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.

Former SEC-registered adviser

Rlp Wealth Advisors, LLC

Former SEC-registered adviserRidgewood, New JerseyCRD 289841SEC 801-111718IAPD
Latest filing Mar 29, 2019
First filing on the tape Aug 21, 2017 · 7 filings
RAUM
$476M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
98%
$468M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$476M as of Mar 29, 2019
Mar 29, 2018$357M then
HNW client RAUM$429M as of Mar 29, 2019
Mar 29, 2018$324M then
State-registered IARs (5.B.3)3 as of Mar 29, 2019
Mar 29, 20183 then
Employees (5.A)8 as of Mar 29, 2019
Mar 29, 20188 then
Private funds: no history
RAUM +33% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$159MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
129derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$543,978derivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.0%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
Wrap fee program
$220MreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$429M90%
  • Individuals$39.3M8.2%
  • Pension and profit-sharing plans$5.4M1.1%
  • Corporations and businesses$1.8M0.4%
  • Charitable organizations$914,3780.2%
Individual clients
152reported
HNW clients
234reported
Pension plan clients
10reported
Charitable clients
1reported
Accounts
875reported
Financial planning clients
101-250reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M John Barrett · Chief Compliance Officercontrol
      since 03/2019 · owns less than 5%
    • Jeremy Paul · Chief Executive Officercontrol
      since 10/2017 · owns less than 5%
    • Lindsay Sturmak · Chief Operating Officercontrol
      since 03/2019 · owns less than 5%
    • Jeremy Paul · Ownercontrol
      since 10/2017 · owns 75% or more of Jhbj Holdings, LLC
    Entity owners
    • Rlp Wealth Holdings, LLC · Owner
      direct · owns 75% or more
    • Jhbj Holdings, LLC · Owner
      indirect · owns 75% or more of Rlp Wealth Holdings, LLC
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY2 employees
    • Boca Raton, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 928 to 875
      Jun 25, 2018 to Mar 29, 2019
    • HNW clients · 225 to 234
      Jun 25, 2018 to Mar 29, 2019
    • Individual clients · 146 to 152
      Jun 25, 2018 to Mar 29, 2019
    • Discretionary RAUM · $276M to $361M
      Jun 25, 2018 to Mar 29, 2019
    • HNW RAUM · $324M to $429M
      Jun 25, 2018 to Mar 29, 2019
    • Individual RAUM · $25.9M to $39.3M
      Jun 25, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $80.8M to $115M
      Jun 25, 2018 to Mar 29, 2019
    • Pension RAUM · $5.1M to $5.4M
      Jun 25, 2018 to Mar 29, 2019
    • RAUM · $357M to $476M
      Jun 25, 2018 to Mar 29, 2019
    • Accounts · 372 to 928
      Jan 18, 2018 to Mar 29, 2018
    • Advisory employees · 7 to 8
      Jan 18, 2018 to Mar 29, 2018
    • Advisory activities · 6 to 5
      Jan 18, 2018 to Mar 29, 2018
    • BD registered reps · 3 to 2
      Jan 18, 2018 to Mar 29, 2018
    • Corporate clients · 3 to 4
      Jan 18, 2018 to Mar 29, 2018
    • HNW clients · 223 to 225
      Jan 18, 2018 to Mar 29, 2018
    • Individual clients · 142 to 146
      Jan 18, 2018 to Mar 29, 2018
    • Pension plan clients · 3 to 10
      Jan 18, 2018 to Mar 29, 2018
    • Employees · 11 to 8
      Jan 18, 2018 to Mar 29, 2018
    • Insurance-licensed employees · 0 to 2
      Jan 18, 2018 to Mar 29, 2018
    • Financial planning clients · 0 to 101-250
      Jan 18, 2018 to Mar 29, 2018
    • State-registered IARs · 0 to 3
      Jan 18, 2018 to Mar 29, 2018
    • Other offices · 3 to 2
      Jan 18, 2018 to Mar 29, 2018
    • Discretionary RAUM · $260M to $276M
      Jan 18, 2018 to Mar 29, 2018
    • HNW RAUM · $308M to $324M
      Jan 18, 2018 to Mar 29, 2018
    • Individual RAUM · $19.9M to $25.9M
      Jan 18, 2018 to Mar 29, 2018
    • Non-discretionary RAUM · $75.3M to $80.8M
      Jan 18, 2018 to Mar 29, 2018
    • Pension RAUM · $2.0M to $5.1M
      Jan 18, 2018 to Mar 29, 2018
    • RAUM · $335M to $357M
      Jan 18, 2018 to Mar 29, 2018
    • Accounts · 0 to 372
      Oct 24, 2017 to Jan 18, 2018
    • Business name · PARADIGM FINANCIAL GROUP, LLC to RLP WEALTH ADVISORS, LLC
      Oct 24, 2017 to Jan 18, 2018
    • Charity clients · 0 to 1
      Oct 24, 2017 to Jan 18, 2018
    • Corporate clients · 0 to 3
      Oct 24, 2017 to Jan 18, 2018
    • HNW clients · 0 to 223
      Oct 24, 2017 to Jan 18, 2018
    • Individual clients · 0 to 142
      Oct 24, 2017 to Jan 18, 2018
    • Pension plan clients · 0 to 3
      Oct 24, 2017 to Jan 18, 2018
    • Discretionary RAUM · $0 to $260M
      Oct 24, 2017 to Jan 18, 2018
    • HNW RAUM · $0 to $308M
      Oct 24, 2017 to Jan 18, 2018
    • Individual RAUM · $0 to $19.9M
      Oct 24, 2017 to Jan 18, 2018
    • Non-discretionary RAUM · $0 to $75.3M
      Oct 24, 2017 to Jan 18, 2018
    • Pension RAUM · $0 to $2.0M
      Oct 24, 2017 to Jan 18, 2018
    Signals
    3 dated events
    • Rlp Wealth Advisors, Llc reported RAUM $476.0M, up 33% from $357.2M (2018-06-25 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • M John Barrett (Chief Compliance Officer) appeared on Schedule A of Rlp Wealth Advisors, Llc
      Mar 29, 2019 · Control person joined · fact
    • Paradigm Financial Group, Llc filed its initial SEC registration (Form ADV)
      Aug 21, 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.
    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