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•••• W••• W••••• M••••••••• L••
Latest filing Aug 13, 2026
First filing on the tape Sep 22, 2025 · 3 filings
SEC status approved since Nov 13, 2025
RAUM
$617M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$617M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$309M
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
3 filings and snapshots on the tape
RAUM$617M as of Aug 13, 2026
Sep 22, 2025$0 then
HNW client RAUM$605M as of Aug 13, 2026
Jan 22, 2026$605M then
State-registered IARs (5.B.3)2 as of Aug 13, 2026
Sep 22, 20252 then
Employees (5.A)3 as of Aug 13, 2026
Sep 22, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 13, 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
- RAUM per advisor
- $309MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $675,794derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%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
- 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 individuals, selection of other advisers, educational seminarsreportedItem 5.G
- 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
- High-net-worth individuals$605M98%
- Individuals$12.3M2.0%
- Individual clients
- 29reported
- HNW clients
- 113reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 913reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• F•••• W•••Certified Financial Planner | Red Bank, Nj | Nov 17, 2025 | 20 y | 3 |
| J••••• M•••••• G••••Chartered Financial Analyst | Red Bank, Nj | Nov 17, 2025 | 15 y | 2 |
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
- M•••••• F•••• W••• from B•••• C•••• F•••••••• A•••••••• L••Nov 17, 2025 · RIA to a newly registered adviser
- J••••• M•••••• G•••• from B•••• C•••• F•••••••• A•••••••• L••Nov 17, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B•••• C•••• F•••••••• A•••••••• L••Nov 19, 2025 · Mount Olive, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• J•••••• M•••••• · Managing Partnercontrolsince 08/2025 · owns 50% to 75%
- T••••••••• C••••••• V••••••• · Chief Operating Officier And Ccocontrolsince 08/2025 · owns less than 5%
- W•••• M••••••• F•••• · Managing Partnercontrolsince 08/2025 · 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 |
|---|---|---|---|---|---|
| Red Bank, Nj · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 913Sep 22, 2025 to Jan 22, 2026
- HNW clients · 0 to 113Sep 22, 2025 to Jan 22, 2026
- Individual clients · 0 to 29Sep 22, 2025 to Jan 22, 2026
- Financial planning clients · 0 to 101-250Sep 22, 2025 to Jan 22, 2026
- Discretionary RAUM · $0 to $524MSep 22, 2025 to Jan 22, 2026
- HNW RAUM · unset to 604694287.0Sep 22, 2025 to Jan 22, 2026
- Individual RAUM · unset to 12305713.0Sep 22, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $0 to $92.5MSep 22, 2025 to Jan 22, 2026
- RAUM · $0 to $617MSep 22, 2025 to Jan 22, 2026
Signals
1 dated events
- 2 advisors left B•••• C•••• F•••••••• A•••••••• L•• (Chester, NJ) for C•••• W••• W••••• M••••••••• L•• on the same dayNov 19, 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
- Principal office phone
- 862-200-9438reportedpublic record, Form ADV, Aug 13, 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
- $309Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026