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
N••• P••• P••••••••• L••
Latest filing May 22, 2026
First filing on the tape Mar 7, 2023 · 8 filings
SEC status approved since Apr 6, 2023
RAUM
$6.3B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$3.1B
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
8 filings and snapshots on the tape
RAUM$6.3B as of May 22, 2026
Mar 8, 2024$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 22, 2026
Mar 8, 20241 then
Employees (5.A)2 as of May 22, 2026
Mar 8, 20242 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $3.1BderivedRAUM 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
- $98.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 100%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
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
- Pension and profit-sharing plans$6.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 64reported
- Charitable clients
- n/areported
- Accounts
- 64reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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 |
|---|---|---|---|---|
| M•••••• M••••• S•••••• | Shrewsbury, Nj | Apr 11, 2023 | 31 y | 1 |
| G•••••• B•••• W•••• | Newtown Square, Pa | Apr 11, 2023 | 15 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
- M•••••• M••••• S•••••• from N••• I••••••••• S•••••••• L••Apr 11, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• M••••••• M••••• · President, Managing Membercontrolsince 12/2022 · owns less than 5%
- W••••• G••••••• B•••• · Chief Compliance Officer, Director Of Investment & Fiduciary Servicescontrolsince 12/2022 · owns less than 5%
- S••••••••• L••••••• C•••••• · Trusteecontrolsince 12/2022 · owns F of S•••••• F••••• T••••
Entity owners
- N••• H•••••••• L•• · Memberdirect · owns 75% or more
- I•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of N••• H•••••••• L••
- S•••••• F••••• T•••• · Memberindirect · owns 75% or more of I•• I••••••••• H•••••••• L••
Related persons
Schedule D 7.A
- A•••• T•••• S•••••••• L••real estaten
- N••••••• P••••••••• P••••••• G••••• I•••LP sponsorn
- N••• E••••••• B•••••••• L••real estaten
- N••• I••••••••• S•••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Shrewsbury, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $4,548,567,781 to $6,274,553,085 (+38.0%) between the annual amendments of 2025-03-25 and 2026-03-27; the peer median change was +11.0% (66 comparable advisers, 92.0th percentile of changes)peers: institutional managers, $5B to $20B (66) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 53 to 64Mar 25, 2025 to Mar 27, 2026
- Advisory activities · 3 to 4Mar 25, 2025 to Mar 27, 2026
- Pension plan clients · 53 to 64Mar 25, 2025 to Mar 27, 2026
- Insurance-licensed employees · 1 to 0Mar 25, 2025 to Mar 27, 2026
- Financial planning clients · 0 to Mar 25, 2025 to Mar 27, 2026
- State-registered IARs · 1 to 2Mar 25, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.3B to $6.1BMar 25, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $207M to $219MMar 25, 2025 to Mar 27, 2026
- Pension RAUM · $4.5B to $6.3BMar 25, 2025 to Mar 27, 2026
- RAUM · $4.5B to $6.3BMar 25, 2025 to Mar 27, 2026
- Related adviser · true to falseMar 25, 2025 to Mar 27, 2026
- Accounts · 33 to 53Mar 8, 2024 to Mar 25, 2025
- Pension plan clients · 33 to 53Mar 8, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 8, 2024 to Mar 25, 2025
- Discretionary RAUM · $3.2B to $4.3BMar 8, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $25.4M to $207MMar 8, 2024 to Mar 25, 2025
- Pension RAUM · $3.2B to $4.5BMar 8, 2024 to Mar 25, 2025
- RAUM · $3.2B to $4.5BMar 8, 2024 to Mar 25, 2025
- Accounts · 0 to 33Aug 1, 2023 to Mar 8, 2024
- Advisory activities · 6 to 3Aug 1, 2023 to Mar 8, 2024
- Pension plan clients · 15 to 33Aug 1, 2023 to Mar 8, 2024
- Discretionary RAUM · $0 to $3.2BAug 1, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $0 to $25.4MAug 1, 2023 to Mar 8, 2024
- Pension RAUM · $0 to $3.2BAug 1, 2023 to Mar 8, 2024
- RAUM · $0 to $3.2BAug 1, 2023 to Mar 8, 2024
- Pension plan clients · unset to 15.0Apr 10, 2023 to Aug 1, 2023
- Pension RAUM · unset to 0.0Apr 10, 2023 to Aug 1, 2023
Signals
3 dated events
- N••• P••• P••••••••• L•• reported RAUM $6.3B, up 38% from $4.5B (2025-03-25 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- N••• P••• P••••••••• L•• reported RAUM $4.5B, up 43% from $3.2B (2024-03-08 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- N••• P••• P••••••••• L•• filed its initial SEC registration (Form ADV)Mar 7, 2023 · 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
- n•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-758-1577reportedpublic record, Form ADV, May 22, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.1Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026