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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SEC-registered adviser
A••••• P•••••• W•••••• I•••
Latest filing Jul 1, 2026
First filing on the tape Apr 20, 2017 · 58 filings
SEC status approved since May 5, 2017
RAUM
$374M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$374M individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$18.7M
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$374M as of Jul 1, 2026
May 14, 2018$248M then
HNW client RAUM$171M as of Jul 1, 2026
May 14, 2018$164M then
State-registered IARs (5.B.3)13 as of Jul 1, 2026
May 14, 20188 then
Employees (5.A)21 as of Jul 1, 2026
May 14, 201813 then
Private funds: no history
RAUM -5.4% over the last fiscal year+5.9% a year over threeIARs 19 to 13offices 15 to 12
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $18.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $248,031derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.5derived13 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $272MreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$203M54%
- High-net-worth individuals$171M46%
- Individual clients
- 1,427reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,508reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $136M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• L••• S••••Certified Financial Planner | Sarasota, Fl | Oct 29, 2015 | 40 y | 2 |
| E••••• H••••• R••••• | Totowa, Nj | Jan 5, 2017 | 19 y | 4 |
| G•••••• M•••••• N••••••••• | Morristown, Nj | Feb 16, 2017 | 32 y | 3 |
| S•••• J•••• W•••••• | Totowa, Nj | Dec 7, 2017 | 28 y | 1 |
| J••• R• C•••••••• | Miami, Fl | Jan 29, 2018 | 26 y | 2 |
| J••• J••••• B•••• | Rockaway, Nj | Aug 22, 2018 | 34 y | 3 |
| J••• H• C••••• | Totowa, Nj | Jan 3, 2019 | 41 y | 3 |
| E••• W•••••• L•••••• | Flemington, Nj | Jan 3, 2019 | 16 y | 4 |
| G••• M• P•••• | Totowa, Nj | Jan 3, 2019 | 15 y | 2 |
| K••••• L••• B••••• | Wichita, Ks | Apr 18, 2019 | 16 y | 1 |
| H••••• S•••• Z••••••• | Uniondale, Ny | Mar 24, 2021 | 34 y | 0 |
| P•••• J••• D••••• | Uniondale, Ny | Mar 25, 2021 | 17 y | 1 |
| E••• M••••• | Totowa, Nj | Jul 16, 2021 | 38 y | 1 |
| K•••• R••••• L•••••• | Chepachet, Ri | Sep 20, 2021 | 26 y | 3 |
| T•••••• J••• P•••• | Doylestown, Pa | Dec 26, 2021 | 24 y | 0 |
| B••••• T•••Certified Financial Planner | Totowa, Nj | Mar 22, 2024 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount5 left over 36 months
Left, latest
- K•••• E••••• R••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 13, 2025 · RIA to affiliated broker-dealer or bank
- S•••••• A•••••• M•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 13, 2025 · RIA to affiliated broker-dealer or bank
- J•••• H••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 4, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• R••• C•••••• to A•••• I••••••••• A•••••••• L••Sep 30, 2024 · RIA to RIA
- M••••• N•••••• to T••••• A•••• M••••••••• L••Jan 2, 2024 · RIA to RIA
- J•••• F•••••• L•••• to O•••••••••Dec 31, 2022 · Other
- M•••••• T••••• R•••••• to O•••••••••Dec 31, 2022 · Other
- J••••• K••• to O•••••••••Dec 31, 2022 · Other
- H•••• C•••••• K••••• to T•• A•••••••• G••••Oct 21, 2021 · RIA to RIA
- P•••• J••••••• V••••• to S••••• F••••••••• L••Aug 3, 2021 · RIA to affiliated broker-dealer or bank
- D••••• P•••••• N••••••••• to S••••• F••••••••• L••Aug 3, 2021 · RIA to affiliated broker-dealer or bank
- J•••• T••••• B••••••• to S••••• F••••••••• L••Aug 3, 2021 · RIA to affiliated broker-dealer or bank
- H••••• F•••• W•••••• to W•••••• C•••••• A•••••••• L••May 3, 2021 · RIA to a state-registered adviser
- J••• P••••••• P••••••• to L••••• W••••• A•••••••• I•••Dec 31, 2020 · RIA to RIA
- M•••••• S••• H••• to L••••• W••••• A•••••••• I•••Dec 31, 2020 · RIA to RIA
Joined, latest
- K•••• R••••• L•••••• from E••••• J••••Sep 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••• M••••• from E•••••••• A•••••••• L••Jul 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- P•••• J••• D••••• from A••••• G••••••• I•••Mar 25, 2021 · Other
- K••••• L••• B••••• from P•••••• P••••••••• A•••••••Apr 18, 2019 · Other
- J••• P••••••• P••••••• from S••••••• G••••• S••••••••• L••Apr 4, 2019 · RIA to RIA
- M•••••• S••• H••• from S••••••• G••••• S••••••••• L••Apr 4, 2019 · RIA to RIA
- H•••• C•••••• K••••• from A••••••••• F•••••••• S•••••••• L••Jan 15, 2019 · Affiliated broker-dealer or bank to independent RIA
- K•••• E••••• R••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- J••• H• C••••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- E••• W•••••• L•••••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- S•••••• A•••••• M•••••••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- M••••• N•••••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- G••• M• P•••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- J•••• H••• from I•••••• P•••••• A•••••••• L••Jan 3, 2019 · RIA to RIA
- S••••• H• D••••••• from I•••••• P•••••• A•••••••• L••Dec 12, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for O•••••••••Dec 31, 2022 · Totowa, Nj
- 3 left for S••••• F••••••••• L••Aug 3, 2021 · Morristown, Nj
- 2 left for L••••• W••••• A•••••••• I•••Dec 31, 2020 · Totowa, Nj
- 2 joined from S••••••• G••••• S••••••••• L••Jul 2, 2019 · Carlsbad, Ca
- 6 joined from I•••••• P•••••• A•••••••• L••Dec 31, 2018 · Bridgewater, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• T••••• M•••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- S••••• T••••••• L••• · President/Ceocontrolsince 08/2015 · owns 75% or more
- J•••••••• C••••••••• L••••• · Shareholdersince 01/2000 · owns 10% to 25%
- J•••••••• S•••• M•••••• · Shareholdersince 01/2000 · owns less than 5%
Related persons
Schedule D 7.A
- A•• C••••••• I•••broker-dealern
- A••••• I•••••••• S•••••••• I•••real estaten
- C••••••••• C•••••• M••••••••• I•••investment advisernRAUM $77.5M
Advisers that list A••••• P•••••• W•••••• I••• as a related person
- 119890 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Totowa, Nj · principal | 17 | 2 | 0 | ||
| Beaver, Pa | 4 | 2 | 0 | ||
| Uniondale, Ny | 4 | 0 | 0 | ||
| Mars, Pa | 3 | 1 | 0 | ||
| North Chesterfield, Va | 0 | 0 | 0 | ||
| Shrewsbury, Nj | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Garden City, NY3 employees
- Morristown, NJ1 employees
- Mars, PA1 employees
- New York, NY1 employees
- Bridgewater, NJ1 employees
- East Stroudsburg, PA1 employees
- Edison, NJ1 employees
- Flemington, NJ1 employees
- Holmdel, NJ1 employees
- Miami, FL1 employees
- Sarasota, FL1 employees
- Wichita, KS1 employees
- Beaver, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 16 to 12Mar 27, 2026 to Jul 1, 2026
- BD registered reps · 17 to 13Mar 27, 2026 to Jul 1, 2026
- Employees · 25 to 21Mar 27, 2026 to Jul 1, 2026
- State-registered IARs · 17 to 13Mar 27, 2026 to Jul 1, 2026
- Other offices · 13 to 12Mar 27, 2026 to Jul 1, 2026
- Accounts · 1,843 to 1,508Jul 17, 2025 to Mar 27, 2026
- HNW clients · 83 to 81Jul 17, 2025 to Mar 27, 2026
- Individual clients · 1,760 to 1,427Jul 17, 2025 to Mar 27, 2026
- HQ city · ROCKAWAY to TOTOWAJul 17, 2025 to Mar 27, 2026
- Other offices · 14 to 13Jul 17, 2025 to Mar 27, 2026
- Discretionary RAUM · $395M to $374MJul 17, 2025 to Mar 27, 2026
- HNW RAUM · $168M to $171MJul 17, 2025 to Mar 27, 2026
- Individual RAUM · $228M to $203MJul 17, 2025 to Mar 27, 2026
- RAUM · $395M to $374MJul 17, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · $166M to $136MJul 17, 2025 to Mar 27, 2026
- Advisory employees · 18 to 16Mar 11, 2025 to Jul 17, 2025
- BD registered reps · 19 to 17Mar 11, 2025 to Jul 17, 2025
- Employees · 29 to 25Mar 11, 2025 to Jul 17, 2025
- Financial planning clients · 0 to 0Mar 11, 2025 to Jul 17, 2025
- State-registered IARs · 19 to 17Mar 11, 2025 to Jul 17, 2025
- Other offices · 15 to 14Mar 11, 2025 to Jul 17, 2025
- Accounts · 1,890 to 1,843Oct 21, 2024 to Mar 11, 2025
- Advisory employees · 20 to 18Oct 21, 2024 to Mar 11, 2025
- BD registered reps · 20 to 19Oct 21, 2024 to Mar 11, 2025
- HNW clients · 65 to 83Oct 21, 2024 to Mar 11, 2025
- Individual clients · 1,825 to 1,760Oct 21, 2024 to Mar 11, 2025
- Employees · 32 to 29Oct 21, 2024 to Mar 11, 2025
- State-registered IARs · 21 to 19Oct 21, 2024 to Mar 11, 2025
- Other offices · 16 to 15Oct 21, 2024 to Mar 11, 2025
- Discretionary RAUM · $363M to $395MOct 21, 2024 to Mar 11, 2025
- HNW RAUM · $130M to $168MOct 21, 2024 to Mar 11, 2025
- Individual RAUM · $233M to $228MOct 21, 2024 to Mar 11, 2025
- RAUM · $363M to $395MOct 21, 2024 to Mar 11, 2025
- Wrap assets (sponsor) · $231M to $166MOct 21, 2024 to Mar 11, 2025
- Accounts · 1,814 to 1,890Sep 28, 2023 to Mar 19, 2024
- Advisory employees · 23 to 20Sep 28, 2023 to Mar 19, 2024
- BD registered reps · 24 to 20Sep 28, 2023 to Mar 19, 2024
- HNW clients · 51 to 65Sep 28, 2023 to Mar 19, 2024
- Individual clients · 1,762 to 1,825Sep 28, 2023 to Mar 19, 2024
- Employees · 24 to 32Sep 28, 2023 to Mar 19, 2024
Signals
18 dated events
- S•••••• A•••••• M•••••••• left A••••• P•••••• W•••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-16)Jun 13, 2025 · Advisor changed firm · fact
- K•••• E••••• R••• left A••••• P•••••• W•••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-08-29)Jun 13, 2025 · Advisor changed firm · fact
- J•••• H••• left A••••• P•••••• W•••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-01-02)Feb 4, 2025 · Advisor changed firm · fact
- M•••••• R••• C•••••• left A••••• P•••••• W•••••• I••• for A•••• I••••••••• A•••••••• L•• (registered 2024-05-16)Sep 30, 2024 · Advisor changed firm · fact
- M••••• N•••••• left A••••• P•••••• W•••••• I••• for T••••• A•••• M••••••••• L•• (registered 2024-01-11)Jan 2, 2024 · Advisor changed firm · fact
- A••••• P•••••• W•••••• I••• reported RAUM $315.3M, down 48% from $603.0M (2022-04-07 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- J•••• F•••••• L•••• left A••••• P•••••• W•••••• I••• for O••••••••• (registered 2022-11-07)Dec 31, 2022 · Advisor changed firm · fact
- M•••••• T••••• R•••••• left A••••• P•••••• W•••••• I••• for O••••••••• (registered 2022-11-04)Dec 31, 2022 · Advisor changed firm · fact
- J••••• K••• left A••••• P•••••• W•••••• I••• for O••••••••• (registered 2022-11-04)Dec 31, 2022 · Advisor changed firm · fact
- 3 advisors left A••••• P•••••• W•••••• I••• (Totowa, NJ) for O••••••••• on the same dayDec 31, 2022 · Team lift-out · derived
- Charles Andrew Nussbaum (Cco) no longer on Schedule A of A••••• P•••••• W•••••• I••• (listed 2021-03-31, absent 2021-06-02)Jun 2, 2021 · Control person left · inference
- T•••• C•••••• (Chief Compliance Officer) appeared on Schedule A of A••••• P•••••• W•••••• I•••Jun 2, 2021 · Control person joined · fact
- A••••• P•••••• W•••••• I••• reported RAUM $650.1M, up 52% from $426.6M (2020-02-14 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- A••••• P•••••• W•••••• I••• reported 16 offices beyond its principal office, up from 6 (2019-03-07 to 2019-03-25)Mar 25, 2019 · Office count change · derived
- A••••• P•••••• W•••••• I••• reported 22 state-registered advisory representatives, up from 8 (2019-03-07 to 2019-03-25)Mar 25, 2019 · Advisor headcount change · derived
- A••••• P•••••• W•••••• I••• reported RAUM $426.6M, up 72% from $248.1M (2019-03-07 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- Hally Tara Smith (Shareholder) no longer on Schedule A of A••••• P•••••• W•••••• I••• (listed 2019-03-07, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
- A••••• P•••••• W•••••• I••• filed its initial SEC registration (Form ADV)Apr 20, 2017 · 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.
How to reach
public business contact points only, each with its source
- Business email
- contact@aurorapw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- feedback@aurorapw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-637-3211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-394-0404reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 973-394-1069reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wealthplanadvantagereportedpublic record, Form ADV, Sep 18, 2026
- Website
- aurorapw.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-394-0404reportedpublic record, Form ADV, Jul 1, 2026
- Team page
- aurorapw.com/who-we-are/meet-our-team.phpreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $18.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026