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
R••••••••• A••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 14, 2016 · 51 filings
SEC status approved since Apr 6, 2016
RAUM
$216M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
74%
$160M 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
51 filings and snapshots on the tape
RAUM$216M as of Mar 18, 2026
Mar 30, 2017$89.2M then
HNW client RAUM$133M as of Mar 18, 2026
Mar 23, 2018$63.1M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 30, 20175 then
Employees (5.A)3 as of Mar 18, 2026
Mar 30, 20177 then
Private funds: no history
RAUM +22% over the last fiscal year+21% a year over threeIARs 2 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $4.1MreportedItem 5.I
- Custody
- $4.2M, 7 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$133M62%
- Corporations and businesses$42.1M20%
- Individuals$27.2M13%
- Pension and profit-sharing plans$13.2M6.1%
- Individual clients
- 93reported
- HNW clients
- 64reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 170reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $2.1M sponsored, $2.1M managedreported
- Custody of client assets
- $4.2M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- J••••••• E••• B•••••••• to F••••••••• R••••••••• P••• C••••••••• L••May 28, 2026 · Other
- D•••••• A•• D••••• to W••••••••• A•••••••May 28, 2026 · RIA to RIA
- E••••• L••• V••••• to L•• F•••••••• L••Apr 3, 2023 · RIA to affiliated broker-dealer or bank
- W•••••• J••• B••• to W••••••• F•••••••• S•••••••• I•••Dec 9, 2022 · RIA to affiliated broker-dealer or bank
- C••••••••• B•••••••• to P•••••• A•••••• G••••• L••Jan 22, 2020 · RIA to RIA
- D•••• W•• to O••••••••• • C•• I•••Feb 1, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••••• A•• D••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 3, 2020 · Wirehouse to independent RIA
- W•••••• J••• B••• from C••••••••• F•••••••• N••••••Feb 18, 2020 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• B•••••••• from P•••••• A•••••• G••••• L••May 9, 2019 · RIA to RIA
- E••••• L••• V••••• from F••••••••• R••••••••• P••• C••••••••• L••Jul 27, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J•••••••• E••• · Managing Membercontrolsince 10/2015 · owns 75% or more
- D•••••• D••••••• A•• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- D•••• M•••••• · Chief Operating Officercontrolsince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Red Bank, Nj · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY
What changed
consecutive filings, newest first
- Accounts · 387 to 170Jan 15, 2026 to Mar 18, 2026
- HNW clients · 48 to 64Jan 15, 2026 to Mar 18, 2026
- Individual clients · 110 to 93Jan 15, 2026 to Mar 18, 2026
- Pension plan clients · 5 to 4Jan 15, 2026 to Mar 18, 2026
- Assets in custody · $4.9M to $4.2MJan 15, 2026 to Mar 18, 2026
- State-registered IARs · 2 to 0Jan 15, 2026 to Mar 18, 2026
- Other offices · 1 to 0Jan 15, 2026 to Mar 18, 2026
- Discretionary RAUM · $167M to $207MJan 15, 2026 to Mar 18, 2026
- HNW RAUM · $92.0M to $133MJan 15, 2026 to Mar 18, 2026
- Individual RAUM · $33.0M to $27.2MJan 15, 2026 to Mar 18, 2026
- Non-discretionary RAUM · $9.2M to $8.4MJan 15, 2026 to Mar 18, 2026
- Pension RAUM · $13.0M to $13.2MJan 15, 2026 to Mar 18, 2026
- RAUM · $177M to $216MJan 15, 2026 to Mar 18, 2026
- Related adviser · false to trueJan 15, 2026 to Mar 18, 2026
- Wrap assets (manager) · $2.3M to $2.1MJan 15, 2026 to Mar 18, 2026
- Wrap assets (sponsor) · $2.3M to $2.1MJan 15, 2026 to Mar 18, 2026
- BD registered reps · 2 to 0Aug 4, 2025 to Jan 15, 2026
- Related insurance company · true to falseAug 4, 2025 to Jan 15, 2026
- Financial planning clients · 1-10 to 1-10Jan 29, 2025 to Jul 1, 2025
- Accounts · 398 to 387Aug 1, 2024 to Jan 29, 2025
- Corporate clients · 10 to 9Aug 1, 2024 to Jan 29, 2025
- HNW clients · 50 to 48Aug 1, 2024 to Jan 29, 2025
- Individual clients · 114 to 110Aug 1, 2024 to Jan 29, 2025
- Assets in custody · $4.8M to $4.9MAug 1, 2024 to Jan 29, 2025
- Discretionary RAUM · $146M to $167MAug 1, 2024 to Jan 29, 2025
- HNW RAUM · $82.0M to $92.0MAug 1, 2024 to Jan 29, 2025
- Individual RAUM · $29.6M to $33.0MAug 1, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $8.7M to $9.2MAug 1, 2024 to Jan 29, 2025
- Pension RAUM · $11.6M to $13.0MAug 1, 2024 to Jan 29, 2025
- RAUM · $155M to $177MAug 1, 2024 to Jan 29, 2025
- Wrap assets (manager) · $11.4M to $2.3MAug 1, 2024 to Jan 29, 2025
- Wrap assets (sponsor) · $11.4M to $2.3MAug 1, 2024 to Jan 29, 2025
- Accounts · 435 to 398Aug 17, 2023 to Mar 7, 2024
- Advisory employees · 3 to 2Aug 17, 2023 to Mar 7, 2024
- Corporate clients · 4 to 10Aug 17, 2023 to Mar 7, 2024
- HNW clients · 52 to 50Aug 17, 2023 to Mar 7, 2024
- Individual clients · 140 to 114Aug 17, 2023 to Mar 7, 2024
- Pension plan clients · 6 to 5Aug 17, 2023 to Mar 7, 2024
- Assets in custody · $3.0M to $4.8MAug 17, 2023 to Mar 7, 2024
- Employees · 4 to 3Aug 17, 2023 to Mar 7, 2024
Signals
9 dated events
- R••••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $215.5M)Jun 1, 2026 · Left the SEC roster · derived
- J••••••• E••• B•••••••• left R••••••••• A••••••• L•• for F••••••••• R••••••••• P••• C••••••••• L•• (registered 2017-04-25)May 28, 2026 · a•••••• firm change · fact
- D•••••• A•• D••••• left R••••••••• A••••••• L•• for W••••••••• A••••••• (registered 2026-05-06)May 28, 2026 · a•••••• firm change · fact
- E••••• L••• V••••• left R••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-01-03)Apr 3, 2023 · a•••••• firm change · fact
- Ann D•••••• Derosa (Chief Compliance Officer) appeared on Schedule A of R••••••••• A••••••• L••Feb 13, 2023 · Control person joined · fact
- W•••••• J••• B••• left R••••••••• A••••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2023-01-03)Dec 9, 2022 · a•••••• firm change · fact
- Samuel Benjamin Gerut (Managing Member) no longer on Schedule A of R••••••••• A••••••• L•• (listed 2019-04-25, absent 2019-12-17)Dec 17, 2019 · Control person left · inference
- R••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 14, 2016 · First SEC registration · fact
- R••••••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 14, 2016 · 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