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
S••••••••• W••••• P•••••••• L••
Latest filing Jul 1, 2026
First filing on the tape Jun 8, 2020 · 21 filings
SEC status approved since Jul 10, 2020
RAUM
$542M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$499M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$542M as of Jul 1, 2026
Feb 19, 2021$346M then
HNW client RAUM$428M as of Jul 1, 2026
Feb 19, 2021$267M then
State-registered IARs (5.B.3)4 as of Jul 1, 2026
Feb 19, 20213 then
Employees (5.A)6 as of Jul 1, 2026
Feb 19, 20214 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $415,591derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$428M79%
- Individuals$71.3M13%
- Corporations and businesses$42.5M7.8%
- Individual clients
- 205reported
- HNW clients
- 171reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,303reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L••••••• D••••Chartered Financial Analyst | Red Bank, Nj | Jul 23, 2020 | 19 y | 1 |
| M•••••• C••••••••• L•••••••Certified Financial Planner | Red Bank, Nj | Jul 23, 2020 | 19 y | 3 |
| L••••••• N• D•••• | Red Bank, Nj | Jul 23, 2020 | 42 y | 3 |
| J••••••• C••• | Red Bank, Nj | Aug 14, 2026 | 11 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- N••••• A••••••• to E••• W••••• M••••••••• L••Jun 1, 2026 · RIA to a state-registered adviser
- J••• J••••• L•••• to C•••••• S••••• • C••• I•••Nov 8, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••••• C••• from G•••••• S•••• W••••• S•••••••• L•••Aug 14, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••• J••••• L•••• from B•••••••• I••••••••• M••••••••• L••Jan 17, 2024 · Other
- M•••••• L••••••• D•••• from M••••• S••••••Jul 23, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L••••••• N• D•••• from M••••• S••••••Jul 23, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• C••••••••• L••••••• from M••••• S••••••Jul 23, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M••••• S••••••Jul 23, 2020 · Red Bank, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• L•••••••• N• · Founding Partner, Managing Member And Chairmancontrolsince 07/2022 · owns 50% to 75%
- D••••• M••••••• L••••••• · Founding Partner, Managing Member, Ceo And Chief Investment Officercontrolsince 07/2022 · owns 25% to 50%
- I••••••••• S•••••• A•• · Chief Compliance Officer, Director Of Relationship Managementcontrolsince 07/2020 · owns less than 5%
- L•••••••• M••••••• C••••••••• · Founding Partner, Managing Member And Chief Planning Officercontrolsince 07/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Red Bank, Nj · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,262 to 1,303Sep 12, 2025 to Mar 26, 2026
- Corporate clients · 21 to 20Sep 12, 2025 to Mar 26, 2026
- HNW clients · 146 to 171Sep 12, 2025 to Mar 26, 2026
- Employees · 5 to 6Sep 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $445M to $542MSep 12, 2025 to Mar 26, 2026
- HNW RAUM · $341M to $428MSep 12, 2025 to Mar 26, 2026
- Individual RAUM · $70.1M to $71.3MSep 12, 2025 to Mar 26, 2026
- RAUM · $445M to $542MSep 12, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Apr 3, 2025 to Sep 12, 2025
- Accounts · 1,106 to 1,262Jan 7, 2025 to Apr 3, 2025
- HNW clients · 126 to 146Jan 7, 2025 to Apr 3, 2025
- Individual clients · 199 to 205Jan 7, 2025 to Apr 3, 2025
- Discretionary RAUM · $401M to $445MJan 7, 2025 to Apr 3, 2025
- HNW RAUM · $306M to $341MJan 7, 2025 to Apr 3, 2025
- Individual RAUM · $63.6M to $70.1MJan 7, 2025 to Apr 3, 2025
- RAUM · $401M to $445MJan 7, 2025 to Apr 3, 2025
- Accounts · 1,095 to 1,106Oct 19, 2023 to Mar 6, 2024
- Advisory employees · 3 to 4Oct 19, 2023 to Mar 6, 2024
- BD registered reps · 5 to 0Oct 19, 2023 to Mar 6, 2024
- Corporate clients · 19 to 21Oct 19, 2023 to Mar 6, 2024
- HNW clients · 114 to 126Oct 19, 2023 to Mar 6, 2024
- Individual clients · 191 to 199Oct 19, 2023 to Mar 6, 2024
- State-registered IARs · 3 to 4Oct 19, 2023 to Mar 6, 2024
- Discretionary RAUM · $342M to $401MOct 19, 2023 to Mar 6, 2024
- HNW RAUM · $275M to $306MOct 19, 2023 to Mar 6, 2024
- Individual RAUM · $58.5M to $63.6MOct 19, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $19.4M to $0Oct 19, 2023 to Mar 6, 2024
- RAUM · $361M to $401MOct 19, 2023 to Mar 6, 2024
- Accounts · 963 to 1,095Sep 29, 2022 to Feb 28, 2023
- BD registered reps · 4 to 5Sep 29, 2022 to Feb 28, 2023
- Corporate clients · 17 to 19Sep 29, 2022 to Feb 28, 2023
- HNW clients · 111 to 114Sep 29, 2022 to Feb 28, 2023
- Individual clients · 176 to 191Sep 29, 2022 to Feb 28, 2023
- Assets in custody · 359755386.0 to unsetSep 29, 2022 to Feb 28, 2023
- Custody of client assets · true to falseSep 29, 2022 to Feb 28, 2023
- Employees · 4 to 5Sep 29, 2022 to Feb 28, 2023
- Discretionary RAUM · $360M to $342MSep 29, 2022 to Feb 28, 2023
- HNW RAUM · $300M to $275MSep 29, 2022 to Feb 28, 2023
- Individual RAUM · $57.3M to $58.5MSep 29, 2022 to Feb 28, 2023
- Non-discretionary RAUM · $21.0M to $19.4MSep 29, 2022 to Feb 28, 2023
Signals
8 dated events
- N••••• A••••••• left S••••••••• W••••• P•••••••• L•• for E••• W••••• M••••••••• L•• (registered 2026-08-12)Jun 1, 2026 · Advisor changed firm · fact
- J••• J••••• L•••• left S••••••••• W••••• P•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-02-24)Nov 8, 2024 · Advisor changed firm · fact
- W•••••• A•••••••• H••••• (Chief Compliance Officer) no longer on Schedule A of S••••••••• W••••• P•••••••• L•• (listed 2020-07-07, absent 2020-07-17)Jul 17, 2020 · Control person left · inference
- Lawrence Durso (Managing Member, Founder & Ceo) appeared on Schedule A of S••••••••• W••••• P•••••••• L••Jul 17, 2020 · Control person joined · fact
- C Michael Lombardi (Founding Partner, Managing Member And Chief Planning Officer) appeared on Schedule A of S••••••••• W••••• P•••••••• L••Jul 17, 2020 · Control person joined · fact
- Lawrence Michael Durso (Founding Partner, Managing Member And Chief Investment Officer) appeared on Schedule A of S••••••••• W••••• P•••••••• L••Jul 17, 2020 · Control person joined · fact
- Sheryl Iannuzzelli (Chief Compliance Officer) appeared on Schedule A of S••••••••• W••••• P•••••••• L••Jul 17, 2020 · Control person joined · fact
- P••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 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 email
- team@shorehavenwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 732-447-9301reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/shorehaven-wealth-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ShoreHavenWealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-447-9301reportedpublic record, Form ADV, Jul 1, 2026
- Team page
- ShoreHavenWealth.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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026