DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••• G••• W••••• M••••••••• L••
Latest filing Feb 5, 2026
First filing on the tape Dec 23, 2016 · 20 filings
SEC status approved since Dec 28, 2016
RAUM
$796M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$796M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$398M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$796M as of Feb 5, 2026
Mar 29, 2017$150M then
HNW client RAUM$756M as of Feb 5, 2026
Mar 13, 2018$325M then
State-registered IARs (5.B.3)2 as of Feb 5, 2026
Mar 29, 20172 then
Employees (5.A)7 as of Feb 5, 2026
Mar 29, 20174 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $398MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $735,041derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $81.1M, 23 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$756M95%
- Individuals$40.2M5.0%
- Individual clients
- 95reported
- HNW clients
- 108reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,083reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $81.1M for 23 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• P• G•••Certified Financial Planner | Mendham, Nj | Feb 1, 2017 | 18 y | 3 |
| J••• F•••••• P••••• | Mendham, Nj | Feb 1, 2017 | 37 y | 2 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• F•••••• P••••• from O••••• L•••• A••••• L••Feb 1, 2017 · Other
- D•••• P• G••• from O••••• L•••• A••••• L••Feb 1, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O••••• L•••• A••••• L••Oct 6, 2017 · Gladstone, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• D••••• P• · Member/Chief Compliance Officercontrolsince 12/2016 · owns 25% to 50%
- P•••••• J•••• F•••••• · Managing Membercontrolsince 12/2016 · owns 50% to 75%
- S••••• C••••••••• M•••• · Chief Administrative Officersince 12/2016 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Mendham, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,045 to 1,083Nov 7, 2025 to Feb 5, 2026
- HNW clients · 104 to 108Nov 7, 2025 to Feb 5, 2026
- Individual clients · 100 to 95Nov 7, 2025 to Feb 5, 2026
- Assets in custody · $78.2M to $81.1MNov 7, 2025 to Feb 5, 2026
- Employees · 6 to 7Nov 7, 2025 to Feb 5, 2026
- Discretionary RAUM · $680M to $782MNov 7, 2025 to Feb 5, 2026
- HNW RAUM · $652M to $756MNov 7, 2025 to Feb 5, 2026
- Individual RAUM · $38.0M to $40.2MNov 7, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $10.1M to $14.3MNov 7, 2025 to Feb 5, 2026
- RAUM · $690M to $796MNov 7, 2025 to Feb 5, 2026
- Accounts · 1,000 to 1,045Feb 9, 2024 to Jan 21, 2025
- HNW clients · 99 to 104Feb 9, 2024 to Jan 21, 2025
- Individual clients · 101 to 100Feb 9, 2024 to Jan 21, 2025
- Assets in custody · $72.3M to $78.2MFeb 9, 2024 to Jan 21, 2025
- Financial planning clients · 51-100 to 51-100Feb 9, 2024 to Jan 21, 2025
- Discretionary RAUM · $563M to $680MFeb 9, 2024 to Jan 21, 2025
- HNW RAUM · $542M to $652MFeb 9, 2024 to Jan 21, 2025
- Individual RAUM · $32.8M to $38.0MFeb 9, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $11.3M to $10.1MFeb 9, 2024 to Jan 21, 2025
- RAUM · $575M to $690MFeb 9, 2024 to Jan 21, 2025
- Accounts · 962 to 1,000Jan 26, 2024 to Feb 9, 2024
- HNW clients · 102 to 99Jan 26, 2024 to Feb 9, 2024
- Individual clients · 105 to 101Jan 26, 2024 to Feb 9, 2024
- Assets in custody · $54.3M to $72.3MJan 26, 2024 to Feb 9, 2024
- Employees · 5 to 6Jan 26, 2024 to Feb 9, 2024
- Financial planning clients · 26-50 to 51-100Jan 26, 2024 to Feb 9, 2024
- Discretionary RAUM · $469M to $563MJan 26, 2024 to Feb 9, 2024
- HNW RAUM · $455M to $542MJan 26, 2024 to Feb 9, 2024
- Individual RAUM · $29.0M to $32.8MJan 26, 2024 to Feb 9, 2024
- Non-discretionary RAUM · $14.7M to $11.3MJan 26, 2024 to Feb 9, 2024
- RAUM · $484M to $575MJan 26, 2024 to Feb 9, 2024
- HQ city · BEDMINSTER to MENDHAMMar 31, 2023 to Jan 26, 2024
- BD registered reps · 2 to 1Feb 17, 2023 to Mar 31, 2023
- Insurance-licensed employees · 2 to 0Feb 17, 2023 to Mar 31, 2023
- State-registered IARs · 0 to 2Feb 17, 2023 to Mar 31, 2023
- Accounts · 905 to 962May 26, 2022 to Feb 17, 2023
- HNW clients · 99 to 102May 26, 2022 to Feb 17, 2023
- Individual clients · 88 to 105May 26, 2022 to Feb 17, 2023
- Assets in custody · $167M to $54.3MMay 26, 2022 to Feb 17, 2023
- Discretionary RAUM · $553M to $469MMay 26, 2022 to Feb 17, 2023
Signals
2 dated events
- P••••• G••• W••••• M••••••••• L•• reported RAUM $337.2M, up 125% from $150.0M (2017-12-01 to 2018-03-13)Mar 13, 2018 · RAUM change · derived
- P••••• G••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 23, 2016 · 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
- Firm profile
- linkedin.com/company/93341651/admin/feed/postsreportedpublic record, Form ADV, Sep 21, 2026
- Website
- P•••••G•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 973-358-4921reportedpublic record, Form ADV, Feb 5, 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
- $398Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026