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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Former SEC-registered adviser
T••••• S••••• W••••• M••••••••• L••
Latest filing Feb 9, 2018
First filing on the tape Mar 12, 2012 · 13 filings
RAUM
$410M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$410M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$410M as of Feb 9, 2018
Mar 12, 2012$262M then
HNW client RAUM: $400M
State-registered IARs (5.B.3)6 as of Feb 9, 2018
Mar 15, 20137 then
Employees (5.A)25 as of Feb 9, 2018
Mar 15, 201317 then
Private funds: no history
RAUM +19% over the last fiscal year+5.9% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Feb 9, 2018; every figure names its basis
- RAUM per advisor
- $68.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $508,043derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- 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$400M97%
- Individuals$10.6M2.6%
- Individual clients
- 44reported
- HNW clients
- 108reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 808reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- S•••• J••• P•••••• to M••••• G••••• A••••••• I•••Nov 1, 2018 · RIA to RIA
- B•••• M•••••• P••••••••• to M••••• G••••• A••••••• I•••Nov 1, 2018 · RIA to RIA
- B•••• B•••••••• to M••••• G••••• A••••••• I•••Nov 1, 2018 · RIA to RIA
- G•••••• H•••• to M••••• S••••••Sep 3, 2014 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M••••• G••••• A••••••• I•••Nov 1, 2018 · Princeton, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• B••••• M•••••• · Executive Vice Presidentcontrolsince 01/2008 · owns 10% to 25%
- W•••••• R••••••• W•••••• · Executive Vice President, Chief Operating Officer And Chief Compliance Officercontrolsince 01/2012 · owns 5% to 10%
- Z•••••• A•••••• J•••• · President And Chief Executive Officercontrolsince 12/1982 · owns 10% to 25%
- Z•••••• A•••••• J•••• · Trusteecontrolsince 12/2000 · owns F of Z••••• F••••• I••••••••• T••••
- Z•••••• A•••••• J•••• · Ownercontrolsince 12/1982 · owns F of T•• T•••• G••••
- Z•••••• A•••••• J•••• · Trusteecontrolsince 04/2004 · owns F of T•• P••• D•• A••• T••••
Entity owners
- T•• P••• D•• A••• T•••• · Ownerdirect · owns 10% to 25%
- T•• T•••• G•••• · Ownerdirect · owns 10% to 25%
- Z••••• F••••• I••••••••• T•••• · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- T••••• S••••• C•••••••• P••••• A••••••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 750 to 808Sep 15, 2017 to Feb 9, 2018
- HNW clients · unset to 108.0Sep 15, 2017 to Feb 9, 2018
- Individual clients · unset to 44.0Sep 15, 2017 to Feb 9, 2018
- Employees · 24 to 25Sep 15, 2017 to Feb 9, 2018
- Other offices · unset to 1.0Sep 15, 2017 to Feb 9, 2018
- Discretionary RAUM · $327M to $392MSep 15, 2017 to Feb 9, 2018
- HNW RAUM · unset to 399924975.0Sep 15, 2017 to Feb 9, 2018
- Individual RAUM · unset to 10574087.0Sep 15, 2017 to Feb 9, 2018
- Non-discretionary RAUM · $17.8M to $18.1MSep 15, 2017 to Feb 9, 2018
- RAUM · $344M to $410MSep 15, 2017 to Feb 9, 2018
- Accounts · 668 to 750Mar 22, 2016 to Mar 23, 2017
- Advisory employees · 10 to 11Mar 22, 2016 to Mar 23, 2017
- Financial planning clients · 51-100 to 101-250Mar 22, 2016 to Mar 23, 2017
- Discretionary RAUM · $297M to $327MMar 22, 2016 to Mar 23, 2017
- Non-discretionary RAUM · $13.7M to $17.8MMar 22, 2016 to Mar 23, 2017
- RAUM · $311M to $344MMar 22, 2016 to Mar 23, 2017
- Accounts · 801 to 668Sep 9, 2015 to Mar 22, 2016
- Advisory employees · 6 to 10Sep 9, 2015 to Mar 22, 2016
- Employees · 22 to 24Sep 9, 2015 to Mar 22, 2016
- Discretionary RAUM · $333M to $297MSep 9, 2015 to Mar 22, 2016
- Non-discretionary RAUM · $12.8M to $13.7MSep 9, 2015 to Mar 22, 2016
- RAUM · $345M to $311MSep 9, 2015 to Mar 22, 2016
- Accounts · 763 to 801Mar 6, 2014 to Mar 20, 2015
- Advisory employees · 7 to 6Mar 6, 2014 to Mar 20, 2015
- Employees · 19 to 22Mar 6, 2014 to Mar 20, 2015
- State-registered IARs · 7 to 6Mar 6, 2014 to Mar 20, 2015
- Discretionary RAUM · $337M to $333MMar 6, 2014 to Mar 20, 2015
- Non-discretionary RAUM · $13.8M to $12.8MMar 6, 2014 to Mar 20, 2015
- RAUM · $351M to $345MMar 6, 2014 to Mar 20, 2015
- Related insurance company · false to trueMar 6, 2014 to Mar 20, 2015
- Accounts · 757 to 763Sep 3, 2013 to Mar 6, 2014
- Advisory activities · 5 to 4Sep 3, 2013 to Mar 6, 2014
- Employees · 17 to 19Sep 3, 2013 to Mar 6, 2014
- Financial planning clients · 101-250 to 51-100Sep 3, 2013 to Mar 6, 2014
- Discretionary RAUM · $283M to $337MSep 3, 2013 to Mar 6, 2014
- Non-discretionary RAUM · $11.6M to $13.8MSep 3, 2013 to Mar 6, 2014
- RAUM · $295M to $351MSep 3, 2013 to Mar 6, 2014
- Accounts · 861 to 757Mar 12, 2012 to Mar 15, 2013
- Advisory employees · unset to 7.0Mar 12, 2012 to Mar 15, 2013
- Advisory activities · 4 to 5Mar 12, 2012 to Mar 15, 2013
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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026