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••••• F•••••••• G•••• I••
Latest filing Aug 28, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Aug 26, 2005
RAUM
$751M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
88%
$660M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$93.8M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$751M as of Aug 28, 2026
Mar 28, 2012$206M then
HNW client RAUM$514M as of Aug 28, 2026
Mar 20, 2018$282M then
State-registered IARs (5.B.3)7 as of Aug 28, 2026
Mar 28, 20135 then
Employees (5.A)9 as of Aug 28, 2026
Mar 28, 201311 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 7 to 7offices 2 to 3
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $93.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $427,664derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $14.5MreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$514M68%
- Individuals$146M19%
- Pension and profit-sharing plans$72.9M9.7%
- Corporations and businesses$17.4M2.3%
- Charitable organizations$743,0760.1%
- Individual clients
- 230reported
- HNW clients
- 180reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 1,755reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $14.5M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•• T••••••• | Whitehouse Station, Nj | Aug 25, 2005 | 38 y | 1 |
| M•••••• F•••••• M••••••Certified Financial Planner | Whitehouse Station, Nj | Aug 25, 2005 | 38 y | 1 |
| J••• T••••• P•••••Certified Financial Planner, Chartered Financial Analyst | New Providence, Nj | Mar 26, 2013 | 28 y | 1 |
| R••••• T•••••Certified Financial Planner | New Providence, Nj | Jun 10, 2014 | 38 y | 3 |
| R••••• S•••• T•••••Certified Financial Planner | New Providence, Nj | Sep 21, 2017 | 11 y | 0 |
| A•••••• P• L•••Certified Financial Planner | New Providence, Nj | Feb 28, 2022 | 16 y | 0 |
| E••• D••••• T•••••Certified Financial Planner | New Providence, Nj | Mar 8, 2022 | 12 y | 1 |
| J••••• F• L••••Certified Financial Planner | West Orange, Nj | Jan 1, 2026 | 37 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••• R••••• M••••• to W••••••• F•••••••• A•••••••• I•••Nov 17, 2011 · Other
- D•••••• R••••• B••••• to M••• S••••• F•••••••• S••••••••• L••May 2, 2011 · Other
Joined, latest
- J••••• F• L•••• from C•••••• G•••• • C• I••Jan 1, 2026 · Other
- R••••• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 10, 2014 · Other
- J••• T••••• P••••• from R•••••••••Mar 26, 2013 · Other
- L•• T••••••• from W••••• S••••• S••••••••• I•••Aug 25, 2005 · Other
- M•••••• F•••••• M•••••• from W••••• S••••• S••••••••• I•••Aug 25, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• R••••• · President/Chief Compliance Officercontrolsince 08/1994 · 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 |
|---|---|---|---|---|---|
| New Providence, Nj · principal | 8 | 1 | 0 | ||
| Whitehouse Station, Nj | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Whitehouse Station, NJ2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,698 to 1,755Aug 29, 2025 to Feb 24, 2026
- HNW clients · 176 to 180Aug 29, 2025 to Feb 24, 2026
- Individual clients · 236 to 230Aug 29, 2025 to Feb 24, 2026
- Pension plan clients · 23 to 24Aug 29, 2025 to Feb 24, 2026
- Discretionary RAUM · $409M to $489MAug 29, 2025 to Feb 24, 2026
- HNW RAUM · $439M to $514MAug 29, 2025 to Feb 24, 2026
- Individual RAUM · $126M to $146MAug 29, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $231M to $261MAug 29, 2025 to Feb 24, 2026
- Pension RAUM · $59.6M to $72.9MAug 29, 2025 to Feb 24, 2026
- RAUM · $640M to $751MAug 29, 2025 to Feb 24, 2026
- Wrap assets (sponsor) · $12.6M to $14.5MAug 29, 2025 to Feb 24, 2026
- Other offices · 2 to 3Mar 19, 2025 to Aug 29, 2025
- Accounts · 1,664 to 1,698Mar 11, 2024 to Mar 19, 2025
- Advisory employees · 8 to 7Mar 11, 2024 to Mar 19, 2025
- Corporate clients · unset to 5.0Mar 11, 2024 to Mar 19, 2025
- HNW clients · 170 to 176Mar 11, 2024 to Mar 19, 2025
- Individual clients · 229 to 236Mar 11, 2024 to Mar 19, 2025
- Pension plan clients · 21 to 23Mar 11, 2024 to Mar 19, 2025
- Employees · 10 to 9Mar 11, 2024 to Mar 19, 2025
- Financial planning clients · 251-500 to 251-500Mar 11, 2024 to Mar 19, 2025
- State-registered IARs · 8 to 7Mar 11, 2024 to Mar 19, 2025
- Other offices · 3 to 2Mar 11, 2024 to Mar 19, 2025
- Discretionary RAUM · $363M to $409MMar 11, 2024 to Mar 19, 2025
- HNW RAUM · $404M to $439MMar 11, 2024 to Mar 19, 2025
- Individual RAUM · $111M to $126MMar 11, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $217M to $231MMar 11, 2024 to Mar 19, 2025
- Pension RAUM · $50.7M to $59.6MMar 11, 2024 to Mar 19, 2025
- RAUM · $580M to $640MMar 11, 2024 to Mar 19, 2025
- Wrap assets (sponsor) · $11.0M to $12.6MMar 11, 2024 to Mar 19, 2025
- Accounts · 1,642 to 1,664Oct 4, 2023 to Mar 11, 2024
- HNW clients · 171 to 170Oct 4, 2023 to Mar 11, 2024
- Individual clients · 233 to 229Oct 4, 2023 to Mar 11, 2024
- Pension plan clients · 22 to 21Oct 4, 2023 to Mar 11, 2024
- Discretionary RAUM · $311M to $363MOct 4, 2023 to Mar 11, 2024
- HNW RAUM · $354M to $404MOct 4, 2023 to Mar 11, 2024
- Individual RAUM · $97.6M to $111MOct 4, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $193M to $217MOct 4, 2023 to Mar 11, 2024
- Pension RAUM · $43.3M to $50.7MOct 4, 2023 to Mar 11, 2024
- RAUM · $504M to $580MOct 4, 2023 to Mar 11, 2024
- Related insurance company · false to trueOct 4, 2023 to Mar 11, 2024
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
- requests@tropeanomcgrady.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 908-292-1070reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 908-534-5043reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- tropeanomcgrady.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-561-6203reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- tropeanomcgrady.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $93.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026