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
H••••••• F•••••••• C••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 19, 2017 · 18 filings
SEC status approved since Jul 21, 2017
RAUM
$236M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$236M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$47.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$236M as of Mar 31, 2026
Jan 18, 2018$105M then
HNW client RAUM$206M as of Mar 31, 2026
Jan 18, 2018$105M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Jan 18, 20182 then
Employees (5.A)5 as of Mar 31, 2026
Jan 18, 20184 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $47.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $554,989derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $1.8M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$206M87%
- Individuals$29.7M13%
- Individual clients
- 76reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 425reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• P•••••• W••••••Certified Financial Planner | Bedminster, Nj | Aug 10, 2017 | 21 y | 4 |
| N•••• W••••••••• M•••••Certified Financial Planner | Bedminster, Nj | Aug 31, 2017 | 14 y | 0 |
| J•••••• L•••• P••••••Certified Financial Planner | Bedminster, Nj | Feb 3, 2023 | 12 y | 0 |
| C•••••• F••••• E•••••••Certified Financial Planner | Bedminster, Nj | Feb 3, 2023 | 13 y | 0 |
| J••••• E••••• B•••••• | Oyster Bay, Ny | Apr 2, 2026 | 10 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••••• P•••••• W•••••• from L•• F•••••••• L••Aug 10, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• C••••••• P•••••• · Managing Member & Chief Compliance Officercontrolsince 08/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bedminster, Nj · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-09-04, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 394 to 425Sep 4, 2025 to Mar 31, 2026
- HNW clients · 69 to 67Sep 4, 2025 to Mar 31, 2026
- Individual clients · 69 to 76Sep 4, 2025 to Mar 31, 2026
- Assets in custody · unset to 1765290.0Sep 4, 2025 to Mar 31, 2026
- Custody of client assets · false to trueSep 4, 2025 to Mar 31, 2026
- Employees · 4 to 5Sep 4, 2025 to Mar 31, 2026
- Financial planning clients · 51-100 to 101-250Sep 4, 2025 to Mar 31, 2026
- Other offices · 0 to 1Sep 4, 2025 to Mar 31, 2026
- HNW RAUM · $177M to $206MSep 4, 2025 to Mar 31, 2026
- Individual RAUM · $24.0M to $29.7MSep 4, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $201M to $236MSep 4, 2025 to Mar 31, 2026
- RAUM · $201M to $236MSep 4, 2025 to Mar 31, 2026
- Accounts · 387 to 394Apr 3, 2024 to Mar 12, 2025
- HNW clients · 71 to 69Apr 3, 2024 to Mar 12, 2025
- Individual clients · 48 to 69Apr 3, 2024 to Mar 12, 2025
- Financial planning clients · 51-100 to 51-100Apr 3, 2024 to Mar 12, 2025
- HNW RAUM · $159M to $177MApr 3, 2024 to Mar 12, 2025
- Individual RAUM · $20.0M to $24.0MApr 3, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $179M to $201MApr 3, 2024 to Mar 12, 2025
- RAUM · $179M to $201MApr 3, 2024 to Mar 12, 2025
- Accounts · 375 to 387Jan 19, 2023 to Mar 25, 2024
- HNW clients · 128 to 71Jan 19, 2023 to Mar 25, 2024
- Individual clients · unset to 48.0Jan 19, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 51-100Jan 19, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 4Jan 19, 2023 to Mar 25, 2024
- HNW RAUM · $152M to $159MJan 19, 2023 to Mar 25, 2024
- Individual RAUM · unset to 19979403.0Jan 19, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $152M to $179MJan 19, 2023 to Mar 25, 2024
- RAUM · $152M to $179MJan 19, 2023 to Mar 25, 2024
- Accounts · 376 to 375Jan 27, 2022 to Jan 19, 2023
- HNW clients · 149 to 128Jan 27, 2022 to Jan 19, 2023
- HNW RAUM · $169M to $152MJan 27, 2022 to Jan 19, 2023
- Non-discretionary RAUM · $169M to $152MJan 27, 2022 to Jan 19, 2023
- RAUM · $169M to $152MJan 27, 2022 to Jan 19, 2023
- Accounts · 364 to 376Mar 5, 2021 to Jan 27, 2022
- HNW clients · 133 to 149Mar 5, 2021 to Jan 27, 2022
- HNW RAUM · $141M to $169MMar 5, 2021 to Jan 27, 2022
- Non-discretionary RAUM · $141M to $169MMar 5, 2021 to Jan 27, 2022
- RAUM · $141M to $169MMar 5, 2021 to Jan 27, 2022
- Accounts · 345 to 364Jun 24, 2020 to Mar 5, 2021
Signals
1 dated events
- H••••••• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Jun 19, 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 phone
- 862-579-2899reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••FINANCIALC•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 862-579-2899reportedpublic record, Form ADV, Mar 31, 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
- $47.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026