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
N••• W••••• P•••••••
Legal name P•••••• W••••• M••••••••• G•••• L••
Latest filing Mar 25, 2026
First filing on the tape Jan 9, 2013 · 23 filings
SEC status approved since Jan 1, 2013
RAUM
$613M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$610M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$87.5M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$613M as of Mar 25, 2026
Mar 24, 2014$162M then
HNW client RAUM$550M as of Mar 25, 2026
Mar 27, 2018$184M then
State-registered IARs (5.B.3)7 as of Mar 25, 2026
Mar 24, 20143 then
Employees (5.A)11 as of Mar 25, 2026
Mar 24, 20144 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $87.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $612,164derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$550M90%
- Individuals$60.6M9.9%
- Pension and profit-sharing plans$2.4M0.4%
- Individual clients
- 120reported
- HNW clients
- 150reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 1,001reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• B• D•••Certified Financial Planner | Princeton, Nj | Jan 30, 2013 | 24 y | 1 |
| R••• M• V••••Certified Financial Planner | Princeton, Nj | Jan 30, 2013 | 23 y | 1 |
| R••• A••••• D••• | Princeton, Nj | Apr 23, 2014 | 13 y | 0 |
| D••••• H• S••• | Princeton, Nj | Dec 14, 2015 | 17 y | 0 |
| B•••••• J••• L•••• | Princeton, Nj | Sep 3, 2020 | 11 y | 0 |
| D•••• M••••••• S•••• | Princeton, Nj | Sep 14, 2023 | 10 y | 0 |
| A•••••• C•••••• S•••••Certified Financial Planner | Princeton, Nj | Jan 9, 2026 | 10 y | 0 |
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
- M•••••• M•••• to F•••••• F••••••••Apr 22, 2022 · RIA to RIA
- D••••••• R•••••• M••••• to W••••••••• A•••••••Jun 17, 2021 · RIA to RIA
- A••••• N•••• O•••••• to H•••••••• A•••••••• L••Mar 22, 2018 · Other
- T••• C•••• B••••• to P••••••• I••••• C••••••••• L••Aug 12, 2016 · Other
Joined, latest
- A••••• N•••• O•••••• from S••••••••• A•••••• A•••••••• I•••Jun 19, 2017 · Other
- T••• C•••• B••••• from G••• E•••• A•••••••• L••Oct 15, 2015 · Other
- R••••• B• D••• from P•••••• W••••• M••••••••• G•••• I••Jan 30, 2013 · Other
- R••• M• V•••• from P•••••• W••••• M••••••••• G•••• I••Jan 30, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• R•••••• B• · Managing Principal, Ccocontrolsince 01/2013 · owns 75% or more
- S•••• D•••••• H• · Wealth Manager And Partnersince 01/2024 · owns less than 5%
- V••••• R•••• M• · Member, Senior Wealth Advisorsince 01/2013 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 915 to 1,001Mar 28, 2025 to Mar 25, 2026
- Advisory employees · 8 to 7Mar 28, 2025 to Mar 25, 2026
- HNW clients · 129 to 150Mar 28, 2025 to Mar 25, 2026
- Individual clients · 118 to 120Mar 28, 2025 to Mar 25, 2026
- Assets in custody · $358M to $211MMar 28, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 1-10Mar 28, 2025 to Mar 25, 2026
- State-registered IARs · 6 to 7Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $491M to $610MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $433M to $550MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $57.9M to $60.6MMar 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.8M to $2.4MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $1.8M to $2.4MMar 28, 2025 to Mar 25, 2026
- RAUM · $493M to $613MMar 28, 2025 to Mar 25, 2026
- Accounts · 822 to 915Aug 13, 2024 to Mar 28, 2025
- Advisory employees · 7 to 8Aug 13, 2024 to Mar 28, 2025
- HNW clients · 114 to 129Aug 13, 2024 to Mar 28, 2025
- Individual clients · 121 to 118Aug 13, 2024 to Mar 28, 2025
- Pension plan clients · 9 to 2Aug 13, 2024 to Mar 28, 2025
- Assets in custody · $312M to $358MAug 13, 2024 to Mar 28, 2025
- Employees · 10 to 11Aug 13, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 51-100Aug 13, 2024 to Mar 28, 2025
- Discretionary RAUM · $425M to $491MAug 13, 2024 to Mar 28, 2025
- HNW RAUM · $372M to $433MAug 13, 2024 to Mar 28, 2025
- Individual RAUM · $51.7M to $57.9MAug 13, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.5M to $1.8MAug 13, 2024 to Mar 28, 2025
- Pension RAUM · $3.2M to $1.8MAug 13, 2024 to Mar 28, 2025
- RAUM · $427M to $493MAug 13, 2024 to Mar 28, 2025
- Accounts · 750 to 822Mar 28, 2023 to Mar 15, 2024
- Advisory employees · 6 to 7Mar 28, 2023 to Mar 15, 2024
- HNW clients · 108 to 114Mar 28, 2023 to Mar 15, 2024
- Individual clients · 111 to 121Mar 28, 2023 to Mar 15, 2024
- Pension plan clients · 8 to 9Mar 28, 2023 to Mar 15, 2024
- Assets in custody · $283M to $312MMar 28, 2023 to Mar 15, 2024
- State-registered IARs · 5 to 6Mar 28, 2023 to Mar 15, 2024
- Discretionary RAUM · $361M to $425MMar 28, 2023 to Mar 15, 2024
- HNW RAUM · $316M to $372MMar 28, 2023 to Mar 15, 2024
- Individual RAUM · $43.0M to $51.7MMar 28, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $42,022 to $1.5MMar 28, 2023 to Mar 15, 2024
- Pension RAUM · $2.1M to $3.2MMar 28, 2023 to Mar 15, 2024
- RAUM · $361M to $427MMar 28, 2023 to Mar 15, 2024
Signals
3 dated events
- M•••••• M•••• left N••• W••••• P••••••• for F•••••• F•••••••• (registered 2022-06-03)Apr 22, 2022 · Advisor changed firm · fact
- P•••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Jan 9, 2013 · First SEC registration · fact
- P•••••• W••••• M••••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 9, 2013 · Succession (Item 4) · 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
- 609-921-7002reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/noviwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-921-7002reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- noviwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- noviwealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $87.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026