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
L••••• O•• W••••• M••••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Jul 23, 2025 · 6 filings
SEC status approved since Jul 18, 2025
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.3B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$93.3M
derived; firm RAUM over IAPD count
Employees
22
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.4B as of Jun 24, 2026
Jul 23, 2025$0 then
HNW client RAUM$1.1B as of Jun 24, 2026
Nov 14, 2025$1.0B then
State-registered IARs (5.B.3)10 as of Jun 24, 2026
Jul 23, 202511 then
Employees (5.A)22 as of Jun 24, 2026
Jul 23, 202524 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 8, 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
- $93.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 309derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $433,090derivedHNW RAUM over HNW clients
- Average account
- $300,144derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.0derived3 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $1.4BreportedItem 5.I
- Custody
- $52.9M, 43 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
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B77%
- Individuals$253M18%
- Corporations and businesses$73.9M5.3%
- Individual clients
- 2,163reported
- HNW clients
- 2,477reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4,662reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $52.9M for 43 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J•••• R•••••• | Marlton, Nj | Jul 23, 2025 | 25 y | 1 |
| G••• M• R•••• | Marlton, Nj | Jul 23, 2025 | 18 y | 3 |
| J•••• M•••• M•••••• | Marlton, Nj | Jul 23, 2025 | 18 y | 1 |
| G••• W•••••• J••••••• | Marlton, Nj | Jul 23, 2025 | 23 y | 1 |
| C••••••••• J••••• H•••••Certified Financial Planner, Chartered Financial Consultant | Marlton, Nj | Jul 23, 2025 | 32 y | 1 |
| M•••••• J••• F•••••••••Certified Financial Planner, Chartered Financial Consultant | Marlton, Nj | Jul 23, 2025 | 30 y | 1 |
| R••••• A•••••• A•••••••••Certified Financial Planner | Marlton, Nj | Jul 23, 2025 | 28 y | 1 |
| L•••• A•••••• L•••••• | Marlton, Nj | Jul 23, 2025 | 27 y | 1 |
| J•••• E••••• H••••• | Marlton, Nj | Jul 24, 2025 | 12 y | 1 |
| C••••••• D•••••• B•••• | Marlton, Nj | Jul 24, 2025 | 12 y | 1 |
| J••••• M• Y••••••••• | Marlton, Nj | Mar 5, 2026 | 10 y | 0 |
| J••• M•••••• N••••• | Marlton, Nj | Apr 13, 2026 | 12 y | 1 |
| M•••••• C••••••••• H••••• | Marlton, Nj | Apr 29, 2026 | 10 y | 1 |
| P•••••• A• M•••••••• | Marlton, Nj | Apr 29, 2026 | 10 y | 2 |
| N•••••• K•••••• | Marlton, Nj | Jul 10, 2026 | 12 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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•••••• A• M•••••••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C••••••••• H••••• from A••••••••• F•••••••• S•••••••• L••Apr 29, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••• M•••••• N••••• from W•••• F•••• A•••••••Apr 13, 2026 · Wirehouse to independent RIA
- C••••••• D•••••• B•••• from A••••••••• F•••••••• S•••••••• L••Jul 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• E••••• H••••• from A••••••••• F•••••••• S•••••••• L••Jul 24, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• J••••• H••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• J•••• R•••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• J••• F••••••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- G••• M• R•••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- R••••• A•••••• A••••••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• M•••• M•••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- G••• W•••••• J••••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••• A•••••• L•••••• from A••••••••• F•••••••• S•••••••• L••Jul 23, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 11 joined from A••••••••• F•••••••• S•••••••• L••Jul 29, 2025 · Marlton, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• G•••• M• · Chief Operating Officercontrolsince 07/2025 · owns less than 5%
- S•••••••• S••••• L•••• · Chief Compliance Officercontrolsince 06/2025 · owns less than 5%
Entity owners
- L••••• O•• H••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Marlton, Nj · principal | 15 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Jun 24, 2026 to Sep 8, 2026
- Related adviser · false to trueJun 24, 2026 to Sep 8, 2026
- Succession · false to unsetJun 24, 2026 to Sep 8, 2026
- Accounts · 4,525 to 4,662Nov 14, 2025 to Mar 27, 2026
- Advisory employees · 11 to 10Nov 14, 2025 to Mar 27, 2026
- Corporate clients · 20 to 22Nov 14, 2025 to Mar 27, 2026
- HNW clients · 2,405 to 2,477Nov 14, 2025 to Mar 27, 2026
- Individual clients · 2,100 to 2,163Nov 14, 2025 to Mar 27, 2026
- Assets in custody · unset to 52872599.0Nov 14, 2025 to Mar 27, 2026
- Custody of client assets · false to trueNov 14, 2025 to Mar 27, 2026
- Employees · 24 to 22Nov 14, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 11-25Nov 14, 2025 to Mar 27, 2026
- State-registered IARs · 11 to 10Nov 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.3B to $1.4BNov 14, 2025 to Mar 27, 2026
- HNW RAUM · $1.0B to $1.1BNov 14, 2025 to Mar 27, 2026
- Individual RAUM · $241M to $253MNov 14, 2025 to Mar 27, 2026
- RAUM · $1.3B to $1.4BNov 14, 2025 to Mar 27, 2026
- Related adviser · true to falseNov 14, 2025 to Mar 27, 2026
- Accounts · 0 to 4,525Aug 11, 2025 to Nov 14, 2025
- Charity clients · unset to 0.0Aug 11, 2025 to Nov 14, 2025
- Corporate clients · unset to 20.0Aug 11, 2025 to Nov 14, 2025
- HNW clients · unset to 2405.0Aug 11, 2025 to Nov 14, 2025
- Individual clients · unset to 2100.0Aug 11, 2025 to Nov 14, 2025
- Pension plan clients · unset to 0.0Aug 11, 2025 to Nov 14, 2025
- Pooled vehicle clients · unset to 0.0Aug 11, 2025 to Nov 14, 2025
- Financial planning clients · 0 to 0Aug 11, 2025 to Nov 14, 2025
- Discretionary RAUM · $0 to $1.3BAug 11, 2025 to Nov 14, 2025
- HNW RAUM · unset to 1022267261.0Aug 11, 2025 to Nov 14, 2025
- Individual RAUM · unset to 241245843.0Aug 11, 2025 to Nov 14, 2025
- Pension RAUM · unset to 0.0Aug 11, 2025 to Nov 14, 2025
- Pooled vehicle RAUM · unset to 0.0Aug 11, 2025 to Nov 14, 2025
- RAUM · $0 to $1.3BAug 11, 2025 to Nov 14, 2025
Signals
2 dated events
- G••• M• R•••• added a AZ registration at L••••• O•• W••••• M••••••••• L••Sep 14, 2026 · New state registration · fact
- 11 advisors left A••••••••• F•••••••• S•••••••• L•• (Marlton, NJ) for L••••• O•• W••••• M••••••••• L•• within 9 daysJul 29, 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
- 856-797-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 856-519-0200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/L•••••OAKWMGreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 856-519-0200reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- laureloakwealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- laureloakwealth.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
- $93.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026