DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••••••••• F•••••••• A••••••• L••

CRD 298056

CLINTON, NJ

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Search this name across graphsid dfx:ria:bf8355b6-0699-8030-46c7-a14abb755bd0

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Aug 17, 2018 to Mar 26, 2026
27 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $199M••• Locked
Discretionary RAUM: $199M
Private client RAUM: $198Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $99.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••• T•••••••••	n/a	CLINTON, NJ	7	29	4	no
J••••• K•••• P••••••	n/a	Shawnee, KS \| North Kansas City, MO \| CLINTON, NJ	0	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••••• F•••••••• P•••••••• I•••	MANAGING MEMBER	Na	yes	10/2018	Oct 5, 2018	Mar 27, 2024
T••••••••• L••••	Shareholder	E	yes	10/2018	Oct 5, 2018	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	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	$199M	$178M	12.0%	$147M	10.6%	2	1	2	0

Relationships

Registered with (2)

← J••••• K•••• P••••••Advisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← L•••• T•••••••••Advisorregistration: current employment
Oct 5, 2018 to presentfactForm ADV

Controls (2)

← T••••••••• L••••OwnerSHAREHOLDER, ownership code E, individual
Oct 5, 2018 to Mar 27, 2024factForm ADV
← T••••••••• F•••••••• P•••••••• I•••

Dated events

Occurred
Mar 26, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 26, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Feb 25, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 17, 2018

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bf8355b6-0699-8030-46c7-a14abb755bd0
First observed: Aug 17, 2018
Last observed: Mar 26, 2026 6 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.