• (Partner) appeared on Schedule A of L••• H••••• • W••••• M••••••••• G••••Mar 31, 2019 · Control person joined · fact
- L••• H••••• • W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Mar 15, 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.
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