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
P••••••••• W••••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Aug 6, 2025 · 4 filings
SEC status approved since Aug 7, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$108M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$114M as of Apr 1, 2026
Aug 6, 2025$101M then
HNW client RAUM$72.0M as of Apr 1, 2026
Aug 6, 2025$55.3M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Aug 6, 20253 then
Employees (5.A)3 as of Apr 1, 2026
Aug 6, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $37.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $357,547derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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$72.0M63%
- Individuals$36.3M32%
- Pension and profit-sharing plans$2.8M2.5%
- Charitable organizations$2.4M2.1%
- Corporations and businesses$200,0000.2%
- Individual clients
- 146reported
- HNW clients
- 35reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 318reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• E••••• D••••Chartered Financial Consultant | Hackettstown, Nj | Jun 12, 2019 | 41 y | 3 |
| B•••• W•••••• D•••• | Hackettstown, Nj | Nov 8, 2021 | 12 y | 0 |
| M•••••• A••••• D•••• | Hackettstown, Nj | May 14, 2024 | 10 y | 0 |
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
- W•••••• E••••• D•••• from A••••••• P••••••••• A•••••••• I••Jun 12, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• W••••••• E••••• · Chief Compliance Officer/Managing Membercontrolsince 04/2019 · owns 75% or more
- D••••• B••••• W•••••• · Membersince 01/2025 · owns 10% to 25%
- D••••• M••••••• A••••• · Membersince 01/2025 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Hackettstown, Nj | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 313 to 318Sep 9, 2025 to Feb 6, 2026
- HNW clients · 30 to 35Sep 9, 2025 to Feb 6, 2026
- Individual clients · 142 to 146Sep 9, 2025 to Feb 6, 2026
- Financial planning clients · 0 to 1-10Sep 9, 2025 to Feb 6, 2026
- Discretionary RAUM · $99.1M to $112MSep 9, 2025 to Feb 6, 2026
- HNW RAUM · $55.3M to $72.0MSep 9, 2025 to Feb 6, 2026
- Individual RAUM · $40.6M to $36.3MSep 9, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $1.5M to $1.8MSep 9, 2025 to Feb 6, 2026
- Pension RAUM · $2.4M to $2.8MSep 9, 2025 to Feb 6, 2026
- RAUM · $101M to $114MSep 9, 2025 to Feb 6, 2026
- Financial planning clients · 0 to 0Aug 6, 2025 to Sep 9, 2025
Signals
No event on the tape.
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
- 908-914-1572reportedpublic record, Form ADV, Apr 1, 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
- $37.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026