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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••••• W••••• A••••••• L••

Former SEC-registered adviserRed Bank, New JerseyCRD 269892SEC 801-105478IAPD
Latest filing Mar 5, 2019
First filing on the tape Jul 24, 2015 · 13 filings
RAUM
$71.2M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$62.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$71.2M as of Jan 19, 2019
Mar 29, 2016$33.9M then
HNW client RAUM$56.9M as of Jan 19, 2019
Feb 28, 2018$59.4M then
State-registered IARs (5.B.3)2 as of Jan 19, 2019
Mar 29, 20160 then
Employees (5.A)3 as of Jan 19, 2019
Mar 29, 20163 then
Private funds: no history
RAUM -7.3% over the last fiscal year+28% a year over threeIARs 1 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 5, 2019; every figure names its basis
RAUM per advisor
$35.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$912,382derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.3%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.8%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$56.9M80%
  • Corporations and businesses$8.6M12%
  • Individuals$5.2M7.3%
  • Pension and profit-sharing plans$472,6060.7%
Individual clients
19reported
HNW clients
18reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
78reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• D••••• G••••• · Managing Membercontrol
      since 05/2015 · owns 25% to 50%
    • S•••••••• C•••••••• A••••• · Managing Membercontrol
      since 05/2015 · owns 25% to 50%
    • S•••••••• L••• M•••••• · Member & Ccocontrol
      since 05/2015 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 75 to 78
      Apr 9, 2018 to Jan 19, 2019
    • Advisory employees · 3 to 2
      Apr 9, 2018 to Jan 19, 2019
    • HNW clients · 16 to 18
      Apr 9, 2018 to Jan 19, 2019
    • Individual clients · 20 to 19
      Apr 9, 2018 to Jan 19, 2019
    • Pension plan clients · 1.0 to unset
      Apr 9, 2018 to Jan 19, 2019
    • Pooled vehicle clients · 1.0 to unset
      Apr 9, 2018 to Jan 19, 2019
    • HQ city · NEW YORK to RED BANK
      Apr 9, 2018 to Jan 19, 2019
    • HQ state · NY to NJ
      Apr 9, 2018 to Jan 19, 2019
    • State-registered IARs · 1 to 2
      Apr 9, 2018 to Jan 19, 2019
    • Other offices · 1 to 0
      Apr 9, 2018 to Jan 19, 2019
    • Discretionary RAUM · $70.7M to $68.8M
      Apr 9, 2018 to Jan 19, 2019
    • HNW RAUM · $59.4M to $56.9M
      Apr 9, 2018 to Jan 19, 2019
    • Individual RAUM · $4.7M to $5.2M
      Apr 9, 2018 to Jan 19, 2019
    • Non-discretionary RAUM · $6.1M to $2.4M
      Apr 9, 2018 to Jan 19, 2019
    • Pension RAUM · $175,137 to $472,606
      Apr 9, 2018 to Jan 19, 2019
    • Pooled vehicle RAUM · 4342882.0 to unset
      Apr 9, 2018 to Jan 19, 2019
    • RAUM · $76.8M to $71.2M
      Apr 9, 2018 to Jan 19, 2019
    • Accounts · 49 to 75
      Sep 28, 2017 to Feb 28, 2018
    • Corporate clients · unset to 3.0
      Sep 28, 2017 to Feb 28, 2018
    • HNW clients · unset to 16.0
      Sep 28, 2017 to Feb 28, 2018
    • Individual clients · unset to 20.0
      Sep 28, 2017 to Feb 28, 2018
    • Pension plan clients · unset to 1.0
      Sep 28, 2017 to Feb 28, 2018
    • Pooled vehicle clients · unset to 1.0
      Sep 28, 2017 to Feb 28, 2018
    • State-registered IARs · 0 to 1
      Sep 28, 2017 to Feb 28, 2018
    • Other offices · unset to 1.0
      Sep 28, 2017 to Feb 28, 2018
    • Discretionary RAUM · $42.5M to $70.7M
      Sep 28, 2017 to Feb 28, 2018
    • HNW RAUM · unset to 59416086.0
      Sep 28, 2017 to Feb 28, 2018
    • Individual RAUM · unset to 4650149.0
      Sep 28, 2017 to Feb 28, 2018
    • Non-discretionary RAUM · $3.0M to $6.1M
      Sep 28, 2017 to Feb 28, 2018
    • Pension RAUM · unset to 175137.0
      Sep 28, 2017 to Feb 28, 2018
    • Pooled vehicle RAUM · unset to 4342882.0
      Sep 28, 2017 to Feb 28, 2018
    • RAUM · $45.5M to $76.8M
      Sep 28, 2017 to Feb 28, 2018
    • Accounts · 31 to 49
      Aug 5, 2016 to Mar 21, 2017
    • Discretionary RAUM · $33.1M to $42.5M
      Aug 5, 2016 to Mar 21, 2017
    • Non-discretionary RAUM · $820,033 to $3.0M
      Aug 5, 2016 to Mar 21, 2017
    • RAUM · $33.9M to $45.5M
      Aug 5, 2016 to Mar 21, 2017
    • Accounts · 19 to 31
      Nov 25, 2015 to Mar 29, 2016
    • Discretionary RAUM · $33.0M to $33.1M
      Nov 25, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $834,515 to $820,033
      Nov 25, 2015 to Mar 29, 2016
    • RAUM · $33.8M to $33.9M
      Nov 25, 2015 to Mar 29, 2016
    Signals
    1 dated events
    • S••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 24, 2015 · 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.
    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