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

A••••••• F•••••••• P••••••• L••

Independent wealth managerWest Deptford, New JerseyCRD 336537SEC 801-134476websiteIAPD
Latest filing Jul 16, 2026
First filing on the tape Sep 15, 2025 · 5 filings
SEC status approved since Nov 13, 2025
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$183M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$91.4M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$183M as of Jul 16, 2026
Sep 15, 2025$0 then
HNW client RAUM$89.8M as of Jul 16, 2026
Feb 2, 2026$89.8M then
State-registered IARs (5.B.3)2 as of Jul 16, 2026
Sep 15, 20252 then
Employees (5.A)5 as of Jul 16, 2026
Sep 15, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$91.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
250derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$149,519derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$183MreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • Individuals$93.0M51%
  • High-net-worth individuals$89.8M49%
Individual clients
448reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,223reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P••• B•••••••••West Deptford, NjDec 5, 202512 y1
R••••• J••• S••••••Certified Financial PlannerWest Deptford, NjDec 11, 202515 y3
Advisor movement
0 left, 2 joined in 12 months
net +2 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• V••••••• A••• · Chief Compliance Officercontrol
        since 09/2025 · owns less than 5%
      • S••••••• R•••••• J••• · President / Financial Pla•••Rcontrol
        since 12/2025 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      West Deptford, Nj · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1,223
        Jan 7, 2026 to Feb 2, 2026
      • HNW clients · unset to 52.0
        Jan 7, 2026 to Feb 2, 2026
      • Individual clients · unset to 448.0
        Jan 7, 2026 to Feb 2, 2026
      • Discretionary RAUM · $0 to $183M
        Jan 7, 2026 to Feb 2, 2026
      • HNW RAUM · unset to 89838263.0
        Jan 7, 2026 to Feb 2, 2026
      • Individual RAUM · unset to 93023916.0
        Jan 7, 2026 to Feb 2, 2026
      • RAUM · $0 to $183M
        Jan 7, 2026 to Feb 2, 2026
      Signals
      1 dated events
      • 2 advisors left E••••• J•••• (West Deptford, NJ) for A••••••• F•••••••• P••••••• L•• within 5 days
        Dec 8, 2025 · Team lift-out · derived
      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
      856-202-6339reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      856-202-7250reportedpublished by the firm, firm site, Sep 16, 2026
      Firm profile
      H••••://WWW.LINKEDIN.COM/COMPANY/A•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      (856) 202-7250reportedpublic record, Form ADV, Jul 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
      $91.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026