DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••••• F•••••••• P••••••• A•• W••••• M•••••••••
Legal name L••••• F•••••••• P••••••• A•• W••••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jun 17, 2014 · 37 filings
SEC status approved since Jun 30, 2014
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$235M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$237M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$237M as of Mar 31, 2026
Mar 25, 2015$112M then
HNW client RAUM$195M as of Mar 31, 2026
Mar 30, 2018$101M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 25, 20154 then
Employees (5.A)5 as of Mar 31, 2026
Mar 25, 20154 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 194derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $237MreportedItem 5.I
- Custody
- $178M, 112 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)
- 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
- High-net-worth individuals$195M82%
- Individuals$39.2M17%
- Charitable organizations$2.3M1.0%
- Pension and profit-sharing plans$522,5680.2%
- Individual clients
- 109reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 197reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $178M for 112 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J•••• L•••••Certified Financial Planner, Chartered Financial Consultant | Parsippany, Nj | Aug 27, 2014 | 29 y | 1 |
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
none on the tape
Joined, latest
- A••••• J•••• L••••• from A••••••••• F•••••••• S•••••••• L••Aug 27, 2014 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• A•••••• J•••• · Chief Executive Officer/Chief Compliance Officercontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 628.0 to 197.0 (-69.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +5.0% (3685 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,685) · 1.0% percentile
What changed
consecutive filings, newest first
- Accounts · 628 to 197Mar 27, 2025 to Mar 31, 2026
- HNW clients · 78 to 85Mar 27, 2025 to Mar 31, 2026
- Individual clients · 112 to 109Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $155M to $178MMar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $212M to $237MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $168M to $195MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $42.0M to $39.2MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $1.8M to $522,568Mar 27, 2025 to Mar 31, 2026
- RAUM · $212M to $237MMar 27, 2025 to Mar 31, 2026
- Accounts · 606 to 628Dec 10, 2024 to Mar 27, 2025
- HNW clients · 74 to 78Dec 10, 2024 to Mar 27, 2025
- Individual clients · 107 to 112Dec 10, 2024 to Mar 27, 2025
- Assets in custody · $135M to $155MDec 10, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Dec 10, 2024 to Mar 27, 2025
- Discretionary RAUM · $191M to $212MDec 10, 2024 to Mar 27, 2025
- HNW RAUM · $146M to $168MDec 10, 2024 to Mar 27, 2025
- Individual RAUM · $41.5M to $42.0MDec 10, 2024 to Mar 27, 2025
- Pension RAUM · $2.9M to $1.8MDec 10, 2024 to Mar 27, 2025
- RAUM · $191M to $212MDec 10, 2024 to Mar 27, 2025
- Accounts · 866 to 606Mar 31, 2023 to Mar 29, 2024
- HNW clients · 56 to 74Mar 31, 2023 to Mar 29, 2024
- Individual clients · 113 to 107Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $124M to $135MMar 31, 2023 to Mar 29, 2024
- Financial planning clients · 101-250 to 51-100Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $174M to $191MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $126M to $146MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $44.0M to $41.5MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $16,201 to $2.9MMar 31, 2023 to Mar 29, 2024
- RAUM · $174M to $191MMar 31, 2023 to Mar 29, 2024
- Accounts · 570 to 866May 6, 2022 to Mar 31, 2023
- HNW clients · 68 to 56May 6, 2022 to Mar 31, 2023
- Individual clients · 100 to 113May 6, 2022 to Mar 31, 2023
- Assets in custody · $77.2M to $124MMay 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $188M to $174MMay 6, 2022 to Mar 31, 2023
- HNW RAUM · $145M to $126MMay 6, 2022 to Mar 31, 2023
- Individual RAUM · $37.8M to $44.0MMay 6, 2022 to Mar 31, 2023
- Pension RAUM · $10,155 to $16,201May 6, 2022 to Mar 31, 2023
- RAUM · $188M to $174MMay 6, 2022 to Mar 31, 2023
- Accounts · 552 to 570Oct 18, 2021 to Mar 24, 2022
- HNW clients · 75 to 68Oct 18, 2021 to Mar 24, 2022
Signals
1 dated events
- L••••• F•••••••• P••••••• A•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 17, 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
- Business phone
- 973-599-0401reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 973-599-0400reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- L•••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 973-599-0400reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $237Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026