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
T••••• C•••••• M••••••••• I•••
Legal name T••••• C•••••• M••••••••• C•••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Apr 24, 1991
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$244M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$280M as of Mar 30, 2026
Mar 30, 2012$81.1M then
HNW client RAUM$236M as of Mar 30, 2026
Mar 31, 2018$122M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Feb 8, 20132 then
Employees (5.A)5 as of Mar 30, 2026
Feb 8, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $69.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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
- -4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M85%
- Corporations and businesses$20.9M7.5%
- Pension and profit-sharing plans$15.1M5.4%
- Individuals$7.2M2.6%
- Individual clients
- 12reported
- HNW clients
- 72reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 93reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• G• S••••Chartered Financial Analyst | Woodcliff Lake, Nj | Nov 22, 2013 | 40 y | 0 |
| L••••• L••• W•••Chartered Financial Analyst | Woodcliff Lake, Nj | Nov 22, 2013 | 36 y | 0 |
| A••••• A•••••• | Woodcliff Lake, Nj | Aug 23, 2017 | 28 y | 0 |
| W•••••• C••• | Woodcliff Lake, Nj | Oct 25, 2022 | 11 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
- S••••• J•••• F••• · Board Secretarycontrolsince 03/1991 · owns 50% to 75%
- S••••• K•••• G• · President/Chief Investment Officercontrolsince 03/1991 · owns 10% to 25%
- W•••• L•••••• L••• · Managing Directorcontrolsince 01/2007 · owns 25% to 50%
- Y••••• P•••••• · Chief Compliance Officersince 02/2004 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Woodcliff Lake, Nj · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 96 to 93Mar 31, 2025 to Mar 30, 2026
- HNW clients · 74 to 72Mar 31, 2025 to Mar 30, 2026
- Individual clients · 14 to 12Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $247M to $280MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $207M to $236MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $8.6M to $7.2MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $13.1M to $15.1MMar 31, 2025 to Mar 30, 2026
- RAUM · $247M to $280MMar 31, 2025 to Mar 30, 2026
- Accounts · 98 to 96Apr 1, 2024 to Mar 31, 2025
- HNW clients · 72 to 74Apr 1, 2024 to Mar 31, 2025
- Individual clients · 15 to 14Apr 1, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $214M to $247MApr 1, 2024 to Mar 31, 2025
- HNW RAUM · $182M to $207MApr 1, 2024 to Mar 31, 2025
- Individual RAUM · $8.5M to $8.6MApr 1, 2024 to Mar 31, 2025
- Pension RAUM · $11.3M to $13.1MApr 1, 2024 to Mar 31, 2025
- RAUM · $214M to $247MApr 1, 2024 to Mar 31, 2025
- HNW clients · 73 to 72Apr 1, 2023 to Apr 1, 2024
- Individual clients · 16 to 15Apr 1, 2023 to Apr 1, 2024
- Discretionary RAUM · $190M to $214MApr 1, 2023 to Apr 1, 2024
- HNW RAUM · $162M to $182MApr 1, 2023 to Apr 1, 2024
- Individual RAUM · $6.1M to $8.5MApr 1, 2023 to Apr 1, 2024
- Pension RAUM · $9.2M to $11.3MApr 1, 2023 to Apr 1, 2024
- RAUM · $190M to $214MApr 1, 2023 to Apr 1, 2024
- Accounts · 219 to 98Jun 29, 2022 to Apr 1, 2023
- Corporate clients · 4 to 5Jun 29, 2022 to Apr 1, 2023
- HNW clients · 52 to 73Jun 29, 2022 to Apr 1, 2023
- Individual clients · 18 to 16Jun 29, 2022 to Apr 1, 2023
- State-registered IARs · 3 to 4Jun 29, 2022 to Apr 1, 2023
- Discretionary RAUM · $236M to $190MJun 29, 2022 to Apr 1, 2023
- HNW RAUM · $204M to $162MJun 29, 2022 to Apr 1, 2023
- Individual RAUM · $10.5M to $6.1MJun 29, 2022 to Apr 1, 2023
- Non-discretionary RAUM · $2.8M to $0Jun 29, 2022 to Apr 1, 2023
- Pension RAUM · $12.9M to $9.2MJun 29, 2022 to Apr 1, 2023
- RAUM · $239M to $190MJun 29, 2022 to Apr 1, 2023
- Accounts · 204 to 219Mar 31, 2021 to Mar 31, 2022
- Corporate clients · 5 to 4Mar 31, 2021 to Mar 31, 2022
- HNW clients · 50 to 52Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $185M to $236MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $159M to $204MMar 31, 2021 to Mar 31, 2022
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
- Business email
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 201-822-0028reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- T•••••CAPITALMGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 201-822-0028reportedpublic record, Form ADV, Mar 30, 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
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026