DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
P••••• I••••••••• I•••
No RAUM reported, based in Princeton, New Jersey.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- Not established
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- Not established
IAPD
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 318475 · SEC 801-123168 · 20 filingsShowHide
CRD 318475SEC 801-123168First filing on the tape Jan 5, 2022, latest Feb 6, 2026SEC status approved since Mar 15, 2022IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Feb 6, 2026
Mar 22, 2023$20,000 then
HNW client RAUM$0 as of Feb 6, 2026
Mar 22, 2023$0 then
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Feb 15, 20231 then
Employees (5.A)1 as of Feb 6, 2026
Feb 15, 20231 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R•••••• F•••••• · Ceo Cco Cfo Cco Directorcontrolsince 01/2022 · owns less than 5%
Entity owners
- P••••• U• L••• · Parent Companydirect · owns 75% or more
- P••••• P•••• I••• · Broker-Dealerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P••••• P•••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 10, 2025 to Oct 22, 2025
- Accounts · 2 to 0Feb 14, 2024 to Mar 10, 2025
- Corporate clients · 1 to 0Feb 14, 2024 to Mar 10, 2025
- Individual clients · 1 to 0Feb 14, 2024 to Mar 10, 2025
- Pooled vehicle clients · 1 to 0Feb 14, 2024 to Mar 10, 2025
- Financial planning clients · 1-10 to 0Feb 14, 2024 to Mar 10, 2025
- Discretionary RAUM · $10,000 to $0Feb 14, 2024 to Mar 10, 2025
- Individual RAUM · $10,000 to $0Feb 14, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $10,000 to $0Feb 14, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $10,000 to $0Feb 14, 2024 to Mar 10, 2025
- RAUM · $20,000 to $0Feb 14, 2024 to Mar 10, 2025
- Accounts · 1 to 2Mar 22, 2023 to Feb 14, 2024
- Pooled vehicle clients · 0 to 1Mar 22, 2023 to Feb 14, 2024
- Discretionary RAUM · $20,000 to $10,000Mar 22, 2023 to Feb 14, 2024
- Individual RAUM · $20,000 to $10,000Mar 22, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $0 to $10,000Mar 22, 2023 to Feb 14, 2024
- Pooled vehicle RAUM · $0 to $10,000Mar 22, 2023 to Feb 14, 2024
- Charity clients · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- HNW clients · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- Pension plan clients · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- Pooled vehicle clients · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- HNW RAUM · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- Pension RAUM · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 21, 2023 to Mar 22, 2023
- Accounts · unset to 1.0Feb 17, 2023 to Mar 21, 2023
- Individual clients · unset to 1.0Feb 17, 2023 to Mar 21, 2023
- Discretionary RAUM · unset to 20000.0Feb 17, 2023 to Mar 21, 2023
- Individual RAUM · unset to 20000.0Feb 17, 2023 to Mar 21, 2023
- Non-discretionary RAUM · unset to 0.0Feb 17, 2023 to Mar 21, 2023
- RAUM · unset to 20000.0Feb 17, 2023 to Mar 21, 2023
- Financial planning clients · 0 to 1-10Jan 12, 2022 to Jan 14, 2022
Signals
3 dated events
- ••• LockedFeb 6, 2026 · ria majority owner change · derived
- ••• LockedFeb 6, 2026 · ria majority owner change · fact
- ••• LockedJan 5, 2022 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 6, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 6, 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
- No RAUM reportedderiveda 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