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••••••••• I•••••••• P••••••• C•••••••••
Latest filing Mar 26, 2026
First filing on the tape Mar 14, 2012 · 23 filings
SEC status approved since Jun 15, 1999
RAUM
$351M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$351M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$351M
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
23 filings and snapshots on the tape
RAUM$351M as of Mar 26, 2026
Mar 14, 2012$103M then
HNW client RAUM$168M as of Mar 26, 2026
Mar 23, 2018$71.4M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 14, 20120 then
Employees (5.A)2 as of Mar 26, 2026
Mar 12, 20132 then
Private funds: no history
RAUM +8.6% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $351MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 880derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $232,840derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- unknownreportedItem 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$183M52%
- High-net-worth individuals$168M48%
- Individual clients
- 810reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,509reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• S•• G•••••••• | Green Brook, Nj | Mar 28, 2003 | 23 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
- A•••••• A••• C•••• · President / Cco, Pfo, Poocontrolsince 04/1999 · owns 50% to 75%
- G••••••••• R•••• S•• · Vice Presidentcontrolsince 12/2006 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,511 to 1,509Mar 27, 2025 to Mar 26, 2026
- HNW clients · 69 to 70Mar 27, 2025 to Mar 26, 2026
- Individual clients · 809 to 810Mar 27, 2025 to Mar 26, 2026
- HNW RAUM · $157M to $168MMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $167M to $183MMar 27, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $323M to $351MMar 27, 2025 to Mar 26, 2026
- RAUM · $323M to $351MMar 27, 2025 to Mar 26, 2026
- Accounts · 1,528 to 1,511Nov 18, 2024 to Mar 27, 2025
- HNW clients · 55 to 69Nov 18, 2024 to Mar 27, 2025
- Individual clients · 835 to 809Nov 18, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Nov 18, 2024 to Mar 27, 2025
- HNW RAUM · $125M to $157MNov 18, 2024 to Mar 27, 2025
- Individual RAUM · $170M to $167MNov 18, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $294M to $323MNov 18, 2024 to Mar 27, 2025
- RAUM · $294M to $323MNov 18, 2024 to Mar 27, 2025
- Accounts · 1,602 to 1,528Mar 22, 2023 to Mar 19, 2024
- HNW clients · 13 to 55Mar 22, 2023 to Mar 19, 2024
- Individual clients · 880 to 835Mar 22, 2023 to Mar 19, 2024
- HNW RAUM · $57.5M to $125MMar 22, 2023 to Mar 19, 2024
- Individual RAUM · $183M to $170MMar 22, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $241M to $294MMar 22, 2023 to Mar 19, 2024
- RAUM · $241M to $294MMar 22, 2023 to Mar 19, 2024
- Accounts · 1,546 to 1,602Mar 18, 2022 to Mar 22, 2023
- HNW clients · 22 to 13Mar 18, 2022 to Mar 22, 2023
- Individual clients · 867 to 880Mar 18, 2022 to Mar 22, 2023
- HNW RAUM · $92.9M to $57.5MMar 18, 2022 to Mar 22, 2023
- Individual RAUM · $206M to $183MMar 18, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $299M to $241MMar 18, 2022 to Mar 22, 2023
- RAUM · $299M to $241MMar 18, 2022 to Mar 22, 2023
- Accounts · 1,535 to 1,546Mar 24, 2021 to Mar 18, 2022
- HNW clients · 4 to 22Mar 24, 2021 to Mar 18, 2022
- Individual clients · 853 to 867Mar 24, 2021 to Mar 18, 2022
- HNW RAUM · $60.4M to $92.9MMar 24, 2021 to Mar 18, 2022
- Individual RAUM · $201M to $206MMar 24, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $261M to $299MMar 24, 2021 to Mar 18, 2022
- RAUM · $261M to $299MMar 24, 2021 to Mar 18, 2022
- Accounts · 1,598 to 1,535Jan 13, 2021 to Mar 24, 2021
- HNW clients · 3 to 4Jan 13, 2021 to Mar 24, 2021
- Individual clients · 846 to 853Jan 13, 2021 to Mar 24, 2021
- HNW RAUM · $44.8M to $60.4MJan 13, 2021 to Mar 24, 2021
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
- Principal office phone
- 732-926-1100reportedpublic record, Form ADV, Mar 26, 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
- $351Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026