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
V•••• A•••••• R••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 14, 2022 · 10 filings
SEC status approved since Apr 14, 2022
RAUM
$9.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$4.6B
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$9.1B as of Mar 31, 2026
Jan 25, 2023$221M then
HNW client RAUM$0 as of Mar 31, 2026
Jan 25, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 25, 20230 then
Employees (5.A)9 as of Mar 31, 2026
Jan 25, 20232 then
Private funds1 as of Mar 31, 2026
Mar 19, 20251 then
RAUM +1586% over the last fiscal year+246% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $4.6BderivedRAUM 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
- $2.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1586%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $5.2B, 2 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.2B57%
- Charitable organizations$3.9B43%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.2B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.57 institutional_share=0.43 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• F•••• | Princeton, Nj | Apr 21, 2022 | 12 y | 0 |
| B••••••• H•••• H••••• | Princeton, Nj | Jan 1, 2026 | 13 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 headcount0 left over 36 months
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
- F••••• D••••• M•••••• · Managing Membercontrolsince 01/2022 · owns 50% to 75%
- H•••••• B•••••••• H•••• · Chief Compliance Officer/Managing Membercontrolsince 01/2022 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): no on the filing of 2025-10-30, yes on the filing of 2026-03-31peers: other advisers, $5B to $20B (134)
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-30, yes on the filing of 2026-03-31peers: other advisers, $5B to $20B (134)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 95.0% to 43.0% between the annual amendments of 2025-03-19 and 2026-03-31peers: other advisers, $5B to $20B (134)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $542,161,194 to $9,139,631,624 (+1586.0%) between the annual amendments of 2025-03-19 and 2026-03-31; the peer median change was +9.0% (119 comparable advisers, 99.0th percentile of changes)peers: other advisers, $5B to $20B (119) · 99% percentile
Data quality: the 2026-06-30 holdings report shows $40,111,386,090 across 123 positions while Form ADV reports RAUM of $9,139,631,624 (4.4x); one of the two is misfiled, misattributed or in the wrong unit
What changed
consecutive filings, newest first
- Accounts · 8 to 4Oct 30, 2025 to Mar 31, 2026
- Advisory employees · 4 to 6Oct 30, 2025 to Mar 31, 2026
- Charity clients · unset to 2.0Oct 30, 2025 to Mar 31, 2026
- HNW clients · unset to 0.0Oct 30, 2025 to Mar 31, 2026
- Assets in custody · unset to 5189964815.0Oct 30, 2025 to Mar 31, 2026
- Custody of client assets · false to trueOct 30, 2025 to Mar 31, 2026
- Employees · 7 to 9Oct 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $542M to $9.1BOct 30, 2025 to Mar 31, 2026
- HNW RAUM · $26.2M to $0Oct 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $5.2BOct 30, 2025 to Mar 31, 2026
- RAUM · $542M to $9.1BOct 30, 2025 to Mar 31, 2026
- Related adviser · false to trueOct 30, 2025 to Mar 31, 2026
- Related bank · false to trueOct 30, 2025 to Mar 31, 2026
- Advisory activities · 4 to 2Mar 19, 2025 to Oct 30, 2025
- Employees · 6 to 7Mar 19, 2025 to Oct 30, 2025
- Financial planning clients · 1-10 to 0Mar 19, 2025 to Oct 30, 2025
- Accounts · 1 to 8Jul 8, 2024 to Mar 19, 2025
- Advisory employees · 3 to 4Jul 8, 2024 to Mar 19, 2025
- Charity clients · 1.0 to unsetJul 8, 2024 to Mar 19, 2025
- HNW clients · 0.0 to unsetJul 8, 2024 to Mar 19, 2025
- Pooled vehicle clients · 0 to 2Jul 8, 2024 to Mar 19, 2025
- Employees · 4 to 6Jul 8, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Jul 8, 2024 to Mar 19, 2025
- HQ city · unset to Jul 8, 2024 to Mar 19, 2025
- HQ state · unset to Jul 8, 2024 to Mar 19, 2025
- Private funds · unset to 1Jul 8, 2024 to Mar 19, 2025
- Discretionary RAUM · $396M to $542MJul 8, 2024 to Mar 19, 2025
- HNW RAUM · $0 to $26.2MJul 8, 2024 to Mar 19, 2025
- RAUM · $396M to $542MJul 8, 2024 to Mar 19, 2025
- Advisory employees · 2 to 3Jun 20, 2023 to Mar 12, 2024
- Employees · 2 to 4Jun 20, 2023 to Mar 12, 2024
- Discretionary RAUM · $221M to $396MJun 20, 2023 to Mar 12, 2024
- RAUM · $221M to $396MJun 20, 2023 to Mar 12, 2024
- Accounts · 2 to 1Aug 11, 2022 to Jan 25, 2023
- Charity clients · 2 to 1Aug 11, 2022 to Jan 25, 2023
- Discretionary RAUM · $215M to $221MAug 11, 2022 to Jan 25, 2023
- Non-discretionary RAUM · $29.0M to $0Aug 11, 2022 to Jan 25, 2023
- RAUM · $244M to $221MAug 11, 2022 to Jan 25, 2023
- Accounts · unset to 2.0Apr 21, 2022 to Aug 11, 2022
- Charity clients · 0 to 2Apr 21, 2022 to Aug 11, 2022
Signals
4 dated events
- V•••• A•••••• R••••••• A•••••••• L•• reported RAUM $9.1B, up 1586% from $542.2M (2025-10-30 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- V•••• A•••••• R••••••• A•••••••• L•• reported RAUM $542.2M, up 37% from $395.9M (2024-07-08 to 2025-03-19)Mar 19, 2025 · RAUM change · derived
- V•••• A•••••• R••••••• A•••••••• L•• reported RAUM $395.9M, up 79% from $220.8M (2023-06-20 to 2024-03-12)Mar 12, 2024 · RAUM change · derived
- V•••• A•••••• R••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 14, 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
- Principal office phone
- (908) 560-9207reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026