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
C••••• G•••• L••
Latest filing Sep 10, 2026
First filing on the tape Jul 20, 2020 · 22 filings
SEC status approved since Aug 19, 2020
RAUM
$158M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
93%
$146M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$158M as of May 12, 2026
Mar 29, 2021$73.7M then
HNW client RAUM$78.8M as of May 12, 2026
Mar 29, 2021$50.2M then
State-registered IARs (5.B.3)2 as of May 12, 2026
Mar 29, 20213 then
Employees (5.A)2 as of May 12, 2026
Mar 29, 20213 then
Private funds: no history
RAUM +25% over the last fiscal year+23% a year over threeIARs 2 to 2offices 1 to 3
Practice profile
derived from the filing of Sep 10, 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
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $281,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$78.8M50%
- Individuals$67.3M43%
- Corporations and businesses$8.0M5.1%
- Pension and profit-sharing plans$3.8M2.4%
- Individual clients
- 171reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 561reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| B•••• J•••••• K•••••Certified Financial Planner | New York, Ny | May 28, 2021 | 18 y | 5 |
| M•••••• F•••••• R••••••• | New York, Ny | Jun 18, 2021 | 18 y | 0 |
| G•••••• P••• E•••• | New York, Ny | May 13, 2026 | 11 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 headcount1 left over 36 months
Left, latest
- C•••••• J••• R••• to G•••••• R••• W••••• A••••••• L••Mar 22, 2024 · RIA to a state-registered adviser
- K•••••• C••••• G••••• to K•••• G••••• F•••••••• P•••••••Feb 9, 2022 · RIA to a state-registered adviser
Joined, latest
- B•••• J•••••• K••••• from C••••••••• F•••••••• N••••••May 28, 2021 · Affiliated broker-dealer or bank to independent RIA
- C•••••• J••• R••• from C••••••••• F•••••••• N••••••Oct 23, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• B••••• J•••••• · Principalcontrolsince 07/2020 · owns 75% or more
- L•••••• L•••• M•••• · Ccosince 10/2022 · owns less than 5%
Related persons
Schedule D 7.A
- K••••• C••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Freehold, NJ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 66.0% to 50.0% between the annual amendments of 2025-03-17 and 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250May 12, 2026 to Sep 10, 2026
- Succession · false to unsetMay 12, 2026 to Sep 10, 2026
- Other offices · 2 to 3Mar 12, 2026 to May 12, 2026
- Other offices · 1 to 2Jan 30, 2026 to Mar 12, 2026
- Accounts · 479 to 561Mar 17, 2025 to Jan 30, 2026
- HNW clients · 40 to 11Mar 17, 2025 to Jan 30, 2026
- Individual clients · 161 to 171Mar 17, 2025 to Jan 30, 2026
- Discretionary RAUM · $123M to $154MMar 17, 2025 to Jan 30, 2026
- HNW RAUM · $82.8M to $78.8MMar 17, 2025 to Jan 30, 2026
- Individual RAUM · $29.8M to $67.3MMar 17, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $2.8M to $3.8MMar 17, 2025 to Jan 30, 2026
- Pension RAUM · $2.8M to $3.8MMar 17, 2025 to Jan 30, 2026
- RAUM · $126M to $158MMar 17, 2025 to Jan 30, 2026
- Accounts · 609 to 479Oct 23, 2024 to Mar 17, 2025
- HNW clients · 41 to 40Oct 23, 2024 to Mar 17, 2025
- Individual clients · 214 to 161Oct 23, 2024 to Mar 17, 2025
- Employees · 3 to 2Oct 23, 2024 to Mar 17, 2025
- Financial planning clients · 51-100 to 101-250Oct 23, 2024 to Mar 17, 2025
- Discretionary RAUM · $106M to $123MOct 23, 2024 to Mar 17, 2025
- HNW RAUM · $74.8M to $82.8MOct 23, 2024 to Mar 17, 2025
- Individual RAUM · $31.1M to $29.8MOct 23, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $2.0M to $2.8MOct 23, 2024 to Mar 17, 2025
- Pension RAUM · $2.0M to $2.8MOct 23, 2024 to Mar 17, 2025
- RAUM · $108M to $126MOct 23, 2024 to Mar 17, 2025
- Accounts · 596 to 609Dec 20, 2023 to Mar 25, 2024
- Advisory employees · 3 to 2Dec 20, 2023 to Mar 25, 2024
- HNW clients · 35 to 41Dec 20, 2023 to Mar 25, 2024
- Individual clients · 209 to 214Dec 20, 2023 to Mar 25, 2024
- Pension plan clients · 6.0 to unsetDec 20, 2023 to Mar 25, 2024
- State-registered IARs · 3 to 2Dec 20, 2023 to Mar 25, 2024
- Other offices · 2 to 1Dec 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $84.2M to $106MDec 20, 2023 to Mar 25, 2024
- HNW RAUM · $46.4M to $74.8MDec 20, 2023 to Mar 25, 2024
- Individual RAUM · $37.7M to $31.1MDec 20, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $1.2M to $2.0MDec 20, 2023 to Mar 25, 2024
- Pension RAUM · $1.2M to $2.0MDec 20, 2023 to Mar 25, 2024
- RAUM · $85.4M to $108MDec 20, 2023 to Mar 25, 2024
- Accounts · 540 to 596Mar 2, 2022 to Mar 24, 2023
- HNW clients · 41 to 35Mar 2, 2022 to Mar 24, 2023
- Individual clients · 192 to 209Mar 2, 2022 to Mar 24, 2023
Signals
3 dated events
- C•••••• J••• R••• left C••••• G•••• L•• for G•••••• R••• W••••• A••••••• L•• (registered 2024-02-23)Mar 22, 2024 · Advisor changed firm · fact
- K•••••• C••••• G••••• left C••••• G•••• L•• for K•••• G••••• F•••••••• P••••••• (registered 2022-02-03)Feb 9, 2022 · Advisor changed firm · fact
- C••••• G•••• L•• filed its initial SEC registration (Form ADV)Jul 20, 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
- info@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jschoenfeld@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- llafond@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- mtorralba@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 732-325-0456reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/clarusgroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- clarusfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (732) 325-0456reportedpublic record, Form ADV, Sep 10, 2026
- Contact form
- clarusfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- clarusfinancial.com/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026