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
G••••• M••••••• C••• L••
Latest filing Mar 12, 2024
First filing on the tape Mar 27, 2012 · 39 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
88%
$917M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.0B as of Mar 11, 2024
Mar 27, 2012$408M then
HNW client RAUM$771M as of Mar 11, 2024
Mar 23, 2018$554M then
State-registered IARs (5.B.3)9 as of Mar 11, 2024
Mar 27, 20120 then
Employees (5.A)15 as of Mar 11, 2024
Mar 25, 201320 then
Private funds: no history
RAUM +10% over the last fiscal year+3.0% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 12, 2024; every figure names its basis
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $652,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $952MreportedItem 5.I
- Custody
- $225M, 75 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)
- 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$771M74%
- Individuals$146M14%
- Pension and profit-sharing plans$81.0M7.7%
- Corporations and businesses$31.7M3.0%
- Charitable organizations$18.2M1.7%
- Individual clients
- 449reported
- HNW clients
- 217reported
- Pension plan clients
- 12reported
- Charitable clients
- 13reported
- Accounts
- 1,606reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $225M for 75 clientsreported
- 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
Left, latest
- K•• T••••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- K••••••• A•• V•• H••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- P•••• C•••••••• F•••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- R••••• G•••• M••••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- R••••• A••••••• G••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- R•••••• L••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• M•••••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- D••••• S•• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- J•••••• C•••••••• B••••••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- J••• C• A•••••••• to A••••••• F••••••••• L•••Oct 22, 2024 · RIA to affiliated broker-dealer or bank
- R•••••• C• D•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 30, 2011 · Other
Joined, latest
- J•••••• C•••••••• B••••••••• from M••••• S••••••Apr 28, 2016 · Other
- K•• T••••••• from C• W••••• M••••••••• L••Apr 29, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for A••••••• F••••••••• L•••Oct 22, 2024 · Manasquan, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••••• A••••••• · Vice-President / Secretary / Chief Compliance Officercontrolsince 11/1999 · owns 25% to 50%
- L•••••• R•••••• · Vice-President / Treasurercontrolsince 11/1999 · owns 25% to 50%
- M•••••••• R•••••• G•••• · Presidentcontrolsince 02/1976 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Manasquan, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,600 to 1,606Mar 30, 2023 to Mar 11, 2024
- Charity clients · 19 to 13Mar 30, 2023 to Mar 11, 2024
- Corporate clients · 10.0 to unsetMar 30, 2023 to Mar 11, 2024
- HNW clients · 197 to 217Mar 30, 2023 to Mar 11, 2024
- Individual clients · 477 to 449Mar 30, 2023 to Mar 11, 2024
- Pension plan clients · 11 to 12Mar 30, 2023 to Mar 11, 2024
- Pooled vehicle clients · 0.0 to unsetMar 30, 2023 to Mar 11, 2024
- Assets in custody · $21.0M to $225MMar 30, 2023 to Mar 11, 2024
- Employees · 20 to 15Mar 30, 2023 to Mar 11, 2024
- State-registered IARs · 8 to 9Mar 30, 2023 to Mar 11, 2024
- Discretionary RAUM · $902M to $1.0BMar 30, 2023 to Mar 11, 2024
- HNW RAUM · $692M to $771MMar 30, 2023 to Mar 11, 2024
- Individual RAUM · $151M to $146MMar 30, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $50.0M to $33.2MMar 30, 2023 to Mar 11, 2024
- Pension RAUM · $81.0M to $81.0MMar 30, 2023 to Mar 11, 2024
- Pooled vehicle RAUM · 0.0 to unsetMar 30, 2023 to Mar 11, 2024
- RAUM · $952M to $1.0BMar 30, 2023 to Mar 11, 2024
- Accounts · 1,418 to 1,600Sep 14, 2022 to Mar 10, 2023
- Advisory employees · 10 to 9Sep 14, 2022 to Mar 10, 2023
- Charity clients · 0 to 19Sep 14, 2022 to Mar 10, 2023
- Corporate clients · 22 to 10Sep 14, 2022 to Mar 10, 2023
- HNW clients · 216 to 197Sep 14, 2022 to Mar 10, 2023
- Individual clients · 377 to 477Sep 14, 2022 to Mar 10, 2023
- Pension plan clients · 10 to 11Sep 14, 2022 to Mar 10, 2023
- Assets in custody · $21.5M to $21.0MSep 14, 2022 to Mar 10, 2023
- Employees · 19 to 20Sep 14, 2022 to Mar 10, 2023
- State-registered IARs · 9 to 8Sep 14, 2022 to Mar 10, 2023
- Discretionary RAUM · $1.1B to $902MSep 14, 2022 to Mar 10, 2023
- HNW RAUM · $821M to $692MSep 14, 2022 to Mar 10, 2023
- Individual RAUM · $147M to $151MSep 14, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $58.6M to $50.0MSep 14, 2022 to Mar 10, 2023
- Pension RAUM · $121M to $81.0MSep 14, 2022 to Mar 10, 2023
- RAUM · $1.1B to $952MSep 14, 2022 to Mar 10, 2023
- Accounts · 1,393 to 1,418Jan 5, 2022 to Mar 18, 2022
- Advisory employees · 16 to 10Jan 5, 2022 to Mar 18, 2022
- Charity clients · unset to 0.0Jan 5, 2022 to Mar 18, 2022
- Corporate clients · 20 to 22Jan 5, 2022 to Mar 18, 2022
- HNW clients · 190 to 216Jan 5, 2022 to Mar 18, 2022
- Individual clients · 396 to 377Jan 5, 2022 to Mar 18, 2022
- Pension plan clients · 11 to 10Jan 5, 2022 to Mar 18, 2022
Signals
12 dated events
- K•• T••••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- R••••• A••••••• G••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- J•••••• C•••••••• B••••••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- K••••••• A•• V•• H••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- G••••• M••••••• C••• L••'s advisors moved to A••••••• F••••••••• L••• (Manasquan, NJ): 10 of 10 registered, on the same dayOct 22, 2024 · Firm absorbed (people side) · derived
- D••••• S•• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- M•••••• M•••••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- R•••••• L••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- P•••• C•••••••• F•••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- R••••• G•••• M••••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- J••• C• A•••••••• left G••••• M••••••• C••• L•• for A••••••• F••••••••• L••• (registered 2024-10-02)Oct 22, 2024 · Advisor changed firm · fact
- G••••• M••••••• C••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 5, 2022 · 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