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

M•••• T••••••• W••••• M••••••••• I•••

Former SEC-registered adviserMarlton, New JerseyCRD 311097SEC 801-119843websiteIAPD
Latest filing Apr 21, 2025
First filing on the tape Oct 21, 2020 · 19 filings
SEC status approved since Nov 20, 2020
RAUM
$327M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$291M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$327M as of Apr 21, 2025
Mar 18, 2021$324M then
HNW client RAUM$252M as of Apr 21, 2025
Mar 18, 2021$162M then
State-registered IARs (5.B.3)3 as of Apr 21, 2025
Mar 18, 20213 then
Employees (5.A)5 as of Apr 21, 2025
Mar 18, 20215 then
Private funds: no history
RAUM +31% over the last fiscal year-3.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 21, 2025; every figure names its basis
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
81derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$513,439derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+10%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$252M77%
  • Individuals$39.3M12%
  • Pension and profit-sharing plans$26.7M8.2%
  • Corporations and businesses$9.0M2.8%
Individual clients
147reported
HNW clients
97reported
Pension plan clients
10reported
Charitable clients
n/areported
Accounts
636reported
Financial planning clients
1-10reported
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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• C••••••••• J••••• · Managing Partnercontrol
    since 10/2020 · owns 50% to 75%
  • T•••••••• J•••• M••••• · Managing Partner And Chief Compliance Officercontrol
    since 10/2020 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Marlton, Nj · principal003
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • BD registered reps · 1 to 0
    Feb 20, 2025 to Apr 21, 2025
  • Financial planning clients · 1-10 to 1-10
    Feb 20, 2025 to Apr 21, 2025
  • Accounts · 621 to 636
    Jan 24, 2024 to Feb 20, 2025
  • HNW clients · 92 to 97
    Jan 24, 2024 to Feb 20, 2025
  • Individual clients · 129 to 147
    Jan 24, 2024 to Feb 20, 2025
  • Pension plan clients · 11 to 10
    Jan 24, 2024 to Feb 20, 2025
  • Discretionary RAUM · $248M to $327M
    Jan 24, 2024 to Feb 20, 2025
  • HNW RAUM · $188M to $252M
    Jan 24, 2024 to Feb 20, 2025
  • Individual RAUM · $31.2M to $39.3M
    Jan 24, 2024 to Feb 20, 2025
  • Pension RAUM · $22.1M to $26.7M
    Jan 24, 2024 to Feb 20, 2025
  • RAUM · $248M to $327M
    Jan 24, 2024 to Feb 20, 2025
  • Accounts · 569 to 621
    Feb 28, 2023 to Jan 24, 2024
  • Corporate clients · 3 to 6
    Feb 28, 2023 to Jan 24, 2024
  • HNW clients · 85 to 92
    Feb 28, 2023 to Jan 24, 2024
  • Individual clients · 130 to 129
    Feb 28, 2023 to Jan 24, 2024
  • Discretionary RAUM · $199M to $248M
    Feb 28, 2023 to Jan 24, 2024
  • HNW RAUM · $149M to $188M
    Feb 28, 2023 to Jan 24, 2024
  • Individual RAUM · $26.8M to $31.2M
    Feb 28, 2023 to Jan 24, 2024
  • Pension RAUM · $17.7M to $22.1M
    Feb 28, 2023 to Jan 24, 2024
  • RAUM · $199M to $248M
    Feb 28, 2023 to Jan 24, 2024
  • Accounts · 524 to 569
    Jan 20, 2022 to Feb 28, 2023
  • HNW clients · 79 to 85
    Jan 20, 2022 to Feb 28, 2023
  • Individual clients · 105 to 130
    Jan 20, 2022 to Feb 28, 2023
  • Pension plan clients · 31 to 11
    Jan 20, 2022 to Feb 28, 2023
  • Discretionary RAUM · $221M to $199M
    Jan 20, 2022 to Feb 28, 2023
  • HNW RAUM · $174M to $149M
    Jan 20, 2022 to Feb 28, 2023
  • Individual RAUM · $29.5M to $26.8M
    Jan 20, 2022 to Feb 28, 2023
  • Non-discretionary RAUM · $139M to $0
    Jan 20, 2022 to Feb 28, 2023
  • Pension RAUM · $151M to $17.7M
    Jan 20, 2022 to Feb 28, 2023
  • RAUM · $360M to $199M
    Jan 20, 2022 to Feb 28, 2023
  • Accounts · 486 to 524
    Dec 6, 2021 to Jan 20, 2022
  • Advisory activities · 3 to 4
    Dec 6, 2021 to Jan 20, 2022
  • Corporate clients · unset to 3.0
    Dec 6, 2021 to Jan 20, 2022
  • HNW clients · 71 to 79
    Dec 6, 2021 to Jan 20, 2022
  • Individual clients · 111 to 105
    Dec 6, 2021 to Jan 20, 2022
  • Pension plan clients · 18 to 31
    Dec 6, 2021 to Jan 20, 2022
  • Assets in custody · 4334558.0 to unset
    Dec 6, 2021 to Jan 20, 2022
  • Custody of client assets · true to false
    Dec 6, 2021 to Jan 20, 2022
  • Financial planning clients · 0 to 1-10
    Dec 6, 2021 to Jan 20, 2022
  • Discretionary RAUM · $206M to $221M
    Dec 6, 2021 to Jan 20, 2022
Signals
7 dated events
  • M•••• T••••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $326.5M)
    Dec 20, 2025 · Left the SEC roster · derived
  • N••••••• P••• P••••• left M•••• T••••••• W••••• M••••••••• I••• for F•••••• (registered 2026-01-02)
    Nov 17, 2025 · Advisor changed firm · fact
  • J••• M••••• T••••••• left M•••• T••••••• W••••• M••••••••• I••• for F•••••• (registered 2026-01-15)
    Nov 17, 2025 · Advisor changed firm · fact
  • C••••••••• J••••• M•••• left M•••• T••••••• W••••• M••••••••• I••• for F•••••• (registered 2026-01-06)
    Nov 17, 2025 · Advisor changed firm · fact
  • M•••• T••••••• W••••• M••••••••• I•••'s advisors moved to F•••••• (Marlton, NJ): 3 of 3 registered, on the same day
    Nov 17, 2025 · Firm absorbed (people side) · derived
  • M•••• T••••••• W••••• M••••••••• I••• reported RAUM $199.1M, down 45% from $360.3M (2022-01-20 to 2023-02-28)
    Feb 28, 2023 · RAUM change · derived
  • M•••• T••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
    Oct 21, 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