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•••• C•••••• A••••••• G••••• L••
Latest filing May 8, 2023
First filing on the tape Aug 26, 2015 · 40 filings
RAUM
$343M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$343M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$343M as of Mar 31, 2023
Mar 28, 2016$202M then
HNW client RAUM$266M as of Mar 31, 2023
Mar 20, 2018$153M then
State-registered IARs (5.B.3)4 as of Mar 31, 2023
Mar 28, 20164 then
Employees (5.A)10 as of Mar 31, 2023
Mar 28, 20166 then
Private funds: no history
RAUM -10% over the last fiscal year+4.1% a year over threeIARs 5 to 4
Practice profile
derived from the filing of May 8, 2023; every figure names its basis
- RAUM per advisor
- $85.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -40%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$266M78%
- Individuals$76.8M22%
- Individual clients
- 172reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 230reported
- Financial planning clients
- 101-250reported
- 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
Left, latest
- J•••••• R• S•••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 13, 2023 · RIA to RIA
- J•••• D••••• H•••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 13, 2023 · RIA to RIA
- S•••••• W• H••••••• to W••••• E••••••••• A••••••• S•••••••• L••Oct 13, 2023 · RIA to RIA
- J•••• D•• to W••••• E••••••••• A••••••• S•••••••• L••Oct 13, 2023 · RIA to RIA
- T••• M•••• to M•••• W••••• M•••••••••Dec 23, 2021 · RIA to a state-registered adviser
- J••• R• B•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 15, 2020 · RIA to affiliated broker-dealer or bank
- D•••• A•••• G•••••• to L••••• W••••• M••••••••• L••Feb 22, 2017 · Other
Joined, latest
- J••• R• B•••••••• from O•••• F•• I•••Jul 3, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• D•• from C•••••• G•••• • C• I••Apr 25, 2017 · Other
- T••• M•••• from H• W••••• M••••••••• L••Feb 14, 2017 · Other
- D•••• A•••• G•••••• from M••••• G••••• A••••••• I•••Dec 9, 2016 · Other
- S•••••• W• H••••••• from M••••• L••Oct 28, 2016 · Other
- J•••••• R• S•••••• from C••••• F••••••••• W••••• P•••••••• L••Dec 15, 2015 · Other
- J•••• D••••• H•••• from C••••• F••••••••• W••••• P•••••••• L••Dec 15, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••• E••••••••• A••••••• S•••••••• L••Oct 13, 2023 · Little Silver, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• J••••• D••••• · Managing Directorcontrolsince 10/2015 · owns 50% to 75%
- S••••••• J••••••• R•••••• · Managing Director And Chief Compliance Officercontrolsince 10/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Blue Bell, Pa · principal | 0 | 0 | 0 | ||
| Little Silver, Nj | 0 | 0 | 0 | ||
| Marco Island, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Little Silver, NJ2 employees
- Salt Lake City, UT1 employees
What changed
consecutive filings, newest first
- Related adviser · true to falseMar 31, 2023 to May 8, 2023
- Accounts · 710 to 230Jul 21, 2022 to Mar 31, 2023
- Advisory employees · 5 to 4Jul 21, 2022 to Mar 31, 2023
- HNW clients · 122 to 58Jul 21, 2022 to Mar 31, 2023
- Individual clients · 260 to 172Jul 21, 2022 to Mar 31, 2023
- Insurance-licensed employees · 6 to 0Jul 21, 2022 to Mar 31, 2023
- Financial planning clients · 251-500 to 101-250Jul 21, 2022 to Mar 31, 2023
- State-registered IARs · 5 to 4Jul 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $381M to $343MJul 21, 2022 to Mar 31, 2023
- HNW RAUM · $299M to $266MJul 21, 2022 to Mar 31, 2023
- Individual RAUM · $82.4M to $76.8MJul 21, 2022 to Mar 31, 2023
- RAUM · $381M to $343MJul 21, 2022 to Mar 31, 2023
- Accounts · 351 to 710Mar 31, 2021 to Mar 31, 2022
- HNW clients · 351 to 122Mar 31, 2021 to Mar 31, 2022
- Individual clients · 0 to 260Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $332M to $381MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $332M to $299MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $0 to $82.4MMar 31, 2021 to Mar 31, 2022
- RAUM · $332M to $381MMar 31, 2021 to Mar 31, 2022
- Related adviser · false to trueMar 31, 2021 to Mar 31, 2022
- Accounts · 831 to 351Nov 17, 2020 to Mar 31, 2021
- Advisory employees · 7 to 5Nov 17, 2020 to Mar 31, 2021
- Advisory activities · 5 to 4Nov 17, 2020 to Mar 31, 2021
- HNW clients · 130 to 351Nov 17, 2020 to Mar 31, 2021
- Individual clients · 216 to 0Nov 17, 2020 to Mar 31, 2021
- Employees · 13 to 10Nov 17, 2020 to Mar 31, 2021
- State-registered IARs · 7 to 5Nov 17, 2020 to Mar 31, 2021
- Discretionary RAUM · $304M to $332MNov 17, 2020 to Mar 31, 2021
- HNW RAUM · $250M to $332MNov 17, 2020 to Mar 31, 2021
- Individual RAUM · $53.3M to $0Nov 17, 2020 to Mar 31, 2021
- RAUM · $304M to $332MNov 17, 2020 to Mar 31, 2021
- Charity clients · 8 to 0Aug 28, 2019 to Mar 27, 2020
- Corporate clients · 6 to 0Aug 28, 2019 to Mar 27, 2020
- HNW clients · 76 to 130Aug 28, 2019 to Mar 27, 2020
- Individual clients · 143 to 216Aug 28, 2019 to Mar 27, 2020
- Financial planning clients · 1-10 to 251-500Aug 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $284M to $304MAug 28, 2019 to Mar 27, 2020
- HNW RAUM · $178M to $250MAug 28, 2019 to Mar 27, 2020
- Individual RAUM · $90.9M to $53.3MAug 28, 2019 to Mar 27, 2020
- RAUM · $284M to $304MAug 28, 2019 to Mar 27, 2020
Signals
7 dated events
- S•••••• W• H••••••• left F•••• C•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-09-01)Oct 13, 2023 · Advisor changed firm · fact
- J•••• D••••• H•••• left F•••• C•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-09-11)Oct 13, 2023 · Advisor changed firm · fact
- J•••••• R• S•••••• left F•••• C•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-09-01)Oct 13, 2023 · Advisor changed firm · fact
- J•••• D•• left F•••• C•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-09-01)Oct 13, 2023 · Advisor changed firm · fact
- 2 advisors left F•••• C•••••• A••••••• G••••• L•• (Little Silver, NJ) for W••••• E••••••••• A••••••• S•••••••• L•• on the same dayOct 13, 2023 · Team lift-out · derived
- Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of F•••• C•••••• A••••••• G••••• L•• (listed 2018-09-26, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- F•••• C•••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 26, 2015 · ria f•••• adv filing · 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