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DRI CAPITAL (US), INC.

SHORT HILLS, NJ · CRD 311678 · IAPD ↗ · 908-577-2968

$520.1MRegulatory AUM
6Advisory reps
10Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

53
August 2025 — DRI CAPITAL (US), INC. (SHORT HILLS, NJ) left the SEC roster (was $520.1M RAUM, 6 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
61
July 2025 — DRI CAPITAL (US), INC. grew from 3 to 6 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
38
August 2024 — DRI CAPITAL (US), INC. moved its main office from NEW YORK, NY to SHORT HILLS, NJ.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
43
August 2024 — DRI CAPITAL (US), INC. shrank from 5 to 3 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
60
August 2024 — DRI CAPITAL (US), INC. crossed $500M in regulatory AUM ($368.4M -> $551.7M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
43
February 2024 — DRI CAPITAL (US), INC. added office(s): 1 -> 2 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.