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
S•••••••• W••••• M••••••••• P•••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Aug 3, 2018 · 19 filings
SEC status approved since Sep 4, 2018
RAUM
$454M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$449M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$90.8M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$454M as of Jul 28, 2026
Mar 14, 2019$216M then
HNW client RAUM$333M as of Jul 28, 2026
Mar 14, 2019$127M then
State-registered IARs (5.B.3)5 as of Jul 28, 2026
Mar 14, 20194 then
Employees (5.A)8 as of Jul 28, 2026
Mar 14, 20198 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 28, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $90.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $482,185derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 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
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $452MreportedItem 5.I
- Custody
- $199M, 240 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$333M73%
- Individuals$116M25%
- Pension and profit-sharing plans$4.4M1.0%
- Corporations and businesses$841,0240.2%
- Individual clients
- 316reported
- HNW clients
- 107reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 942reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $199M for 240 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• E•• | Rochelle Park, Nj | Oct 4, 2018 | 25 y | 1 |
| K•••••• S•••• B•••••••• | Rochelle Park, Nj | Oct 4, 2018 | 29 y | 1 |
| T••••• C••••••••• B••• | Montvale, Nj | Oct 28, 2025 | 24 y | 1 |
| E•••••••• A•• E••Chartered Financial Consultant | Montvale, Nj | Jan 5, 2026 | 37 y | 1 |
| G•••••• M•••••• E•• | Rochelle Park, Nj | Jan 5, 2026 | 33 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- G•••••• M•••••• E•• from L•• F•••••••• L••Jan 5, 2026 · RIA to RIA
- E•••••••• A•• E•• from L•• F•••••••• L••Jan 5, 2026 · RIA to RIA
- T••••• C••••••••• B••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 28, 2025 · Wirehouse to independent RIA
- M•••••• E•• from L•• F•••••••• L••Oct 4, 2018 · RIA to a newly registered adviser
- K•••••• S•••• B•••••••• from L•• F•••••••• L••Oct 4, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from L•• F•••••••• L••Sep 21, 2018 · Woodcliff Lake, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••• D•••• · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- E••• E••••••••• A•• · Managing Membercontrolsince 09/2018 · owns 50% to 75%
- E••• G••••••• M•••••• · Managing Membercontrolsince 09/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- K•••••• B••••••••insurancey
- M•••••• E••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Montvale, Nj · principal | 5 | 3 | 0 | ||
| Rochelle Park, Nj | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rochelle Park, NJ2 employees
What changed
consecutive filings, newest first
- Accounts · 940 to 942Mar 27, 2025 to Mar 25, 2026
- Advisory employees · 5 to 6Mar 27, 2025 to Mar 25, 2026
- Corporate clients · 8 to 6Mar 27, 2025 to Mar 25, 2026
- HNW clients · 95 to 107Mar 27, 2025 to Mar 25, 2026
- Individual clients · 336 to 316Mar 27, 2025 to Mar 25, 2026
- Pension plan clients · 5 to 3Mar 27, 2025 to Mar 25, 2026
- Assets in custody · $161M to $199MMar 27, 2025 to Mar 25, 2026
- State-registered IARs · 4 to 5Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $385M to $452MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $270M to $333MMar 27, 2025 to Mar 25, 2026
- Individual RAUM · $113M to $116MMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $2.0M to $2.5MMar 27, 2025 to Mar 25, 2026
- Pension RAUM · $4.0M to $4.4MMar 27, 2025 to Mar 25, 2026
- RAUM · $387M to $454MMar 27, 2025 to Mar 25, 2026
- Accounts · 903 to 940Mar 28, 2024 to Mar 27, 2025
- Charity clients · unset to 0.0Mar 28, 2024 to Mar 27, 2025
- Corporate clients · 5 to 8Mar 28, 2024 to Mar 27, 2025
- HNW clients · 93 to 95Mar 28, 2024 to Mar 27, 2025
- Individual clients · 316 to 336Mar 28, 2024 to Mar 27, 2025
- Pension plan clients · 4 to 5Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $137M to $161MMar 28, 2024 to Mar 27, 2025
- Employees · 7 to 8Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $333M to $385MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $228M to $270MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $99.7M to $113MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $0 to $2.0MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $4.5M to $4.0MMar 28, 2024 to Mar 27, 2025
- RAUM · $333M to $387MMar 28, 2024 to Mar 27, 2025
- Accounts · 940 to 903Jun 6, 2023 to Mar 28, 2024
- Charity clients · 1.0 to unsetJun 6, 2023 to Mar 28, 2024
- HNW clients · 87 to 93Jun 6, 2023 to Mar 28, 2024
- Individual clients · 332 to 316Jun 6, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 4Jun 6, 2023 to Mar 28, 2024
- Assets in custody · $129M to $137MJun 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $286M to $333MJun 6, 2023 to Mar 28, 2024
- HNW RAUM · $199M to $228MJun 6, 2023 to Mar 28, 2024
- Individual RAUM · $96.3M to $99.7MJun 6, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $21.6M to $0Jun 6, 2023 to Mar 28, 2024
- Pension RAUM · $3.9M to $4.5MJun 6, 2023 to Mar 28, 2024
Signals
1 dated events
- S•••••••• W••••• M••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 3, 2018 · 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
- Principal office phone
- 201-505-1100reportedpublic record, Form ADV, Jul 28, 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
- $90.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026