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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Former SEC-registered adviser
T•••••••• A•••• M••••••••• L••
Latest filing Nov 9, 2020
First filing on the tape Mar 21, 2019 · 7 filings
RAUM
$727M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$632M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$727M as of Nov 9, 2020
Aug 20, 2019$686M then
HNW client RAUM$569M as of Nov 9, 2020
Aug 20, 2019$532M then
State-registered IARs (5.B.3)0 as of Nov 9, 2020
Mar 21, 20190 then
Employees (5.A)21 as of Nov 9, 2020
Mar 21, 201920 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 9, 2020; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $156M, 139 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$569M78%
- State and municipal entities$69.8M9.6%
- Individuals$63.6M8.8%
- Pension and profit-sharing plans$11.7M1.6%
- Charitable organizations$8.0M1.1%
- Corporations and businesses$4.8M0.7%
- Individual clients
- 174reported
- HNW clients
- 221reported
- Pension plan clients
- 13reported
- Charitable clients
- 6reported
- Accounts
- 420reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $10.9M managedreported
- Custody of client assets
- $156M for 139 clientsreported
- Compensation
- % of AUMreported
- 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
- B••••••• C••• H••••••••• to C••• S••••• P••••••• A•••• M•••••••••Nov 13, 2020 · RIA to RIA
- M•••••• C••••• P•••••• to C••• S••••• P•••••••Nov 13, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• A•••••• C•••••• to C••• S••••• P•••••••Nov 13, 2020 · RIA to affiliated broker-dealer or bank
- D•••• L••• S•••• to C••• S••••• P••••••• A•••• M•••••••••Nov 13, 2020 · RIA to RIA
- C•••• J••• W•••••••• to C••• S••••• P•••••••Nov 13, 2020 · RIA to affiliated broker-dealer or bank
- A••• J••• R••• to C••• S••••• P•••••••Sep 28, 2020 · RIA to affiliated broker-dealer or bank
- F•••• M•••••• F••• to C••• S••••• P•••••••Sep 11, 2020 · RIA to affiliated broker-dealer or bank
- R••••• J••••• V•••••• to I••••••••• P••••••• A•••• M•••••••••Jul 10, 2020 · RIA to RIA
Joined, latest
- R••••• J••••• V•••••• from M•• W••••• M•••••••••Jul 23, 2019 · Other
- F•••• M•••••• F••• from T•••••••• C•••••• M••••••••• L••May 28, 2019 · RIA to a newly registered adviser
- C•••• J••• W•••••••• from T•••••••• C•••••• M••••••••• L••May 28, 2019 · RIA to a newly registered adviser
- B••••••• C••• H••••••••• from T•••••••• C•••••• M••••••••• L••May 20, 2019 · RIA to a newly registered adviser
- M•••••• C••••• P•••••• from C••••• W••••• A••••••• L••May 8, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••• S••••• P•••••••Nov 13, 2020 · Summit, Nj · Firm absorbed
- 2 left for C••• S••••• P••••••• A•••• M•••••••••Nov 13, 2020 · Summit, Nj
- 3 joined from T•••••••• C•••••• M••••••••• L••Dec 10, 2019 · Summit, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• W•••••• D••••• · Presidentcontrolsince 12/2018 · owns less than 5%
- M•••••••• K••••• L•• · Chief Financial Officercontrolsince 12/2018 · owns less than 5%
- T•••••••• J••••••• L•••• · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- T•••••••• T•••••• H••••••• · Chief Legal Officercontrolsince 12/2018 · owns less than 5%
- B••••• A••••• H••• · Board Managercontrolsince 08/2017 · owns F of C••• S••••• P••••••• F•••••••• L••
- C•••••• J•• M•• C• · Board Managercontrolsince 08/2017 · owns F of C••• S••••• P••••••• F•••••••• L••
- H••••••••• B•••••••• C••• · Board Managercontrolsince 05/2019 · owns F of C••• S••••• P••••••• F•••••••• L••
- R•••••• W•••• G• · Board Managercontrolsince 01/2019 · owns F of C••• S••••• P••••••• F•••••••• L••
- S••••••••• J•••••• R•••••• · Board Managercontrolsince 08/2017 · owns F of C••• S••••• P••••••• F•••••••• L••
- S••••••• D••••••• G•• · Board Managercontrolsince 08/2017 · owns F of C••• S••••• P••••••• F•••••••• L••
Entity owners
- C••• S••••• P••••••• F•••••••• L•• · Memberdirect · owns 75% or more
- D••••• F•••••••• L•• · Board Managerindirect · owns F of C••• S••••• P••••••• F•••••••• L••
Related persons
Schedule D 7.A
- C••• S••••• P••••••• A•••• M•••••••••investment advisernRAUM $1.4B
- C••• S••••• P•••••••investment advisernRAUM $10B
- C••• S••••• P••••••• L••broker-dealerreal estaten
- L•••• I•••••••• S••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Summit, NJ4 employees
What changed
consecutive filings, newest first
- Accounts · 368 to 420Aug 20, 2019 to Mar 26, 2020
- Advisory employees · 13 to 12Aug 20, 2019 to Mar 26, 2020
- Corporate clients · unset to 5.0Aug 20, 2019 to Mar 26, 2020
- HNW clients · 185 to 221Aug 20, 2019 to Mar 26, 2020
- Individual clients · 161 to 174Aug 20, 2019 to Mar 26, 2020
- Assets in custody · $125M to $156MAug 20, 2019 to Mar 26, 2020
- Employees · 20 to 21Aug 20, 2019 to Mar 26, 2020
- Financial planning clients · 51-100 to 101-250Aug 20, 2019 to Mar 26, 2020
- Discretionary RAUM · $667M to $706MAug 20, 2019 to Mar 26, 2020
- HNW RAUM · $532M to $569MAug 20, 2019 to Mar 26, 2020
- Individual RAUM · $59.5M to $63.6MAug 20, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $18.5M to $20.4MAug 20, 2019 to Mar 26, 2020
- Pension RAUM · $13.5M to $11.7MAug 20, 2019 to Mar 26, 2020
- RAUM · $686M to $727MAug 20, 2019 to Mar 26, 2020
- Succession · true to falseAug 20, 2019 to Mar 26, 2020
- Wrap assets (manager) · $10.1M to $10.9MAug 20, 2019 to Mar 26, 2020
- Accounts · unset to 368.0May 8, 2019 to Aug 20, 2019
- Charity clients · unset to 6.0May 8, 2019 to Aug 20, 2019
- HNW clients · unset to 185.0May 8, 2019 to Aug 20, 2019
- Individual clients · unset to 161.0May 8, 2019 to Aug 20, 2019
- Pension plan clients · unset to 13.0May 8, 2019 to Aug 20, 2019
- Pooled vehicle clients · unset to 0.0May 8, 2019 to Aug 20, 2019
- Assets in custody · unset to 125028144.0May 8, 2019 to Aug 20, 2019
- Custody of client assets · false to trueMay 8, 2019 to Aug 20, 2019
- Financial planning clients · 0 to 51-100May 8, 2019 to Aug 20, 2019
- Discretionary RAUM · unset to 667060890.0May 8, 2019 to Aug 20, 2019
- HNW RAUM · unset to 532133068.0May 8, 2019 to Aug 20, 2019
- Individual RAUM · unset to 59531288.0May 8, 2019 to Aug 20, 2019
- Non-discretionary RAUM · unset to 18507332.0May 8, 2019 to Aug 20, 2019
- Pension RAUM · unset to 13507222.0May 8, 2019 to Aug 20, 2019
- Pooled vehicle RAUM · unset to 0.0May 8, 2019 to Aug 20, 2019
- RAUM · unset to 685568222.0May 8, 2019 to Aug 20, 2019
- Succession · false to trueMay 8, 2019 to Aug 20, 2019
- Wrap assets (manager) · unset to 10086405.0May 8, 2019 to Aug 20, 2019
- Wrap assets (sponsor) · unset to 0.0May 8, 2019 to Aug 20, 2019
- Financial planning clients · unset to 0Mar 21, 2019 to Mar 21, 2019
Signals
5 dated events
- Dion Kevin Spence (Chief Compliance Officer) no longer on Schedule A of T•••••••• A•••• M••••••••• L•• (listed 2020-06-30, absent 2020-11-09)Nov 9, 2020 · Control person left · inference
- Lacey Jessica Thompson (Chief Compliance Officer) appeared on Schedule A of T•••••••• A•••• M••••••••• L••Nov 9, 2020 · Control person joined · fact
- T•••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 20, 2019 · Succession (Item 4) · fact
- Cary Benjamin Halliburton (Board Manager) appeared on Schedule A of T•••••••• A•••• M••••••••• L••Aug 20, 2019 · Control person joined · fact
- T•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 21, 2019 · 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