DFX Intelligence

C•• F•••••••• S•••••••• L•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•• F•••••••• S•••••••• L•••••

CRD 124004

NORTHFIELD, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bc777b06-72e4-5678-8a95-b57eb0f9d995

Data as of May 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to May 15, 2026
31 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.83 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.4Bderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $141Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J••• R•••••••	Certified Financial Planner	NORTHFIELD, NJ	21	31	n/a	no
T••••• E••••• R•••••••	n/a	NORTHFIELD, NJ	21	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••••• M••••••• J•••	MANAGING MEMBER	C	yes	08/1999	May 15, 2026	May 15, 2026
R•••••••• T•••••• E•••••	MANAGING MEMBER	C	yes	08/1999	May 15, 2026	May 15, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• J••• R•••••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.7B	$1.5B	16.7%	$966M	20.6%	14	14	1	0

Relationships

Registered with (13)

← J••• T•••••• H•••••Advisorregistration: current employment
Jun 26, 2026 to presentfactForm ADV
← J••••• E••••• R•••••Advisorregistration: current employment
Jun 18, 2026 to presentfactForm ADV
← S••••••• R•• S••••••••Advisorregistration: current employment
Jan 19, 2023 to presentfactForm ADV
← P••••• T•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bc777b06-72e4-5678-8a95-b57eb0f9d995
First observed: Mar 28, 2012
Last observed: May 15, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.