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
L•••• I••••••••• A•••••••
Legal name L•••• H••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Aug 13, 2014 · 17 filings
SEC status approved since Aug 26, 2014
RAUM
$30.0M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$30.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$30.0M as of Jun 1, 2026
Mar 31, 2015$45.0M then
HNW client RAUM$30.0M as of Jun 1, 2026
Feb 14, 2018$45.0M then
State-registered IARs (5.B.3)1 as of Jun 1, 2026
Mar 31, 20150 then
Employees (5.A)2 as of Jun 1, 2026
Mar 31, 20152 then
Private funds: no history
RAUM -35% over the last fiscal year-15% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $30.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -69%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$30.0M100%
- Individual clients
- 0reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
- M•••••• A• M••••• to T•• F•••••••• P••••••• C•••••• L••Dec 31, 2024 · RIA to a state-registered adviser
Joined, latest
- M•••••• A• M••••• from D••••• A•••• M••••••••• L••Apr 20, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• D•••• · Ceo, President, Ccocontrolsince 08/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hackettstown, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 21 to 12Apr 30, 2025 to Jun 1, 2026
- HNW clients · 21 to 12Apr 30, 2025 to Jun 1, 2026
- Other offices · 1 to 0Apr 30, 2025 to Jun 1, 2026
- Discretionary RAUM · $23.1M to $25.0MApr 30, 2025 to Jun 1, 2026
- HNW RAUM · $25.0M to $30.0MApr 30, 2025 to Jun 1, 2026
- Non-discretionary RAUM · $1.9M to $5.0MApr 30, 2025 to Jun 1, 2026
- RAUM · $25.0M to $30.0MApr 30, 2025 to Jun 1, 2026
- Accounts · 87 to 21May 8, 2024 to Apr 30, 2025
- Advisory employees · 2 to 1May 8, 2024 to Apr 30, 2025
- HNW clients · 30 to 21May 8, 2024 to Apr 30, 2025
- Individual clients · 38 to 0May 8, 2024 to Apr 30, 2025
- Employees · 3 to 2May 8, 2024 to Apr 30, 2025
- fin p••••••• clients · 0 to 0May 8, 2024 to Apr 30, 2025
- Discretionary RAUM · $41.0M to $23.1MMay 8, 2024 to Apr 30, 2025
- HNW RAUM · $23.5M to $25.0MMay 8, 2024 to Apr 30, 2025
- Individual RAUM · 22500000.0 to unsetMay 8, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $5.0M to $1.9MMay 8, 2024 to Apr 30, 2025
- RAUM · $46.0M to $25.0MMay 8, 2024 to Apr 30, 2025
- Accounts · 68 to 87Mar 31, 2023 to May 8, 2024
- Discretionary RAUM · $46.0M to $41.0MMar 31, 2023 to May 8, 2024
- HNW RAUM · $26.0M to $23.5MMar 31, 2023 to May 8, 2024
- Individual RAUM · $23.0M to $22.5MMar 31, 2023 to May 8, 2024
- Non-discretionary RAUM · $3.0M to $5.0MMar 31, 2023 to May 8, 2024
- RAUM · $49.0M to $46.0MMar 31, 2023 to May 8, 2024
- Accounts · 66 to 68Mar 31, 2022 to Mar 31, 2023
- Individual clients · 35 to 38Mar 31, 2022 to Mar 31, 2023
- Accounts · 65 to 66Apr 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $45.0M to $46.0MApr 1, 2021 to Mar 31, 2022
- HNW RAUM · $48.0M to $26.0MApr 1, 2021 to Mar 31, 2022
- Individual RAUM · $0 to $23.0MApr 1, 2021 to Mar 31, 2022
- RAUM · $48.0M to $49.0MApr 1, 2021 to Mar 31, 2022
- Accounts · 24 to 65Sep 11, 2020 to Apr 1, 2021
- Advisory employees · 1 to 2Sep 11, 2020 to Apr 1, 2021
- HNW clients · 24 to 30Sep 11, 2020 to Apr 1, 2021
- Individual clients · unset to 35.0Sep 11, 2020 to Apr 1, 2021
- Employees · 2 to 3Sep 11, 2020 to Apr 1, 2021
- State-registered IARs · 0 to 1Sep 11, 2020 to Apr 1, 2021
- Other offices · 0 to 1Sep 11, 2020 to Apr 1, 2021
- HNW RAUM · $45.0M to $48.0MSep 11, 2020 to Apr 1, 2021
- Non-discretionary RAUM · $0 to $3.0MSep 11, 2020 to Apr 1, 2021
Signals
2 dated events
- M•••••• A• M••••• left L•••• I••••••••• A••••••• for T•• F•••••••• P••••••• C•••••• L•• (registered 2024-11-19)Dec 31, 2024 · Advisor changed firm · fact
- L•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Aug 13, 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
- 917-208-8661reportedpublic record, Form ADV, Jun 1, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026