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•••• M••••••••• L••

Independent wealth managerPrinceton, New JerseyCRD 340572SEC 801-135439websiteIAPD
Latest filing Jul 6, 2026
First filing on the tape Mar 9, 2026 · 3 filings
SEC status 120-day approval since Mar 4, 2026
RAUM
$6.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.6M
derived; firm RAUM over IAPD count
Employees
1
1 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$6.6M as of Jul 6, 2026
Mar 9, 2026$0 then
HNW client RAUM$4.5M as of Jul 6, 2026
Jun 24, 2026$4.5M then
State-registered IARs (5.B.3)1 as of Jul 6, 2026
Mar 9, 20261 then
Employees (5.A)1 as of Jul 6, 2026
Mar 9, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 6, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$6.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$412,500derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$6.6M, 6,600,000 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.5M68%
  • Individuals$2.1M32%
Individual clients
9reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$6.6M for 6,600,000 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••••••• A•••• H•••Princeton, NjMar 9, 202626 y2
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••• C•••••••• A•••• · Managing Member/Owner/Ccocontrol
      since 03/2026 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 16
      Mar 9, 2026 to Jun 24, 2026
    • HNW clients · unset to 3.0
      Mar 9, 2026 to Jun 24, 2026
    • Individual clients · unset to 9.0
      Mar 9, 2026 to Jun 24, 2026
    • Assets in custody · unset to 6600000.0
      Mar 9, 2026 to Jun 24, 2026
    • Custody of client assets · false to true
      Mar 9, 2026 to Jun 24, 2026
    • Discretionary RAUM · $0 to $6.6M
      Mar 9, 2026 to Jun 24, 2026
    • HNW RAUM · unset to 4460000.0
      Mar 9, 2026 to Jun 24, 2026
    • Individual RAUM · unset to 2140000.0
      Mar 9, 2026 to Jun 24, 2026
    • RAUM · $0 to $6.6M
      Mar 9, 2026 to Jun 24, 2026
    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
    609-455-1223reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    609-455-1223reportedpublic record, Form ADV, Jul 6, 2026
    Contact form
    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
    $6.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026