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
R••••••••• C••••••
Legal name M••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 18, 2014 · 20 filings
SEC status approved since Jun 30, 2014
RAUM
$1.0B
reported, Item 5.F
Discretionary
4.5%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2026
Mar 23, 2015$531M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 23, 20150 then
Employees (5.A)1 as of Mar 31, 2026
Mar 23, 20151 then
Private funds1 as of Mar 31, 2026
Mar 7, 20161 then
RAUM +6.8% over the last fiscal year+5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $172MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.5%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $46.3M, 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
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$851M82%
- Charitable organizations$137M13%
- Pooled investment vehicles$46.3M4.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.3M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.04 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• C••••••• L• | Hedge Fund | $39.3M | 2 | Mar 7, 2016 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• A•••• G• · President, Chief Investment Officer And Chief Compliance Officercontrolsince 05/2014 · owns 75% or more
Related persons
Schedule D 7.A
- E•••••• C•••••• G•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $42.9M to $46.3MMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $42.9M to $46.3MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $926M to $988MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $42.9M to $46.3MMar 28, 2025 to Mar 31, 2026
- RAUM · $968M to $1.0BMar 28, 2025 to Mar 31, 2026
- Assets in custody · $39.3M to $42.9MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $39.3M to $42.9MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $820M to $926MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $39.3M to $42.9MMar 27, 2024 to Mar 28, 2025
- RAUM · $859M to $968MMar 27, 2024 to Mar 28, 2025
- Assets in custody · $38.2M to $39.3MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $38.2M to $39.3MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $833M to $820MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $38.2M to $39.3MMar 30, 2023 to Mar 27, 2024
- RAUM · $871M to $859MMar 30, 2023 to Mar 27, 2024
- RAUM · $910M to $871MDec 1, 2022 to Mar 30, 2023
- Assets in custody · $38.5M to $38.2MDec 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $38.5M to $38.2MDec 1, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $872M to $833MDec 1, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $38.5M to $38.2MDec 1, 2022 to Mar 30, 2023
- Assets in custody · $34.4M to $38.5MMar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $34.4M to $38.5MMar 29, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $795M to $872MMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $34.4M to $38.5MMar 29, 2021 to Mar 31, 2022
- RAUM · $829M to $910MMar 29, 2021 to Mar 31, 2022
- Assets in custody · $31.9M to $34.4MJul 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $31.9M to $34.4MJul 27, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $712M to $795MJul 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $31.9M to $34.4MJul 27, 2020 to Mar 29, 2021
- RAUM · $744M to $829MJul 27, 2020 to Mar 29, 2021
- Assets in custody · $25.9M to $31.9MMar 29, 2019 to Mar 27, 2020
- HQ city · SHORT HILLS to SUMMITMar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $25.9M to $31.9MMar 29, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $578M to $712MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $25.9M to $31.9MMar 29, 2019 to Mar 27, 2020
- RAUM · $604M to $744MMar 29, 2019 to Mar 27, 2020
- Accounts · 5 to 6Mar 27, 2018 to Mar 29, 2019
- Assets in custody · $32.0M to $25.9MMar 27, 2018 to Mar 29, 2019
- Discretionary RAUM · $32.0M to $25.9MMar 27, 2018 to Mar 29, 2019
Signals
1 dated events
- R••••••••• C•••••• P••••••• filed its initial SEC registration (Form ADV)Jun 18, 2014 · 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
- 908-373-2520reportedpublic record, Form ADV, Mar 31, 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
- Other 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