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
A••••••• W••••• M••••••••• G••••• L••
Latest filing Feb 19, 2026
First filing on the tape Dec 5, 2013 · 29 filings
SEC status approved since Jan 8, 2014
RAUM
$517M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$517M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$517M as of Feb 19, 2026
Mar 23, 2015$194M then
HNW client RAUM$415M as of Feb 19, 2026
Feb 1, 2018$162M then
State-registered IARs (5.B.3)6 as of Feb 19, 2026
Mar 26, 20140 then
Employees (5.A)13 as of Feb 19, 2026
Mar 26, 20141 then
Private funds: no history
RAUM +22% over the last fiscal year+19% a year over threeIARs 6 to 6offices 4 to 5
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $427,252derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 0.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $93.8M, 205 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
- 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 cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$415M80%
- Individuals$103M20%
- Individual clients
- 310reported
- HNW clients
- 137reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,211reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $93.8M for 205 clientsreported
- 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=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• E••••• L••••• | Flemington, Nj | Oct 1, 2014 | 32 y | 3 |
| T••••• M•••••Personal Financial Specialist | Flemington, Nj | May 16, 2017 | 27 y | 0 |
| J•••••••• R••••• | Flemington, Nj | Apr 29, 2019 | 15 y | 1 |
| L••• D••••••••Certified Financial Planner | Flemington, Nj | Apr 12, 2021 | 20 y | 4 |
| H••• J• T•••••• | Roseland, Nj | Jan 2, 2026 | 26 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- D••• J••••• D••••• to D••••• P•••••• W•••••• L••Sep 2, 2026 · RIA to a newly registered adviser
- K•••••• C••••••••• P••• to M••• S••••• F•••••••• S••••••••• L••May 15, 2018 · RIA to RIA
- P••• R••••• E••••••• to P••••••• W••••• M••••••••• G••••• L••Mar 28, 2018 · RIA to RIA
Joined, latest
- H••• J• T•••••• from H••• J• T••••••• C••• L••Jan 2, 2026 · Other
- D••• J••••• D••••• from O••••••• B•• W••••• P•••••••Feb 17, 2023 · RIA to RIA
- L••• D•••••••• from G••••• W••••• M••••••••• L••Apr 12, 2021 · RIA to RIA
- J•••••••• R••••• from M••••• L••Apr 29, 2019 · RIA to RIA
- P••• R••••• E••••••• from E•••••••• A•••••••• L••Jan 5, 2015 · Other
- K•••••• C••••••••• P••• from P••••••• W••••• M••••••••• G••••• L••Oct 14, 2014 · Other
- S••••• E••••• L••••• from T•• P••••• S•••••••••Oct 1, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••• S•••••• M•••••• · Member & Chief Compliance Officercontrolsince 09/2014 · owns 25% to 50%
- L•••••• S•••••• E••••• · Membercontrolsince 09/2014 · owns 25% to 50%
- M•••••• T••••• · Membercontrolsince 09/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••••• A••••••••• G••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Flemington, Nj · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Roseland, NJ1 employees
- Frederick, MD
- Hamilton Township, NJ
What changed
consecutive filings, newest first
- Accounts · 1,137 to 1,211Mar 21, 2025 to Feb 19, 2026
- HNW clients · 119 to 137Mar 21, 2025 to Feb 19, 2026
- Individual clients · 306 to 310Mar 21, 2025 to Feb 19, 2026
- Assets in custody · $89.5M to $93.8MMar 21, 2025 to Feb 19, 2026
- Financial planning clients · 1-10 to 0Mar 21, 2025 to Feb 19, 2026
- Other offices · 4 to 5Mar 21, 2025 to Feb 19, 2026
- Discretionary RAUM · $424M to $517MMar 21, 2025 to Feb 19, 2026
- HNW RAUM · $324M to $415MMar 21, 2025 to Feb 19, 2026
- Individual RAUM · $101M to $103MMar 21, 2025 to Feb 19, 2026
- RAUM · $424M to $517MMar 21, 2025 to Feb 19, 2026
- Accounts · 1,046 to 1,137Mar 13, 2024 to Mar 21, 2025
- Advisory activities · 3 to 4Mar 13, 2024 to Mar 21, 2025
- BD registered reps · 5 to 2Mar 13, 2024 to Mar 21, 2025
- HNW clients · 99 to 119Mar 13, 2024 to Mar 21, 2025
- Individual clients · 303 to 306Mar 13, 2024 to Mar 21, 2025
- Assets in custody · $172M to $89.5MMar 13, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10Mar 13, 2024 to Mar 21, 2025
- Other offices · 3 to 4Mar 13, 2024 to Mar 21, 2025
- Discretionary RAUM · $363M to $424MMar 13, 2024 to Mar 21, 2025
- HNW RAUM · $263M to $324MMar 13, 2024 to Mar 21, 2025
- Individual RAUM · $100M to $101MMar 13, 2024 to Mar 21, 2025
- RAUM · $363M to $424MMar 13, 2024 to Mar 21, 2025
- Accounts · 995 to 1,046Mar 13, 2023 to Mar 13, 2024
- Advisory employees · 5 to 6Mar 13, 2023 to Mar 13, 2024
- BD registered reps · 2 to 5Mar 13, 2023 to Mar 13, 2024
- HNW clients · 91 to 99Mar 13, 2023 to Mar 13, 2024
- Individual clients · 291 to 303Mar 13, 2023 to Mar 13, 2024
- Assets in custody · $47.0M to $172MMar 13, 2023 to Mar 13, 2024
- Discretionary RAUM · $309M to $363MMar 13, 2023 to Mar 13, 2024
- HNW RAUM · $216M to $263MMar 13, 2023 to Mar 13, 2024
- Individual RAUM · $93.7M to $100MMar 13, 2023 to Mar 13, 2024
- RAUM · $309M to $363MMar 13, 2023 to Mar 13, 2024
- Accounts · 946 to 995Oct 24, 2022 to Mar 13, 2023
- HNW clients · 101 to 91Oct 24, 2022 to Mar 13, 2023
- Individual clients · 259 to 291Oct 24, 2022 to Mar 13, 2023
- Assets in custody · $53.0M to $47.0MOct 24, 2022 to Mar 13, 2023
- Employees · 17 to 13Oct 24, 2022 to Mar 13, 2023
- Financial planning clients · 0 to 1-10Oct 24, 2022 to Mar 13, 2023
- Other offices · 2 to 3Oct 24, 2022 to Mar 13, 2023
- Discretionary RAUM · $356M to $309MOct 24, 2022 to Mar 13, 2023
Signals
2 dated events
- D••• J••••• D••••• left A••••••• W••••• M••••••••• G••••• L•• for D••••• P•••••• W•••••• L•• (registered 2026-09-09)Sep 2, 2026 · Advisor changed firm · fact
- L•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 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
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 208-274-4711reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 218-547-3320reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 609-671-1300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/10874428reportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••••WMG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (908) 751-7090reportedpublic record, Form ADV, Feb 19, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026