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
T•• P••••• S•••••••••
Legal name P••••••• W••••• S••••••• G••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Jan 31, 2013 · 29 filings
SEC status approved since Feb 15, 2013
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$43.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$175M as of Mar 9, 2026
Mar 30, 2015$158M then
HNW client RAUM: $31,304
State-registered IARs (5.B.3)4 as of Mar 9, 2026
Feb 22, 20144 then
Employees (5.A)4 as of Mar 9, 2026
Feb 22, 20145 then
Private funds: no history
RAUM +16% over the last fiscal year+24% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
- RAUM per advisor
- $43.8MderivedRAUM 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
- $593,843derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Other investment advisers$175M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 295reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- K•••• M••• M•••• to S•••••• I••••••••• L••Dec 6, 2017 · Other
- J•••••• W••••• H••••••• to C•• F•••••••• S•••••••• L•••••Sep 21, 2017 · Other
- S••••• E••••• L••••• to A••••••• W••••• M••••••••• G••••• L••Sep 26, 2014 · Other
- M•••••• J••• W••••••••• to P••••••• W••••• M••••••••• G••••• L••Jul 24, 2014 · Other
Joined, latest
- J•••••• W••••• H••••••• from P••••••• W••••• M••••••••• G••••• L••Mar 27, 2017 · Other
- K•••• M••• M•••• from P••••••• W••••• M••••••••• G••••• L••Nov 2, 2016 · Other
- M•••••• J••• W••••••••• from A••• W••••• S•••••••••Jun 21, 2013 · Other
- S••••• E••••• L••••• from P••••••• W••••• M••••••••• G••••• L••Mar 19, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• R••• E•••• · Principal, President, Chief Executive Officer, Chief Compliance Officer And Chief Investment Officercontrolsince 11/2012 · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• W••••• A••••••••• G••••• L••insurancen
- P••••••• W••••• M••••••••• G••••• L••investment advisernRAUM $666M
Advisers that list T•• P••••• S••••••••• as a related person
- 127381 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Flemington, Nj · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Califon, NJ3 employees
- Millburn, NJ3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 285 to 295Mar 12, 2025 to Mar 9, 2026
- Discretionary RAUM · $151M to $175MMar 12, 2025 to Mar 9, 2026
- RAUM · $151M to $175MMar 12, 2025 to Mar 9, 2026
- Accounts · 237 to 285Nov 25, 2024 to Mar 12, 2025
- Financial planning clients · unset to Nov 25, 2024 to Mar 12, 2025
- Discretionary RAUM · $133M to $151MNov 25, 2024 to Mar 12, 2025
- RAUM · $133M to $151MNov 25, 2024 to Mar 12, 2025
- Accounts · 181 to 237Oct 17, 2023 to Mar 20, 2024
- Advisory employees · 4 to 3Oct 17, 2023 to Mar 20, 2024
- Employees · 5 to 4Oct 17, 2023 to Mar 20, 2024
- Insurance-licensed employees · 5 to 4Oct 17, 2023 to Mar 20, 2024
- State-registered IARs · 5 to 4Oct 17, 2023 to Mar 20, 2024
- Other offices · 2 to 3Oct 17, 2023 to Mar 20, 2024
- Discretionary RAUM · $92.7M to $133MOct 17, 2023 to Mar 20, 2024
- RAUM · $92.7M to $133MOct 17, 2023 to Mar 20, 2024
- Accounts · 127 to 181Nov 2, 2022 to Mar 15, 2023
- Advisory employees · 5 to 4Nov 2, 2022 to Mar 15, 2023
- BD registered reps · 4 to 1Nov 2, 2022 to Mar 15, 2023
- Discretionary RAUM · $73.8M to $92.7MNov 2, 2022 to Mar 15, 2023
- RAUM · $73.8M to $92.7MNov 2, 2022 to Mar 15, 2023
- Accounts · 95 to 127Sep 22, 2021 to Mar 22, 2022
- Advisory employees · 2 to 5Sep 22, 2021 to Mar 22, 2022
- Discretionary RAUM · $55.5M to $73.8MSep 22, 2021 to Mar 22, 2022
- RAUM · $55.5M to $73.8MSep 22, 2021 to Mar 22, 2022
- Other offices · 1 to 2Apr 7, 2021 to Sep 22, 2021
- Accounts · 96 to 95Nov 11, 2020 to Mar 30, 2021
- Advisory employees · 5 to 2Nov 11, 2020 to Mar 30, 2021
- BD registered reps · 1 to 4Nov 11, 2020 to Mar 30, 2021
- Discretionary RAUM · $55.5M to $55.5MNov 11, 2020 to Mar 30, 2021
- RAUM · $55.5M to $55.5MNov 11, 2020 to Mar 30, 2021
- Accounts · 108 to 96Mar 30, 2019 to Mar 30, 2020
- BD registered reps · 5 to 1Mar 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $52.0M to $55.5MMar 30, 2019 to Mar 30, 2020
- Individual RAUM · 34802.0 to unsetMar 30, 2019 to Mar 30, 2020
- RAUM · $52.0M to $55.5MMar 30, 2019 to Mar 30, 2020
- Accounts · 123 to 108Mar 24, 2018 to Mar 30, 2019
- Advisory employees · 4 to 5Mar 24, 2018 to Mar 30, 2019
- Advisory activities · 1 to 2Mar 24, 2018 to Mar 30, 2019
- BD registered reps · 4 to 5Mar 24, 2018 to Mar 30, 2019
- Employees · 4 to 5Mar 24, 2018 to Mar 30, 2019
Signals
1 dated events
- P••••••• W••••• M••••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jan 31, 2013 · 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
- 908-782-0001reportedpublic record, Form ADV, Mar 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $43.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026