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
C••••••• L••• A••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Feb 20, 2024 · 9 filings
SEC status approved since Mar 22, 2024
RAUM
$403M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
96%
$386M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.6M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$403M as of Mar 2, 2026
Mar 11, 2025$374M then
HNW client RAUM$338M as of Mar 2, 2026
Mar 11, 2025$321M then
State-registered IARs (5.B.3)4 as of Mar 2, 2026
Mar 11, 20254 then
Employees (5.A)7 as of Mar 2, 2026
Mar 11, 20257 then
Private funds: no history
RAUM +7.6% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 2, 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
- RAUM per advisor
- $57.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $870,408derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $73.6M, 26 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$338M84%
- Individuals$47.7M12%
- Pension and profit-sharing plans$12.6M3.1%
- Corporations and businesses$4.1M1.0%
- Charitable organizations$96,1230.0%
- Individual clients
- 135reported
- HNW clients
- 74reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 463reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.6M for 26 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• B••• M••••••••Certified Financial Planner | Princeton, Nj | Mar 25, 2024 | 19 y | 1 |
| C••••• L••• H••••• | Princeton, Nj | Mar 25, 2024 | 37 y | 1 |
| E•••• D•••••• S•••••• | Princeton, Nj | Mar 25, 2024 | 43 y | 1 |
| B•••• C•••••• A••••••••• | Princeton, Nj | Mar 25, 2024 | 41 y | 1 |
| R•••••• K•••• M•••••• | Princeton, Nj | Mar 25, 2024 | 36 y | 1 |
| E••••• A•••••••• W•••• | Princeton, Nj | Mar 25, 2024 | 44 y | 1 |
| P••••• J••• K•••••• | Princeton, Nj | Apr 2, 2024 | 28 y | 2 |
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
- P••••• J••• K•••••• from H••••••••• C•••••• M••••••••• L••Apr 2, 2024 · RIA to a newly registered adviser
- B•••• C•••••• A••••••••• from H••••••••• C•••••• M••••••••• L••Mar 25, 2024 · RIA to a newly registered adviser
- R••• B••• M•••••••• from H••••••••• C•••••• M••••••••• L••Mar 25, 2024 · RIA to a newly registered adviser
- C••••• L••• H••••• from H••••••••• C•••••• M••••••••• L••Mar 25, 2024 · RIA to a newly registered adviser
- R•••••• K•••• M•••••• from H••••••••• C•••••• M••••••••• L••Mar 25, 2024 · RIA to a newly registered adviser
- E••••• A•••••••• W•••• from H••••••••• C•••••• M••••••••• L••Mar 25, 2024 · RIA to a newly registered adviser
- E•••• D•••••• S•••••• from H••••••••• C•••••• M••••••••• L••Mar 25, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 7 joined from H••••••••• C•••••• M••••••••• L••Jul 17, 2024 · Short Hills, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E••••• S•••••• · Managing Membercontrolsince 02/2024 · owns 50% to 75%
- S•••••• A•••••••• C••••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- W••••• E•••••• A•••••••• · Managing Member & Presidentcontrolsince 02/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C••••••• L••• A••••••• L•• as a related person
- 106667 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 431 to 463Jun 27, 2025 to Mar 2, 2026
- Individual clients · 116 to 135Jun 27, 2025 to Mar 2, 2026
- Assets in custody · $70.1M to $73.6MJun 27, 2025 to Mar 2, 2026
- Discretionary RAUM · $328M to $350MJun 27, 2025 to Mar 2, 2026
- HNW RAUM · $321M to $338MJun 27, 2025 to Mar 2, 2026
- Individual RAUM · $38.9M to $47.7MJun 27, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $46.3M to $52.7MJun 27, 2025 to Mar 2, 2026
- Pension RAUM · $11.0M to $12.6MJun 27, 2025 to Mar 2, 2026
- RAUM · $374M to $403MJun 27, 2025 to Mar 2, 2026
- Financial planning clients · unset to Mar 11, 2025 to Jun 27, 2025
- Accounts · 396 to 431Dec 18, 2024 to Mar 11, 2025
- Advisory employees · 5 to 7Dec 18, 2024 to Mar 11, 2025
- Charity clients · 0 to 1Dec 18, 2024 to Mar 11, 2025
- Corporate clients · 0 to 2Dec 18, 2024 to Mar 11, 2025
- HNW clients · 49 to 74Dec 18, 2024 to Mar 11, 2025
- Individual clients · 263 to 116Dec 18, 2024 to Mar 11, 2025
- Pension plan clients · 2 to 1Dec 18, 2024 to Mar 11, 2025
- Assets in custody · unset to 70055638.0Dec 18, 2024 to Mar 11, 2025
- Custody of client assets · false to trueDec 18, 2024 to Mar 11, 2025
- Employees · 8 to 7Dec 18, 2024 to Mar 11, 2025
- State-registered IARs · 5 to 4Dec 18, 2024 to Mar 11, 2025
- Discretionary RAUM · $325M to $328MDec 18, 2024 to Mar 11, 2025
- HNW RAUM · $269M to $321MDec 18, 2024 to Mar 11, 2025
- Individual RAUM · $78.8M to $38.9MDec 18, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $32.2M to $46.3MDec 18, 2024 to Mar 11, 2025
- Pension RAUM · $8.5M to $11.0MDec 18, 2024 to Mar 11, 2025
- RAUM · $357M to $374MDec 18, 2024 to Mar 11, 2025
- Insurance-licensed employees · 1 to 0Jul 16, 2024 to Dec 18, 2024
- Accounts · 0 to 396Mar 22, 2024 to Jul 16, 2024
- Charity clients · unset to 0.0Mar 22, 2024 to Jul 16, 2024
- Corporate clients · unset to 0.0Mar 22, 2024 to Jul 16, 2024
- HNW clients · unset to 49.0Mar 22, 2024 to Jul 16, 2024
- Individual clients · unset to 263.0Mar 22, 2024 to Jul 16, 2024
- Pension plan clients · unset to 2.0Mar 22, 2024 to Jul 16, 2024
- Pooled vehicle clients · unset to 0.0Mar 22, 2024 to Jul 16, 2024
- Discretionary RAUM · $0 to $325MMar 22, 2024 to Jul 16, 2024
- HNW RAUM · unset to 269441544.0Mar 22, 2024 to Jul 16, 2024
- Individual RAUM · unset to 78786870.0Mar 22, 2024 to Jul 16, 2024
- Non-discretionary RAUM · $0 to $32.2MMar 22, 2024 to Jul 16, 2024
- Pension RAUM · unset to 8501101.0Mar 22, 2024 to Jul 16, 2024
Signals
4 dated events
- Stephen Joseph Callahan no longer registered at C••••••• L••• A••••••• L••; no later IA registration on IAPDAug 7, 2024 · Advisor departure · fact
- H••••••••• C•••••• M••••••••• L••'s advisors moved to C••••••• L••• A••••••• L•• (Short Hills, NJ): 7 of 9 registered, on the same dayJul 17, 2024 · Firm absorbed (people side) · derived
- Cooper Ashleigh Swayze (Chief Compliance Officer) appeared on Schedule A of C••••••• L••• A••••••• L••Jul 16, 2024 · Control person joined · fact
- C••••••• L••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 2024 · 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
- 609-955-3667reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- carnegielakeadvisorsllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-955-3667reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- carnegielakeadvisorsllc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- carnegielakeadvisorsllc.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $57.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026