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•• H••••••• W••••• M•••••••••
Legal name N••• L••
Latest filing Aug 10, 2026
First filing on the tape Sep 1, 2023 · 14 filings
SEC status approved since Oct 31, 2023
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$168M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$33.9M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$203M as of Aug 10, 2026
Feb 1, 2024$151M then
HNW client RAUM$91.1M as of Aug 10, 2026
Feb 1, 2024$90.0M then
State-registered IARs (5.B.3)6 as of Aug 10, 2026
Feb 1, 20242 then
Employees (5.A)9 as of Aug 10, 2026
Feb 1, 20248 then
Private funds: no history
RAUM +8.6% over the last fiscal yearIARs 2 to 6
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $33.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $274,683derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $203MreportedItem 5.I
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$91.1M45%
- Individuals$76.5M38%
- Corporations and businesses$31.3M15%
- Charitable organizations$4.4M2.2%
- Individual clients
- 193reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 740reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• P• O••••Certified Financial Planner | Cedar Knolls, Nj | Dec 7, 2023 | 18 y | 0 |
| P••••••• D••••• R•••••••Certified Financial Planner | Cedar Knolls, Nj | Dec 7, 2023 | 12 y | 1 |
| V••••••• C••••• S••••••• | Cedar Knolls, Nj | Oct 9, 2024 | 13 y | 3 |
| J•••• N••••• C•• | Cedar Knolls, Nj | Jul 31, 2025 | 10 y | 0 |
| R••••• R•••• G•••••••• | Cedar Knolls, Nj | Jan 21, 2026 | 44 y | 2 |
| T••• J••• R••••••• | Cedar Knolls, Nj | Jan 26, 2026 | 23 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
- V••••••• C••••• S••••••• from D•••••• L••• S••••• L••Oct 9, 2024 · RIA to RIA
- R••••• R•••• G•••••••• from N•• H••••••• F•••••••• S•••••••Oct 2, 2024 · Other
- P••••••• D••••• R••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 7, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• J•••••• P• · Owner And Ccocontrolsince 01/2023 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Cedar Knolls, Nj · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 6 to 5Jun 8, 2026 to Jul 30, 2026
- Insurance-licensed employees · 1 to 0Jun 8, 2026 to Jul 30, 2026
- Accounts · 674 to 740Oct 2, 2025 to Jan 21, 2026
- BD registered reps · 4 to 6Oct 2, 2025 to Jan 21, 2026
- Individual clients · 192 to 193Oct 2, 2025 to Jan 21, 2026
- Assets in custody · $14.0M to $12.9MOct 2, 2025 to Jan 21, 2026
- Employees · 10 to 9Oct 2, 2025 to Jan 21, 2026
- Financial planning clients · 251-500 to 101-250Oct 2, 2025 to Jan 21, 2026
- State-registered IARs · 4 to 6Oct 2, 2025 to Jan 21, 2026
- Discretionary RAUM · $187M to $203MOct 2, 2025 to Jan 21, 2026
- HNW RAUM · $87.9M to $91.1MOct 2, 2025 to Jan 21, 2026
- Individual RAUM · $66.2M to $76.5MOct 2, 2025 to Jan 21, 2026
- RAUM · $187M to $203MOct 2, 2025 to Jan 21, 2026
- Advisory employees · 2 to 4Feb 6, 2025 to Jul 3, 2025
- Financial planning clients · 251-500 to 251-500Feb 6, 2025 to Jul 3, 2025
- State-registered IARs · 2 to 4Feb 6, 2025 to Jul 3, 2025
- Accounts · 614 to 674Jul 15, 2024 to Feb 6, 2025
- HNW clients · 62 to 35Jul 15, 2024 to Feb 6, 2025
- Individual clients · 244 to 192Jul 15, 2024 to Feb 6, 2025
- Assets in custody · $14.5M to $14.0MJul 15, 2024 to Feb 6, 2025
- Discretionary RAUM · $151M to $187MJul 15, 2024 to Feb 6, 2025
- HNW RAUM · $90.0M to $87.9MJul 15, 2024 to Feb 6, 2025
- Individual RAUM · $50.5M to $66.2MJul 15, 2024 to Feb 6, 2025
- RAUM · $151M to $187MJul 15, 2024 to Feb 6, 2025
- BD registered reps · 2 to 4Feb 1, 2024 to Jul 15, 2024
- Employees · 8 to 10Feb 1, 2024 to Jul 15, 2024
- Insurance-licensed employees · 0 to 1Feb 1, 2024 to Jul 15, 2024
- Accounts · 0 to 614Dec 19, 2023 to Feb 1, 2024
- Advisory employees · 4 to 2Dec 19, 2023 to Feb 1, 2024
- BD registered reps · 3 to 2Dec 19, 2023 to Feb 1, 2024
- HNW clients · unset to 62.0Dec 19, 2023 to Feb 1, 2024
- Individual clients · unset to 244.0Dec 19, 2023 to Feb 1, 2024
- Assets in custody · unset to 14500374.0Dec 19, 2023 to Feb 1, 2024
- Financial planning clients · 0 to 251-500Dec 19, 2023 to Feb 1, 2024
- State-registered IARs · 3 to 2Dec 19, 2023 to Feb 1, 2024
- Discretionary RAUM · $0 to $151MDec 19, 2023 to Feb 1, 2024
- HNW RAUM · unset to 90039473.0Dec 19, 2023 to Feb 1, 2024
- Individual RAUM · unset to 50508991.0Dec 19, 2023 to Feb 1, 2024
- RAUM · $0 to $151MDec 19, 2023 to Feb 1, 2024
Signals
1 dated events
- N•• H••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 1, 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
- Business phone
- 973-540-1066reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 973-540-1775reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/new-horizons-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- nhwmllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-540-1066reportedpublic record, Form ADV, Aug 10, 2026
- Contact form
- nhwmllc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- nhwmllc.com/meet-the-teamreportedpublished 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
- $33.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026