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
R•••••• F••••••••
Legal name R•••••• F•••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Mar 28, 2024 · 7 filings
SEC status approved since Apr 29, 2024
RAUM
$180M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$162M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$180M as of Feb 4, 2026
Feb 5, 2025$142M then
HNW client RAUM$111M as of Feb 4, 2026
Feb 5, 2025$79.7M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Feb 5, 20252 then
Employees (5.A)3 as of Feb 4, 2026
Feb 5, 20253 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $313,311derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $42.4M, 57 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)
- 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
- High-net-worth individuals$111M61%
- Individuals$51.5M29%
- Pension and profit-sharing plans$17.5M9.7%
- Corporations and businesses$584,0000.3%
- Individual clients
- 187reported
- HNW clients
- 52reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 576reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.4M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| H•••••• L••••Certified Financial Planner | Mount Arlington, Nj | Jun 24, 2024 | 23 y | 2 |
| J••••••• M•••••• L••••Certified Financial Planner | Mount Arlington, Nj | Jun 24, 2024 | 17 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
- H•••••• L•••• from A••••••• S••••••• N••••••Jun 24, 2024 · RIA to a newly registered adviser
- J••••••• M•••••• L•••• from A••••••• S••••••• N••••••Jun 24, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••• S••••••• N••••••Jun 28, 2024 · Mount Arlington, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• H•••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- L••••• J•••••••• M•••••• · Managing Partnercontrolsince 03/2024 · 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 |
|---|---|---|---|---|---|
| Mount Arlington, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 542 to 576Feb 5, 2025 to Feb 4, 2026
- HNW clients · 34 to 52Feb 5, 2025 to Feb 4, 2026
- Individual clients · 188 to 187Feb 5, 2025 to Feb 4, 2026
- Pension plan clients · unset to 6.0Feb 5, 2025 to Feb 4, 2026
- Assets in custody · $24.3M to $42.4MFeb 5, 2025 to Feb 4, 2026
- Discretionary RAUM · $142M to $163MFeb 5, 2025 to Feb 4, 2026
- HNW RAUM · $79.7M to $111MFeb 5, 2025 to Feb 4, 2026
- Individual RAUM · $61.0M to $51.5MFeb 5, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $0 to $17.5MFeb 5, 2025 to Feb 4, 2026
- Pension RAUM · unset to 17500000.0Feb 5, 2025 to Feb 4, 2026
- RAUM · $142M to $180MFeb 5, 2025 to Feb 4, 2026
- Accounts · 531 to 542Nov 5, 2024 to Feb 5, 2025
- HNW clients · 43 to 34Nov 5, 2024 to Feb 5, 2025
- Individual clients · 169 to 188Nov 5, 2024 to Feb 5, 2025
- Assets in custody · unset to 24299000.0Nov 5, 2024 to Feb 5, 2025
- Custody of client assets · false to trueNov 5, 2024 to Feb 5, 2025
- Employees · 2 to 3Nov 5, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 1-10Nov 5, 2024 to Feb 5, 2025
- Discretionary RAUM · $129M to $142MNov 5, 2024 to Feb 5, 2025
- HNW RAUM · $80.0M to $79.7MNov 5, 2024 to Feb 5, 2025
- Individual RAUM · $47.0M to $61.0MNov 5, 2024 to Feb 5, 2025
- RAUM · $129M to $142MNov 5, 2024 to Feb 5, 2025
- Accounts · 0 to 531Apr 30, 2024 to Jul 15, 2024
- Advisory activities · 4 to 3Apr 30, 2024 to Jul 15, 2024
- HNW clients · unset to 43.0Apr 30, 2024 to Jul 15, 2024
- Individual clients · unset to 169.0Apr 30, 2024 to Jul 15, 2024
- Discretionary RAUM · $0 to $129MApr 30, 2024 to Jul 15, 2024
- HNW RAUM · unset to 80000000.0Apr 30, 2024 to Jul 15, 2024
- Individual RAUM · unset to 47000000.0Apr 30, 2024 to Jul 15, 2024
- RAUM · $0 to $129MApr 30, 2024 to Jul 15, 2024
Signals
2 dated events
- 2 advisors left A••••••• S••••••• N•••••• (Mount Arlington, NJ) for R•••••• F•••••••• on the same dayJun 28, 2024 · Team lift-out · derived
- R•••••• F•••••••• filed its initial SEC registration (Form ADV)Mar 28, 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
- 973-928-7181reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/roxbury-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- roxburyfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-928-7181reportedpublic record, Form ADV, Feb 4, 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
- $90.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026