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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Former SEC-registered adviser
B•••••••• C•••••• A•••••••• I•••
Legal name B•••••••• C•••••• A••••••• L••
Latest filing Jun 28, 2018
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$198M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$195M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$198M as of Mar 29, 2018
Mar 30, 2012$304M then
HNW client RAUM: $175M
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)6 as of Mar 29, 2018
Mar 28, 20137 then
Private funds: no history
RAUM +1.2% over the last fiscal year-3.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 28, 2018; every figure names its basis
- RAUM per advisor
- $198MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 261derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $940,215derivedHNW RAUM over HNW clients
- Average account
- $739,137derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M88%
- Individuals$20.5M10%
- Pension and profit-sharing plans$2.5M1.3%
- Charitable organizations$200,0000.1%
- Individual clients
- 75reported
- HNW clients
- 186reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 268reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- E•••• J••••• L••••• to U• A•••• M••••••••• L••Jul 21, 2009 · Other
Joined, latest
- R•••••• W•••••• from P••••••• C•••••• M••••••••• L•Aug 7, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• L•••••••• A•• · President; Director; & Treasurercontrolsince 01/2000 · owns less than 5%
- D••••• P•••• E••••• · Directorcontrolsince 09/2017 · owns less than 5%
- S••••• H•••••• E••••• · Directorcontrolsince 09/2017 · owns less than 5%
- H••••••••• R••• · Trusteecontrolsince 10/2011 · owns 75% or more of R••• H•••••••• R•••••••• T••••
- H••••••••• R••• · Co-Trusteecontrolsince 10/2011 · owns 25% to 50% of R• F••••• T••••
- S•••• H••••••••• S•••• R••••• · Co-Trusteecontrolsince 10/2011 · owns 25% to 50% of R• F••••• T••••
- D••••• R•••••• C••••••• · Chief Compliance Officersince 08/2014 · owns less than 5%
Entity owners
- N•••••••• S••••••••• I••• · Shareholderdirect · owns 75% or more
- I••••••• F•••••••• G•••• L•• · Memberindirect · owns 25% to 50% of N••••••••• H•••••••• L••
- I••••••• F•••••••• S••••••• L•• · Shareholderindirect · owns 75% or more of N•••••••• S••••••••• I•••
- N••••••••• H•••••••• L•• · Memberindirect · owns 25% to 50% of Gis-Ne, LLC
- R• H•••••••• H•••••••• L•• · Memberindirect · owns 75% or more of Rhh Financial Group LLC
- R••• H•••••••• R•••••••• T•••• · Memberindirect · owns 75% or more of R• H•••••••• H•••••••• L••
- R• F••••• T•••• · Memberindirect · owns 25% to 50% of R• H•••••••• H•••••••• L••
Related persons
Schedule D 7.A
- L••••••• A• D••••••pooled vehicle sponsory
- N•••••••• A•••• M••••••••• L••investment advisern
- N•••••••• S••••••••• L••broker-dealery
- R•••••• W••••••pooled vehicle sponsory
- R•••••• Z•••pooled vehicle sponsory
Advisers that list B•••••••• C•••••• A•••••••• I••• as a related person
- 117567 n
Offices
Schedule D 1.F, the 25 largest
- Glen Rock, NJ1 employees
What changed
consecutive filings, newest first
- Legal name · B•••••••• C•••••• A•••••••• I••• to B•••••••• C•••••• A••••••• L••Mar 29, 2018 to Jun 28, 2018
- Succession · true to falseMar 29, 2018 to Jun 28, 2018
- Accounts · 309 to 268Sep 7, 2017 to Mar 29, 2018
- Advisory activities · 2 to 1Sep 7, 2017 to Mar 29, 2018
- Charity clients · unset to 1.0Sep 7, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Sep 7, 2017 to Mar 29, 2018
- HNW clients · unset to 186.0Sep 7, 2017 to Mar 29, 2018
- Individual clients · unset to 75.0Sep 7, 2017 to Mar 29, 2018
- Pension plan clients · unset to 2.0Sep 7, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Sep 7, 2017 to Mar 29, 2018
- Financial planning clients · unset to 0Sep 7, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Sep 7, 2017 to Mar 29, 2018
- Organization form · Corporation to Limited Liability CompanySep 7, 2017 to Mar 29, 2018
- Discretionary RAUM · $192M to $194MSep 7, 2017 to Mar 29, 2018
- HNW RAUM · unset to 174880000.0Sep 7, 2017 to Mar 29, 2018
- Individual RAUM · unset to 20508586.0Sep 7, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $3.9M to $4.1MSep 7, 2017 to Mar 29, 2018
- Pension RAUM · unset to 2500000.0Sep 7, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Sep 7, 2017 to Mar 29, 2018
- RAUM · $196M to $198MSep 7, 2017 to Mar 29, 2018
- Succession · false to trueSep 7, 2017 to Mar 29, 2018
- Accounts · 325 to 309Feb 17, 2017 to Mar 30, 2017
- Employees · 7 to 6Feb 17, 2017 to Mar 30, 2017
- Discretionary RAUM · $189M to $192MFeb 17, 2017 to Mar 30, 2017
- Non-discretionary RAUM · $3.6M to $3.9MFeb 17, 2017 to Mar 30, 2017
- RAUM · $193M to $196MFeb 17, 2017 to Mar 30, 2017
- Accounts · 359 to 325Aug 24, 2015 to Mar 24, 2016
- Advisory employees · 4 to 3Aug 24, 2015 to Mar 24, 2016
- BD registered reps · 7 to 6Aug 24, 2015 to Mar 24, 2016
- Employees · 9 to 7Aug 24, 2015 to Mar 24, 2016
- State-registered IARs · 0 to 1Aug 24, 2015 to Mar 24, 2016
- Discretionary RAUM · $214M to $189MAug 24, 2015 to Mar 24, 2016
- Non-discretionary RAUM · $6.2M to $3.6MAug 24, 2015 to Mar 24, 2016
- RAUM · $220M to $193MAug 24, 2015 to Mar 24, 2016
- Accounts · 397 to 359Jan 5, 2015 to Apr 1, 2015
- Advisory activities · 1 to 2Jan 5, 2015 to Apr 1, 2015
- Employees · 7 to 9Jan 5, 2015 to Apr 1, 2015
- State-registered IARs · 1 to 0Jan 5, 2015 to Apr 1, 2015
- Discretionary RAUM · $219M to $214MJan 5, 2015 to Apr 1, 2015
- Non-discretionary RAUM · $6.3M to $6.2MJan 5, 2015 to Apr 1, 2015
Signals
1 dated events
- B•••••••• C•••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 29, 2018 · Succession (Item 4) · 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