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•••• A•••••• G••••• L••
Latest filing Mar 29, 2026
First filing on the tape Aug 26, 2025 · 4 filings
SEC status approved since Aug 21, 2025
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$128M as of Mar 29, 2026
Aug 26, 2025$0 then
HNW client RAUM$71.9M as of Mar 29, 2026
Dec 19, 2025$59.2M then
State-registered IARs (5.B.3)2 as of Mar 29, 2026
Aug 26, 20251 then
Employees (5.A)2 as of Mar 29, 2026
Aug 26, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $63.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $270,213derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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 fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $128MreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.9M56%
- Individuals$55.3M43%
- Charitable organizations$388,1570.3%
- Individual clients
- 179reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 472reported
- 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=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• F•••••• L•••••••• | Vineland, Nj | Sep 25, 2025 | 15 y | 0 |
| N••••••• S••••• B•••••••• | Vineland, Nj | Jan 1, 2026 | 17 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• N•••••••• S••••• · Membercontrolsince 05/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Vineland, Nj · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 338 to 472Dec 19, 2025 to Mar 29, 2026
- HNW clients · 29 to 31Dec 19, 2025 to Mar 29, 2026
- Individual clients · 170 to 179Dec 19, 2025 to Mar 29, 2026
- Discretionary RAUM · $111M to $128MDec 19, 2025 to Mar 29, 2026
- HNW RAUM · $59.2M to $71.9MDec 19, 2025 to Mar 29, 2026
- Individual RAUM · $51.0M to $55.3MDec 19, 2025 to Mar 29, 2026
- RAUM · $111M to $128MDec 19, 2025 to Mar 29, 2026
- Accounts · 0 to 338Sep 23, 2025 to Dec 19, 2025
- HNW clients · unset to 29.0Sep 23, 2025 to Dec 19, 2025
- Individual clients · unset to 170.0Sep 23, 2025 to Dec 19, 2025
- Discretionary RAUM · $0 to $111MSep 23, 2025 to Dec 19, 2025
- HNW RAUM · unset to 59203848.0Sep 23, 2025 to Dec 19, 2025
- Individual RAUM · unset to 50959320.0Sep 23, 2025 to Dec 19, 2025
- RAUM · $0 to $111MSep 23, 2025 to Dec 19, 2025
- Advisory employees · 1 to 2Aug 26, 2025 to Sep 23, 2025
- BD registered reps · 1 to 2Aug 26, 2025 to Sep 23, 2025
- Employees · 1 to 2Aug 26, 2025 to Sep 23, 2025
- Insurance-licensed employees · 1 to 0Aug 26, 2025 to Sep 23, 2025
- Financial planning clients · 0 to 0Aug 26, 2025 to Sep 23, 2025
- State-registered IARs · 1 to 2Aug 26, 2025 to Sep 23, 2025
Signals
No event on the tape.
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
- 609-992-2619reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 856-692-0555reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 856-692-0555reportedpublic record, Form ADV, Mar 29, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $63.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026