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
A•••• F•••••••• F••••••••• L••
Legal name M••••• A•• A••••••••• L•••••
Latest filing Mar 12, 2024
First filing on the tape Jan 16, 2020 · 20 filings
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$231M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$231M as of Mar 12, 2024
Feb 2, 2021$134M then
HNW client RAUM$205M as of Mar 12, 2024
Feb 2, 2021$67.9M then
State-registered IARs (5.B.3)5 as of Mar 12, 2024
Feb 2, 20214 then
Employees (5.A)6 as of Mar 12, 2024
Feb 2, 20215 then
Private funds: no history
RAUM +30% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 12, 2024; every figure names its basis
- RAUM per advisor
- $46.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $432,220derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M89%
- Individuals$26.5M11%
- Individual clients
- 71reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 535reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- L•••• M••••• to W••••• E••••••••• A••••••• S•••••••• L••Jun 18, 2024 · RIA to RIA
- G•••••• G••••••• to W••••• E••••••••• A••••••• S•••••••• L••Jun 18, 2024 · RIA to RIA
- A••••• A••••• H••• to W••••• E••••••••• A••••••• S•••••••• L••Jun 18, 2024 · RIA to RIA
- S•••••• C•••••• C•••••• to W••••• E••••••••• A••••••• S•••••••• L••Jun 18, 2024 · RIA to RIA
- E••• K• S•••• to B••••• T••••Jul 11, 2022 · RIA to RIA
- G••• H•••• H•••• to H••••••• F•••••••• A•••••••• L••Aug 4, 2021 · RIA to RIA
Joined, latest
- G•••••• G••••••• from S•••••• W••••• P•••••••• L••Oct 4, 2022 · Affiliated broker-dealer or bank to independent RIA
- G••• H•••• H•••• from S•••••••• W••••• M••••••••• L••Sep 29, 2020 · RIA to a newly registered adviser
- S•••••• C•••••• C•••••• from S•••••••• W••••• M••••••••• L••Sep 21, 2020 · RIA to a newly registered adviser
- A••••• A••••• H••• from S•••••••• W••••• M••••••••• L••Sep 2, 2020 · RIA to a newly registered adviser
- L•••• M••••• from S•••••••• W••••• M••••••••• L••Jul 28, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Jun 18, 2024 · Sarasota, Fl · Firm absorbed
- 2 joined from S•••••••• W••••• M••••••••• L••Aug 17, 2020 · Cary, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• S••••••• C•••••• · Cio And Chief Compliance Officercontrolsince 11/2021 · owns 25% to 50%
- M•••••• L••••• H•••••• · Ceocontrolsince 01/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Oakland, Nj | 0 | 0 | 0 | ||
| Sarasota, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oakland, NJ2 employees
What changed
consecutive filings, newest first
- Accounts · 583 to 535Apr 10, 2023 to Mar 12, 2024
- HNW clients · 68 to 102Apr 10, 2023 to Mar 12, 2024
- Individual clients · 80 to 71Apr 10, 2023 to Mar 12, 2024
- Employees · 7 to 6Apr 10, 2023 to Mar 12, 2024
- Financial planning clients · 26-50 to 51-100Apr 10, 2023 to Mar 12, 2024
- Discretionary RAUM · $178M to $231MApr 10, 2023 to Mar 12, 2024
- HNW RAUM · $149M to $205MApr 10, 2023 to Mar 12, 2024
- Individual RAUM · $29.1M to $26.5MApr 10, 2023 to Mar 12, 2024
- RAUM · $178M to $231MApr 10, 2023 to Mar 12, 2024
- Accounts · 388 to 583Feb 11, 2022 to Feb 21, 2023
- HNW clients · 47 to 68Feb 11, 2022 to Feb 21, 2023
- Individual clients · 79 to 80Feb 11, 2022 to Feb 21, 2023
- Employees · 5 to 7Feb 11, 2022 to Feb 21, 2023
- Insurance-licensed employees · 4 to 0Feb 11, 2022 to Feb 21, 2023
- State-registered IARs · 4 to 5Feb 11, 2022 to Feb 21, 2023
- Discretionary RAUM · $152M to $178MFeb 11, 2022 to Feb 21, 2023
- HNW RAUM · $116M to $149MFeb 11, 2022 to Feb 21, 2023
- Individual RAUM · $36.5M to $29.1MFeb 11, 2022 to Feb 21, 2023
- RAUM · $152M to $178MFeb 11, 2022 to Feb 21, 2023
- Accounts · 336 to 388Aug 6, 2021 to Jan 12, 2022
- HNW clients · 44 to 47Aug 6, 2021 to Jan 12, 2022
- Individual clients · 63 to 79Aug 6, 2021 to Jan 12, 2022
- Financial planning clients · 11-25 to 26-50Aug 6, 2021 to Jan 12, 2022
- Discretionary RAUM · $134M to $152MAug 6, 2021 to Jan 12, 2022
- HNW RAUM · $67.9M to $116MAug 6, 2021 to Jan 12, 2022
- Individual RAUM · $66.2M to $36.5MAug 6, 2021 to Jan 12, 2022
- RAUM · $134M to $152MAug 6, 2021 to Jan 12, 2022
- Accounts · 103 to 336Dec 2, 2020 to Feb 2, 2021
- Advisory employees · 4 to 5Dec 2, 2020 to Feb 2, 2021
- HNW clients · 41 to 44Dec 2, 2020 to Feb 2, 2021
- Employees · 4 to 5Dec 2, 2020 to Feb 2, 2021
- Discretionary RAUM · $120M to $134MDec 2, 2020 to Feb 2, 2021
- HNW RAUM · $56.3M to $67.9MDec 2, 2020 to Feb 2, 2021
- Individual RAUM · $63.3M to $66.2MDec 2, 2020 to Feb 2, 2021
- RAUM · $120M to $134MDec 2, 2020 to Feb 2, 2021
- Accounts · 0 to 103Sep 18, 2020 to Dec 2, 2020
- Advisory employees · 3 to 4Sep 18, 2020 to Dec 2, 2020
- HNW clients · 0 to 41Sep 18, 2020 to Dec 2, 2020
- Individual clients · 0 to 63Sep 18, 2020 to Dec 2, 2020
- Employees · 3 to 4Sep 18, 2020 to Dec 2, 2020
Signals
8 dated events
- A••••• A••••• H••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-21)Jun 18, 2024 · Advisor changed firm · fact
- L•••• M••••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-21)Jun 18, 2024 · Advisor changed firm · fact
- G•••••• G••••••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-20)Jun 18, 2024 · Advisor changed firm · fact
- A•••• F•••••••• F••••••••• L••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Sarasota, FL): 3 of 4 registered, on the same dayJun 18, 2024 · Firm absorbed (people side) · derived
- S•••••• C•••••• C•••••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-17)Jun 18, 2024 · Advisor changed firm · fact
- E••• K• S•••• left A•••• F•••••••• F••••••••• L•• for B••••• T•••• (registered 2023-07-12)Jul 11, 2022 · Advisor changed firm · fact
- Charles Stephen Craffen (Cio And Chief Compliance Officer) appeared on Schedule A of A•••• F•••••••• F••••••••• L••Jan 12, 2022 · Control person joined · fact
- M••••• A•• A••••••••• L••••• filed its initial SEC registration (Form ADV)Jan 16, 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.
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