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
L••••••••• I••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 11, 2024 · 5 filings
SEC status approved since Apr 10, 2024
RAUM
$170M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
1.9%
$3.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$84.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$170M as of Mar 12, 2026
Mar 12, 2025$157M then
HNW client RAUM$3.1M as of Mar 12, 2026
Mar 12, 2025$4.6M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 12, 20252 then
Employees (5.A)3 as of Mar 12, 2026
Mar 12, 20252 then
Private funds: no history
RAUM +8.1% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $84.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- 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
- 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
- Charitable organizations$126M74%
- Pension and profit-sharing plans$40.5M24%
- High-net-worth individuals$3.1M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.98 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••• F•••• | Lakewood, Nj | Feb 13, 2019 | 19 y | 1 |
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
- E•••••• F•••• from E••••••• F•••••••• L••Feb 13, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• E•••••• · Sole Owner / Sole Executive Officer / Chief Compliance Officercontrolsince 10/2018 · 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 |
|---|---|---|---|---|---|
| Lakewood, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 23Mar 12, 2025 to Mar 12, 2026
- Pension plan clients · 11 to 12Mar 12, 2025 to Mar 12, 2026
- Employees · 2 to 3Mar 12, 2025 to Mar 12, 2026
- Discretionary RAUM · $90.8M to $113MMar 12, 2025 to Mar 12, 2026
- HNW RAUM · $4.6M to $3.1MMar 12, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $66.1M to $56.7MMar 12, 2025 to Mar 12, 2026
- Pension RAUM · $28.7M to $40.5MMar 12, 2025 to Mar 12, 2026
- RAUM · $157M to $170MMar 12, 2025 to Mar 12, 2026
- Accounts · 28 to 22Oct 31, 2024 to Mar 12, 2025
- Pension plan clients · 15 to 11Oct 31, 2024 to Mar 12, 2025
- Insurance-licensed employees · 0 to 1Oct 31, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Oct 31, 2024 to Mar 12, 2025
- Discretionary RAUM · $85.9M to $90.8MOct 31, 2024 to Mar 12, 2025
- HNW RAUM · unset to 4580500.0Oct 31, 2024 to Mar 12, 2025
- Individual RAUM · 7667402.0 to unsetOct 31, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $53.8M to $66.1MOct 31, 2024 to Mar 12, 2025
- Pension RAUM · $19.1M to $28.7MOct 31, 2024 to Mar 12, 2025
- RAUM · $140M to $157MOct 31, 2024 to Mar 12, 2025
- Financial planning clients · unset to 0Mar 11, 2024 to Apr 10, 2024
Signals
1 dated events
- L••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 2024 · 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
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (732) 242-4045reportedpublic record, Form ADV, Mar 12, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $84.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026