DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• H••• M••••••• M••••••••• L••

Former SEC-registered adviserFarmingdale, New JerseyCRD 167679SEC 801-78572IAPD
Latest filing Mar 27, 2024
First filing on the tape May 2, 2013 · 21 filings
SEC status approved since Sep 20, 2013
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2024
Mar 26, 2014$404M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 26, 20140 then
Employees (5.A)12 as of Mar 27, 2024
Mar 26, 20148 then
Private funds: no history
RAUM -1.1% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.4BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$1.4B, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 1 clientsreported
Compensation
n/areported
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
Left, latest
none on the tape
    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
      • E••••• J•••••• D••••••• · Chief Investment Officercontrol
        since 04/2016 · owns less than 5%
      • H••••••• M••••••• A••••• · Chief Financial Officer, Treasurer And Secretarycontrol
        since 06/2019 · owns less than 5%
      • L•••• J••••••• B•••• · Presidentcontrol
        since 11/2012 · owns less than 5%
      • M•••••• S••••• H••••• · Trusteecontrol
        since 10/2016 · owns less than 5%
      • M•••••• S••••• H••••• · Trusteecontrol
        since 10/2016 · owns F of C••• B•••• T••••
      • A•••••••• D•••••• M•••• · Chief Compliance Officer
        since 09/2021 · owns less than 5%
      Entity owners
      • C••• B•••• T•••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY4 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $1.4B to $1.4B
        Mar 27, 2023 to Mar 27, 2024
      • Discretionary RAUM · $1.4B to $1.4B
        Mar 27, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $1.4B to $1.4B
        Mar 27, 2023 to Mar 27, 2024
      • RAUM · $1.4B to $1.4B
        Mar 27, 2023 to Mar 27, 2024
      • Assets in custody · $1.3B to $1.4B
        Mar 31, 2022 to Mar 27, 2023
      • Discretionary RAUM · $1.3B to $1.4B
        Mar 31, 2022 to Mar 27, 2023
      • Pooled vehicle RAUM · $1.3B to $1.4B
        Mar 31, 2022 to Mar 27, 2023
      • RAUM · $1.3B to $1.4B
        Mar 31, 2022 to Mar 27, 2023
      • Assets in custody · $1.6B to $1.3B
        Nov 17, 2021 to Mar 31, 2022
      • Employees · 15 to 12
        Nov 17, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.6B to $1.3B
        Nov 17, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.6B to $1.3B
        Nov 17, 2021 to Mar 31, 2022
      • RAUM · $1.6B to $1.3B
        Nov 17, 2021 to Mar 31, 2022
      • Assets in custody · $3.0B to $1.6B
        Mar 3, 2020 to Mar 15, 2021
      • Discretionary RAUM · $3.0B to $1.6B
        Mar 3, 2020 to Mar 15, 2021
      • Pooled vehicle RAUM · $3.0B to $1.6B
        Mar 3, 2020 to Mar 15, 2021
      • RAUM · $3.0B to $1.6B
        Mar 3, 2020 to Mar 15, 2021
      • Assets in custody · $2.2B to $3.0B
        Mar 18, 2019 to Mar 3, 2020
      • HQ city · FARMINDALE to FARMINGDALE
        Mar 18, 2019 to Mar 3, 2020
      • Discretionary RAUM · $2.2B to $3.0B
        Mar 18, 2019 to Mar 3, 2020
      • Pooled vehicle RAUM · $2.2B to $3.0B
        Mar 18, 2019 to Mar 3, 2020
      • RAUM · $2.2B to $3.0B
        Mar 18, 2019 to Mar 3, 2020
      • Advisory employees · 4 to 5
        Mar 13, 2018 to Mar 18, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 13, 2018 to Mar 18, 2019
      • Assets in custody · $2.1B to $2.2B
        Mar 13, 2018 to Mar 18, 2019
      • Discretionary RAUM · $2.1B to $2.2B
        Mar 13, 2018 to Mar 18, 2019
      • Pooled vehicle RAUM · unset to 2153277000.0
        Mar 13, 2018 to Mar 18, 2019
      • RAUM · $2.1B to $2.2B
        Mar 13, 2018 to Mar 18, 2019
      • Advisory employees · 5 to 4
        Jan 10, 2018 to Mar 13, 2018
      • Assets in custody · $793M to $2.1B
        Jan 10, 2018 to Mar 13, 2018
      • Financial planning clients · 0 to unset
        Jan 10, 2018 to Mar 13, 2018
      • HQ city · MOUNT LAUREL to FARMINDALE
        Jan 10, 2018 to Mar 13, 2018
      • Other offices · 2 to 1
        Jan 10, 2018 to Mar 13, 2018
      • Discretionary RAUM · $793M to $2.1B
        Jan 10, 2018 to Mar 13, 2018
      • RAUM · $793M to $2.1B
        Jan 10, 2018 to Mar 13, 2018
      • Other offices · unset to 2.0
        May 24, 2017 to Jan 10, 2018
      • Assets in custody · unset to 792878000.0
        Mar 30, 2017 to Apr 26, 2017
      • Custody of client assets · false to true
        Mar 30, 2017 to Apr 26, 2017
      • Employees · 16 to 15
        Nov 18, 2016 to Mar 30, 2017
      • Discretionary RAUM · $636M to $793M
        Nov 18, 2016 to Mar 30, 2017
      Signals
      9 dated events
      • C••••• H••• M••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.4B)
        Mar 6, 2025 · Left the SEC roster · derived
      • Charles Robert Wipperman (Assistant Secretary/Assistant Treasurer) no longer on Schedule A of C••••• H••• M••••••• M••••••••• L•• (listed 2021-11-17, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Andrew Michael Hutchby (Chief Financial Officer, Treasurer And Secretary) appeared on Schedule A of C••••• H••• M••••••• M••••••••• L••
        Nov 17, 2021 · Control person joined · fact
      • Jeffrey Martin Levine (Chief Financial Officer, Treasurer And Secretary) no longer on Schedule A of C••••• H••• M••••••• M••••••••• L•• (listed 2021-03-15, absent 2021-11-17)
        Nov 17, 2021 · Control person left · inference
      • M Jocelyn Dalkin (Chief Compliance Officer) no longer on Schedule A of C••••• H••• M••••••• M••••••••• L•• (listed 2021-03-15, absent 2021-11-17)
        Nov 17, 2021 · Control person left · inference
      • C••••• H••• M••••••• M••••••••• L•• reported RAUM $1.6B, down 46% from $3.0B (2020-03-03 to 2021-03-15)
        Mar 15, 2021 · RAUM change · derived
      • C••••• H••• M••••••• M••••••••• L•• reported RAUM $3.0B, up 37% from $2.2B (2019-03-18 to 2020-03-03)
        Mar 3, 2020 · RAUM change · derived
      • C••••• H••• M••••••• M••••••••• L•• reported RAUM $2.1B, up 159% from $792.9M (2018-01-10 to 2018-03-13)
        Mar 13, 2018 · RAUM change · derived
      • C••••• H••• M••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 2, 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.
      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