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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• N•••••••• G••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 22, 2012 · 30 filings
SEC status approved since Apr 6, 1992
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$989M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.0B as of Mar 24, 2026
Mar 22, 2012$221M then
HNW client RAUM$969M as of Mar 24, 2026
Feb 21, 2018$372M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Mar 20, 20130 then
Employees (5.A)6 as of Mar 24, 2026
Mar 20, 20133 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $238M, 92 clientsreportedItem 9.A
- 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$969M96%
- Individuals$20.2M2.0%
- Pension and profit-sharing plans$10.0M1.0%
- Charitable organizations$7.5M0.7%
- Corporations and businesses$1.7M0.2%
- Individual clients
- 53reported
- HNW clients
- 199reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 677reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $238M for 92 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• L•••• R•• | New York, Ny | Jan 19, 2017 | 45 y | 0 |
| J•••••• F•••••• D•••••••••Chartered Financial Analyst | New York, Ny | Feb 14, 2021 | 14 y | 0 |
| J••••• R••• G••••• | New York, Ny | Feb 14, 2021 | 13 y | 0 |
| H•••• C• A•••• | New York, Ny | May 29, 2021 | 42 y | 0 |
| D••• E•• J••••• | New York, Ny | Jun 9, 2026 | 12 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••••• H••••• C• · Presidentcontrolsince 04/1986 · owns 75% or more
- G•••••• J•••••• R••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- R••• L••••• L•••• · Vice Presidentcontrolsince 10/1995 · 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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 632 to 677Nov 5, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6Nov 5, 2025 to Mar 24, 2026
- Corporate clients · 2 to 1Nov 5, 2025 to Mar 24, 2026
- HNW clients · 179 to 199Nov 5, 2025 to Mar 24, 2026
- Individual clients · 65 to 53Nov 5, 2025 to Mar 24, 2026
- Assets in custody · $180M to $238MNov 5, 2025 to Mar 24, 2026
- Employees · 5 to 6Nov 5, 2025 to Mar 24, 2026
- Discretionary RAUM · $872M to $1.0BNov 5, 2025 to Mar 24, 2026
- HNW RAUM · $832M to $969MNov 5, 2025 to Mar 24, 2026
- Individual RAUM · $23.9M to $20.2MNov 5, 2025 to Mar 24, 2026
- Pension RAUM · $8.6M to $10.0MNov 5, 2025 to Mar 24, 2026
- RAUM · $872M to $1.0BNov 5, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 13, 2025 to Nov 5, 2025
- RAUM · $718M to $872MMar 15, 2024 to Mar 13, 2025
- Accounts · 602 to 632Mar 15, 2024 to Mar 13, 2025
- HNW clients · 175 to 179Mar 15, 2024 to Mar 13, 2025
- Individual clients · 66 to 65Mar 15, 2024 to Mar 13, 2025
- Pension plan clients · 5 to 4Mar 15, 2024 to Mar 13, 2025
- Assets in custody · $128M to $180MMar 15, 2024 to Mar 13, 2025
- Discretionary RAUM · $718M to $872MMar 15, 2024 to Mar 13, 2025
- HNW RAUM · $683M to $832MMar 15, 2024 to Mar 13, 2025
- Individual RAUM · $24.2M to $23.9MMar 15, 2024 to Mar 13, 2025
- Pension RAUM · $7.0M to $8.6MMar 15, 2024 to Mar 13, 2025
- Accounts · 587 to 602Aug 31, 2023 to Mar 15, 2024
- HNW clients · 171 to 175Aug 31, 2023 to Mar 15, 2024
- Individual clients · 58 to 66Aug 31, 2023 to Mar 15, 2024
- Assets in custody · $104M to $128MAug 31, 2023 to Mar 15, 2024
- Financial planning clients · unset to 0Aug 31, 2023 to Mar 15, 2024
- Discretionary RAUM · $608M to $718MAug 31, 2023 to Mar 15, 2024
- HNW RAUM · $575M to $683MAug 31, 2023 to Mar 15, 2024
- Individual RAUM · $19.7M to $24.2MAug 31, 2023 to Mar 15, 2024
- Pension RAUM · $10.3M to $7.0MAug 31, 2023 to Mar 15, 2024
- RAUM · $608M to $718MAug 31, 2023 to Mar 15, 2024
- Accounts · 548 to 587Mar 17, 2022 to Mar 22, 2023
- Individual clients · 53 to 58Mar 17, 2022 to Mar 22, 2023
- Assets in custody · $96.6M to $104MMar 17, 2022 to Mar 22, 2023
- Discretionary RAUM · $713M to $608MMar 17, 2022 to Mar 22, 2023
- HNW RAUM · $673M to $575MMar 17, 2022 to Mar 22, 2023
- Individual RAUM · $23.7M to $19.7MMar 17, 2022 to Mar 22, 2023
- Pension RAUM · $12.3M to $10.3MMar 17, 2022 to Mar 22, 2023
Signals
1 dated events
- Rene Joshua Garcia (Chief Compliance Officer) appeared on Schedule A of T•• N•••••••• G••••• I•••Mar 17, 2022 · Control person joined · fact
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
- j••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-697-3835reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-883-9595reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- THEN••••••••GROUPINC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-883-9595reportedpublic record, Form ADV, Mar 24, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026