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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•• F•••••••• S•••••••• I•••

Former SEC-registered adviserStroudsburg, PennsylvaniaCRD 298683SEC 801-114057IAPD
Latest filing Mar 26, 2019
First filing on the tape Aug 29, 2018 · 2 filings
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$151M as of Mar 26, 2019
Aug 29, 2018$174M then
HNW client RAUM$138M as of Mar 26, 2019
Aug 29, 2018$148M then
State-registered IARs (5.B.3)2 as of Mar 26, 2019
Aug 29, 20182 then
Employees (5.A)4 as of Mar 26, 2019
Aug 29, 20185 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
$75.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$263,828derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$144MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$138M91%
  • Individuals$13.0M8.6%
Individual clients
24reported
HNW clients
70reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
572reported
Financial planning clients
101-250reported
Wrap fee programs
$144M 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• R•••••• P••• · President And Chief Compliance Officercontrol
      since 11/1990 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Morristown, NJ2 employees
    • Somerville, NJ2 employees
    • Hackettstown, NJ1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 585 to 572
      Aug 29, 2018 to Mar 26, 2019
    • HNW clients · 60 to 70
      Aug 29, 2018 to Mar 26, 2019
    • Individual clients · 39 to 24
      Aug 29, 2018 to Mar 26, 2019
    • Employees · 5 to 4
      Aug 29, 2018 to Mar 26, 2019
    • Other offices · 3 to 5
      Aug 29, 2018 to Mar 26, 2019
    • Discretionary RAUM · $174M to $151M
      Aug 29, 2018 to Mar 26, 2019
    • HNW RAUM · $148M to $138M
      Aug 29, 2018 to Mar 26, 2019
    • Individual RAUM · $24.4M to $13.0M
      Aug 29, 2018 to Mar 26, 2019
    • RAUM · $174M to $151M
      Aug 29, 2018 to Mar 26, 2019
    • Wrap assets (sponsor) · $174M to $144M
      Aug 29, 2018 to Mar 26, 2019
    Signals
    1 dated events
    • R•• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
      Aug 29, 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.
    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