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
N•••••••• A••••••• G••••• L••
Latest filing Mar 6, 2026
First filing on the tape Feb 5, 2020 · 28 filings
SEC status approved since Mar 6, 2020
RAUM
$377M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$363M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$377M as of Mar 6, 2026
Mar 1, 2021$170M then
HNW client RAUM$278M as of Mar 6, 2026
Mar 1, 2021$112M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Mar 1, 20214 then
Employees (5.A)9 as of Mar 6, 2026
Mar 1, 20217 then
Private funds: no history
RAUM +13% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $435,379derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $50.3M, 56 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M74%
- Individuals$85.3M23%
- Charitable organizations$7.1M1.9%
- Pension and profit-sharing plans$6.6M1.8%
- Individual clients
- 248reported
- HNW clients
- 113reported
- Pension plan clients
- 6reported
- Charitable clients
- 5reported
- Accounts
- 866reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.3M for 56 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| M•••••• A••• R•••• | New Hope, Pa | Mar 9, 2020 | 18 y | 5 |
| R••••• F•••••• K•••••Certified Financial Planner | Northfield, Nj | Jun 14, 2023 | 32 y | 3 |
| J•••••• A••• S•••••••• | Mount Pleasant, Sc | Aug 2, 2024 | 24 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
- R••••• F•••••• K••••• from O•••• A••••••• S•••••••• L••Jun 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A••• R•••• from O•••• A••••••• S•••••••• L••Mar 9, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O•••• A••••••• S•••••••• L••Jul 1, 2020 · Atlanta, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• R•••••• F•••••• · Managing Director - Financial Planning Specialist - Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- R••••• M••••••• A••• · Managing Director - Chief Investment Officercontrolsince 02/2020 · owns less than 5%
- K•••••• R•••••• F•••••• · Managing Director - Financial Planning Specialist - Chief Compliance Officercontrolsince 02/2020 · owns 25% to 50% of M••••••••• L••
- R••••• M••••••• A••• · Managing Director - Chief Investment Officercontrolsince 02/2020 · owns 25% to 50% of M••••••••• L••
Entity owners
- M••••••••• L•• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Northfield, Nj · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 803 to 866Dec 11, 2025 to Feb 26, 2026
- Charity clients · unset to 5.0Dec 11, 2025 to Feb 26, 2026
- HNW clients · 101 to 113Dec 11, 2025 to Feb 26, 2026
- Individual clients · 223 to 248Dec 11, 2025 to Feb 26, 2026
- Pension plan clients · unset to 6.0Dec 11, 2025 to Feb 26, 2026
- Assets in custody · $4.7M to $50.3MDec 11, 2025 to Feb 26, 2026
- Employees · 7 to 9Dec 11, 2025 to Feb 26, 2026
- Financial planning clients · 1-10 to 26-50Dec 11, 2025 to Feb 26, 2026
- Discretionary RAUM · $334M to $377MDec 11, 2025 to Feb 26, 2026
- HNW RAUM · $257M to $278MDec 11, 2025 to Feb 26, 2026
- Individual RAUM · $73.3M to $85.3MDec 11, 2025 to Feb 26, 2026
- Pension RAUM · $2.2M to $6.6MDec 11, 2025 to Feb 26, 2026
- RAUM · $334M to $377MDec 11, 2025 to Feb 26, 2026
- Accounts · 703 to 803Nov 6, 2024 to Feb 19, 2025
- Advisory employees · 2 to 3Nov 6, 2024 to Feb 19, 2025
- HNW clients · 81 to 101Nov 6, 2024 to Feb 19, 2025
- Individual clients · 209 to 223Nov 6, 2024 to Feb 19, 2025
- Pension plan clients · 5.0 to unsetNov 6, 2024 to Feb 19, 2025
- Assets in custody · $32.6M to $4.7MNov 6, 2024 to Feb 19, 2025
- Employees · 4 to 7Nov 6, 2024 to Feb 19, 2025
- Financial planning clients · 1-10 to 1-10Nov 6, 2024 to Feb 19, 2025
- State-registered IARs · 2 to 3Nov 6, 2024 to Feb 19, 2025
- Other offices · 2 to 3Nov 6, 2024 to Feb 19, 2025
- Discretionary RAUM · $253M to $334MNov 6, 2024 to Feb 19, 2025
- HNW RAUM · $181M to $257MNov 6, 2024 to Feb 19, 2025
- Individual RAUM · $68.2M to $73.3MNov 6, 2024 to Feb 19, 2025
- Pension RAUM · $3.5M to $2.2MNov 6, 2024 to Feb 19, 2025
- RAUM · $253M to $334MNov 6, 2024 to Feb 19, 2025
- Accounts · 701 to 703Nov 3, 2023 to Jan 31, 2024
- Advisory employees · 4 to 2Nov 3, 2023 to Jan 31, 2024
- HNW clients · 65 to 81Nov 3, 2023 to Jan 31, 2024
- Individual clients · 203 to 209Nov 3, 2023 to Jan 31, 2024
- Assets in custody · $45.0M to $32.6MNov 3, 2023 to Jan 31, 2024
- Employees · 6 to 4Nov 3, 2023 to Jan 31, 2024
- Financial planning clients · 11-25 to 1-10Nov 3, 2023 to Jan 31, 2024
- State-registered IARs · 4 to 2Nov 3, 2023 to Jan 31, 2024
- Discretionary RAUM · $213M to $253MNov 3, 2023 to Jan 31, 2024
- HNW RAUM · $146M to $181MNov 3, 2023 to Jan 31, 2024
- Individual RAUM · $50.7M to $68.2MNov 3, 2023 to Jan 31, 2024
- Pension RAUM · $2.7M to $3.5MNov 3, 2023 to Jan 31, 2024
Signals
2 dated events
- Christopher John Karle (Managing Director - Chief Market Strategist And Chief Compliance Officer) no longer on Schedule A of N•••••••• A••••••• G••••• L•• (listed 2022-03-31, absent 2023-02-01)Feb 1, 2023 · Control person left · inference
- N•••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 5, 2020 · 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
- Business phone
- 833-226-0400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- thenorthstaradvisorygroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-226-0400reportedpublic record, Form ADV, Mar 6, 2026
- Team page
- thenorthstaradvisorygroup.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026