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

F•• W••••• M••••••••• L••

Former SEC-registered adviserChatham, New JerseyCRD 281165SEC 801-55281IAPD
Latest filing Sep 25, 2020
First filing on the tape Nov 11, 2015 · 20 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
97%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.2B as of Mar 30, 2020
Mar 30, 2016$805M then
HNW client RAUM$735M as of Mar 30, 2020
Mar 22, 2018$0 then
State-registered IARs (5.B.3)12 as of Mar 30, 2020
Mar 30, 20161 then
Employees (5.A)19 as of Mar 30, 2020
Mar 30, 201619 then
Private funds: no history
RAUM +11% over the last fiscal year+6.6% a year over threeIARs 12 to 12offices 3 to 4
Practice profile
derived from the filing of Sep 25, 2020; every figure names its basis
RAUM per advisor
$96.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
150derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$626,470derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.2%derived
Compensation
percentage of assets, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$14.0MreportedItem 5.I
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$735M63%
  • Individuals$391M34%
  • Corporations and businesses$33.3M2.9%
Individual clients
1,590reported
HNW clients
208reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,850reported
Financial planning clients
1-10reported
Wrap fee programs
$14.0M sponsored, $1.1B managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• J•••• A•••••• · President/Secretary/Managing Membercontrol
    since 10/1994 · owns 75% or more
  • C••••••• J•••• A•••••• · Membercontrol
    since 07/2014 · owns F of C••••••• L••
  • G••••• C••••••••• A••• · Chief Compliance Officer
    since 09/2020 · owns less than 5%
Entity owners
  • C••••••• L•• · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • New York, NY1 employees
  • Westfield, NJ1 employees
  • Wilmington, DE1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,779 to 1,850
    Dec 23, 2019 to Mar 30, 2020
  • Corporate clients · 133 to 52
    Dec 23, 2019 to Mar 30, 2020
  • HNW clients · 242 to 208
    Dec 23, 2019 to Mar 30, 2020
  • Individual clients · 1,404 to 1,590
    Dec 23, 2019 to Mar 30, 2020
  • Discretionary RAUM · $780M to $873M
    Dec 23, 2019 to Mar 30, 2020
  • HNW RAUM · $730M to $735M
    Dec 23, 2019 to Mar 30, 2020
  • Individual RAUM · $272M to $391M
    Dec 23, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $261M to $286M
    Dec 23, 2019 to Mar 30, 2020
  • RAUM · $1.0B to $1.2B
    Dec 23, 2019 to Mar 30, 2020
  • Wrap assets (manager) · $1.0B to $1.1B
    Dec 23, 2019 to Mar 30, 2020
  • Wrap assets (sponsor) · $13.2M to $14.0M
    Dec 23, 2019 to Mar 30, 2020
  • Other offices · 3 to 4
    May 2, 2019 to Sep 12, 2019
  • Accounts · 1,627 to 1,779
    Nov 1, 2018 to Mar 19, 2019
  • Advisory employees · 13 to 12
    Nov 1, 2018 to Mar 19, 2019
  • BD registered reps · 12 to 11
    Nov 1, 2018 to Mar 19, 2019
  • Corporate clients · 11 to 133
    Nov 1, 2018 to Mar 19, 2019
  • HNW clients · 0 to 242
    Nov 1, 2018 to Mar 19, 2019
  • Individual clients · 606 to 1,404
    Nov 1, 2018 to Mar 19, 2019
  • Employees · 26 to 19
    Nov 1, 2018 to Mar 19, 2019
  • Financial planning clients · 11-25 to 1-10
    Nov 1, 2018 to Mar 19, 2019
  • Other offices · 2 to 3
    Nov 1, 2018 to Mar 19, 2019
  • Discretionary RAUM · $797M to $780M
    Nov 1, 2018 to Mar 19, 2019
  • HNW RAUM · $0 to $730M
    Nov 1, 2018 to Mar 19, 2019
  • Individual RAUM · $1.0B to $272M
    Nov 1, 2018 to Mar 19, 2019
  • Non-discretionary RAUM · $261M to $261M
    Nov 1, 2018 to Mar 19, 2019
  • RAUM · $1.1B to $1.0B
    Nov 1, 2018 to Mar 19, 2019
  • Wrap assets (manager) · $1.1B to $1.0B
    Nov 1, 2018 to Mar 19, 2019
  • Wrap assets (sponsor) · $4.6M to $13.2M
    Nov 1, 2018 to Mar 19, 2019
  • Accounts · 1,461 to 1,627
    Dec 26, 2017 to Mar 22, 2018
  • BD registered reps · 16 to 12
    Dec 26, 2017 to Mar 22, 2018
  • Corporate clients · 0 to 11
    Dec 26, 2017 to Mar 22, 2018
  • Individual clients · 0 to 606
    Dec 26, 2017 to Mar 22, 2018
  • Employees · 29 to 26
    Dec 26, 2017 to Mar 22, 2018
  • State-registered IARs · 13 to 12
    Dec 26, 2017 to Mar 22, 2018
  • Discretionary RAUM · $713M to $797M
    Dec 26, 2017 to Mar 22, 2018
  • Individual RAUM · $0 to $1.0B
    Dec 26, 2017 to Mar 22, 2018
  • Non-discretionary RAUM · $243M to $261M
    Dec 26, 2017 to Mar 22, 2018
  • RAUM · $957M to $1.1B
    Dec 26, 2017 to Mar 22, 2018
  • Wrap assets (manager) · $954M to $1.1B
    Dec 26, 2017 to Mar 22, 2018
  • Wrap assets (sponsor) · $2.4M to $4.6M
    Dec 26, 2017 to Mar 22, 2018
Signals
No event on the tape.
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