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
P••••••••• W••••• M•••••••••
Legal name T•• J••• I••••••••• G••••• L••
Latest filing Feb 9, 2026
First filing on the tape Mar 6, 2012 · 31 filings
SEC status approved since May 19, 1989
RAUM
$595M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$595M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$297M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$595M as of Feb 9, 2026
Mar 6, 2012$143M then
HNW client RAUM$572M as of Feb 9, 2026
Feb 16, 2018$212M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Mar 6, 20120 then
Employees (5.A)6 as of Feb 9, 2026
Feb 15, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $297MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $595MreportedItem 5.I
- 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 an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$572M96%
- Individuals$23.1M3.9%
- Individual clients
- 46reported
- HNW clients
- 218reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 264reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•• J••••• A••••Certified Financial Planner | Hunt Valley, Md | Nov 2, 2016 | 10 y | 0 |
| N••••••• P••• M•••••••Certified Financial Planner | Hunt Valley, Md | Oct 1, 2020 | 10 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••••• E••• J••••• · Managing Member And Chief Compliance Officercontrolsince 01/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hunt Valley, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 9, 2026HNW share of RAUM moved from 75.0% to 96.0% between the annual amendments of 2025-03-26 and 2026-02-09peers: independent wealth managers, $500M to $1B (1,482)
- discretionary share shiftChange between filings · filing Feb 9, 2026discretionary share of RAUM moved from 67.0% to 88.0% between the annual amendments of 2025-03-26 and 2026-02-09peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 250 to 264Jan 2, 2026 to Feb 9, 2026
- HNW clients · 107 to 218Jan 2, 2026 to Feb 9, 2026
- Individual clients · 156 to 46Jan 2, 2026 to Feb 9, 2026
- Discretionary RAUM · $352M to $526MJan 2, 2026 to Feb 9, 2026
- HNW RAUM · $396M to $572MJan 2, 2026 to Feb 9, 2026
- Individual RAUM · $130M to $23.1MJan 2, 2026 to Feb 9, 2026
- Non-discretionary RAUM · $175M to $69.3MJan 2, 2026 to Feb 9, 2026
- RAUM · $527M to $595MJan 2, 2026 to Feb 9, 2026
- Wrap assets (manager) · $527M to $0Jan 2, 2026 to Feb 9, 2026
- Business name · T•• J••• I••••••••• G•••• to P••••••••• W••••• M•••••••••Mar 26, 2025 to Jan 2, 2026
- Accounts · 1,150 to 250Dec 24, 2024 to Mar 26, 2025
- HNW clients · 140 to 107Dec 24, 2024 to Mar 26, 2025
- Individual clients · 118 to 156Dec 24, 2024 to Mar 26, 2025
- Employees · 7 to 6Dec 24, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Dec 24, 2024 to Mar 26, 2025
- Discretionary RAUM · $0 to $352MDec 24, 2024 to Mar 26, 2025
- HNW RAUM · $358M to $396MDec 24, 2024 to Mar 26, 2025
- Individual RAUM · $61.4M to $130MDec 24, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $419M to $175MDec 24, 2024 to Mar 26, 2025
- RAUM · $419M to $527MDec 24, 2024 to Mar 26, 2025
- Wrap assets (manager) · $0 to $527MDec 24, 2024 to Mar 26, 2025
- Accounts · 1,060 to 1,150Jan 19, 2024 to Feb 21, 2024
- HNW clients · 125 to 140Jan 19, 2024 to Feb 21, 2024
- Individual clients · 144 to 118Jan 19, 2024 to Feb 21, 2024
- Financial planning clients · 0 to 1-10Jan 19, 2024 to Feb 21, 2024
- HNW RAUM · $297M to $358MJan 19, 2024 to Feb 21, 2024
- Individual RAUM · $57.8M to $61.4MJan 19, 2024 to Feb 21, 2024
- Non-discretionary RAUM · $355M to $419MJan 19, 2024 to Feb 21, 2024
- RAUM · $355M to $419MJan 19, 2024 to Feb 21, 2024
- Employees · 8 to 7Jan 23, 2023 to Jul 18, 2023
- Accounts · 1,090 to 1,060Jun 30, 2022 to Jan 19, 2023
- Advisory employees · 4 to 2Jun 30, 2022 to Jan 19, 2023
- HNW clients · 154 to 125Jun 30, 2022 to Jan 19, 2023
- Individual clients · 123 to 144Jun 30, 2022 to Jan 19, 2023
- State-registered IARs · 4 to 2Jun 30, 2022 to Jan 19, 2023
- HNW RAUM · $442M to $297MJun 30, 2022 to Jan 19, 2023
- Individual RAUM · $49.0M to $57.8MJun 30, 2022 to Jan 19, 2023
- Non-discretionary RAUM · $491M to $355MJun 30, 2022 to Jan 19, 2023
- RAUM · $491M to $355MJun 30, 2022 to Jan 19, 2023
- Accounts · 995 to 1,090Jan 3, 2022 to Jan 24, 2022
Signals
6 dated events
- P••••••••• W••••• M••••••••• reported RAUM $526.5M, up 26% from $419.3M (2024-12-24 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- C•••••••• V•••••• (Chief Compliance Officer) no longer on Schedule A of P••••••••• W••••• M••••••••• (listed 2024-01-19, absent 2024-02-21)Feb 21, 2024 · Control person left · inference
- Gene Cassandra Junk (Chief Compliance Officer) no longer on Schedule A of P••••••••• W••••• M••••••••• (listed 2023-01-23, absent 2023-07-18)Jul 18, 2023 · Control person left · inference
- C•••••••• V•••••• (Chief Compliance Officer) appeared on Schedule A of P••••••••• W••••• M•••••••••Jul 18, 2023 · Control person joined · fact
- P••••••••• W••••• M••••••••• reported RAUM $354.9M, down 28% from $491.0M (2022-06-30 to 2023-01-19)Jan 19, 2023 · RAUM change · derived
- Richard Ivan Junk (Managing Member) no longer on Schedule A of P••••••••• W••••• M••••••••• (listed 2022-06-30, absent 2023-01-19)Jan 19, 2023 · Control person left · inference
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
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-584-8100reportedpublic record, Form ADV, Feb 9, 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
- $297Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026