DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A•• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 4, 2020 · 12 filings
SEC status approved since Sep 3, 2020
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$104M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$118M as of Mar 30, 2026
Mar 31, 2021$131M then
HNW client RAUM$96.9M as of Mar 30, 2026
Mar 31, 2021$114M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 31, 20212 then
Employees (5.A)2 as of Mar 30, 2026
Mar 31, 20212 then
Private funds: no history
RAUM -3.5% over the last fiscal year-3.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $58.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$96.9M82%
- Charitable organizations$14.0M12%
- Individuals$7.0M5.9%
- Individual clients
- 22reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 45reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• J• D•••••• | Bushkill, Pa | Sep 3, 2020 | 14 y | 1 |
| E••• J•••• S••••••• | Somerset, Nj | Jan 5, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- R••••• E• F••••••• to J•••• G••• R••••••• • A•••••••Mar 2, 2021 · RIA to a state-registered adviser
Joined, latest
- E••• J•••• S••••••• from R••• A•••• M••••••••• L••Jan 5, 2026 · RIA to RIA
- R••••• E• F••••••• from R••• A•••• M••••••••• L••Sep 16, 2020 · RIA to a newly registered adviser
- F•••••• J• D•••••• from R••• A•••• M••••••••• L••Sep 3, 2020 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R••• A•••• M••••••••• L••Dec 31, 2020 · Maplewood, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• E•••• J•••• · Managing Membercontrolsince 05/2020 · owns 25% to 50%
- D•••••• S••••• E•••••••• · Chief Compliance Officersince 10/2020 · owns less than 5%
Entity owners
- R•••••••• R••• B•••• B••••• • C•••••• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- R•••••••• R••• B•••• B••••• • C••••••insurancey
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $122M to $118MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $103M to $96.9MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $5.4M to $7.0MMar 28, 2025 to Mar 30, 2026
- RAUM · $122M to $118MMar 28, 2025 to Mar 30, 2026
- Assets in custody · 4770008.0 to unsetDec 19, 2024 to Mar 28, 2025
- Custody of client assets · true to falseDec 19, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Dec 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $128M to $122MDec 19, 2024 to Mar 28, 2025
- HNW RAUM · $115M to $103MDec 19, 2024 to Mar 28, 2025
- Individual RAUM · $497,424 to $5.4MDec 19, 2024 to Mar 28, 2025
- RAUM · $128M to $122MDec 19, 2024 to Mar 28, 2025
- HQ state · NY to NJDec 10, 2024 to Dec 19, 2024
- Accounts · 49 to 45Mar 30, 2023 to Mar 29, 2024
- HNW clients · 26 to 22Mar 30, 2023 to Mar 29, 2024
- HQ state · NJ to NYMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $131M to $128MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $112M to $115MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $5.6M to $497,424Mar 30, 2023 to Mar 29, 2024
- RAUM · $131M to $128MMar 30, 2023 to Mar 29, 2024
- Assets in custody · unset to 4770008.0Mar 29, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $147M to $131MMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $127M to $112MMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $6.0M to $5.6MMar 29, 2022 to Mar 30, 2023
- RAUM · $147M to $131MMar 29, 2022 to Mar 30, 2023
- Accounts · 46 to 49Mar 31, 2021 to Mar 29, 2022
- HNW clients · 24 to 26Mar 31, 2021 to Mar 29, 2022
- Individual clients · 21 to 22Mar 31, 2021 to Mar 29, 2022
- Discretionary RAUM · $131M to $147MMar 31, 2021 to Mar 29, 2022
- HNW RAUM · $114M to $127MMar 31, 2021 to Mar 29, 2022
- Individual RAUM · $4.7M to $6.0MMar 31, 2021 to Mar 29, 2022
- RAUM · $131M to $147MMar 31, 2021 to Mar 29, 2022
- Accounts · 69 to 46Jan 21, 2021 to Mar 31, 2021
- Advisory employees · 3 to 2Jan 21, 2021 to Mar 31, 2021
- HNW clients · 18 to 24Jan 21, 2021 to Mar 31, 2021
- Individual clients · 9 to 21Jan 21, 2021 to Mar 31, 2021
- Employees · 3 to 2Jan 21, 2021 to Mar 31, 2021
- Insurance-licensed employees · 3 to 0Jan 21, 2021 to Mar 31, 2021
- State-registered IARs · 3 to 2Jan 21, 2021 to Mar 31, 2021
- Discretionary RAUM · $106M to $131MJan 21, 2021 to Mar 31, 2021
Signals
2 dated events
- Elizabeth Susan Dumont (Chief Compliance Officer) appeared on Schedule A of A•• A•••• M••••••••• L••Nov 6, 2020 · Control person joined · fact
- A•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 4, 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
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 973-714-6437reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 973-714-6437reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $58.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026