DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•••• N••• A•••• M••••••••• L••
Latest filing May 4, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since May 28, 1998
RAUM
$220M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$220M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$220M as of May 4, 2026
Mar 30, 2012$107M then
HNW client RAUM$217M as of May 4, 2026
Mar 30, 2018$117M then
State-registered IARs (5.B.3)2 as of May 4, 2026
Mar 30, 20120 then
Employees (5.A)2 as of May 4, 2026
Apr 3, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 0 to 2
Practice profile
derived from the filing of May 4, 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
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Custody
- $14.5M, 6 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M98%
- Individuals$3.6M1.6%
- Individual clients
- 11reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 101reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.5M for 6 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| D••••• B••••••••• | New York, Ny | Aug 11, 2020 | 33 y | 0 |
| P•••• M•••• P••••• | New York, Ny | Sep 6, 2021 | 38 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
- P•••••• P••••• M•••• · Membercontrolsince 05/1998 · owns 75% or more
- B••••••••• D•••••• K••• · Member/Chief Compliance Officersince 10/2004 · owns 10% to 25%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sparta, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 125 to 101Nov 7, 2025 to Mar 27, 2026
- HNW clients · 55 to 58Nov 7, 2025 to Mar 27, 2026
- Individual clients · 13 to 11Nov 7, 2025 to Mar 27, 2026
- Assets in custody · $13.1M to $14.5MNov 7, 2025 to Mar 27, 2026
- Employees · 3 to 2Nov 7, 2025 to Mar 27, 2026
- State-registered IARs · 0 to 2Nov 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $174M to $188MNov 7, 2025 to Mar 27, 2026
- HNW RAUM · $192M to $217MNov 7, 2025 to Mar 27, 2026
- Individual RAUM · $3.5M to $3.6MNov 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $21.6M to $31.9MNov 7, 2025 to Mar 27, 2026
- RAUM · $195M to $220MNov 7, 2025 to Mar 27, 2026
- Accounts · 145 to 125May 23, 2024 to Mar 12, 2025
- HNW clients · 49 to 55May 23, 2024 to Mar 12, 2025
- Individual clients · 16 to 13May 23, 2024 to Mar 12, 2025
- Assets in custody · $11.4M to $13.1MMay 23, 2024 to Mar 12, 2025
- Financial planning clients · unset to May 23, 2024 to Mar 12, 2025
- Discretionary RAUM · $170M to $174MMay 23, 2024 to Mar 12, 2025
- HNW RAUM · $166M to $192MMay 23, 2024 to Mar 12, 2025
- Individual RAUM · $5.1M to $3.5MMay 23, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $1.3M to $21.6MMay 23, 2024 to Mar 12, 2025
- RAUM · $171M to $195MMay 23, 2024 to Mar 12, 2025
- Accounts · 111 to 145Mar 6, 2023 to Mar 26, 2024
- HNW clients · 53 to 49Mar 6, 2023 to Mar 26, 2024
- Individual clients · 14 to 16Mar 6, 2023 to Mar 26, 2024
- Assets in custody · $9.8M to $11.4MMar 6, 2023 to Mar 26, 2024
- Discretionary RAUM · $146M to $170MMar 6, 2023 to Mar 26, 2024
- HNW RAUM · $140M to $166MMar 6, 2023 to Mar 26, 2024
- Individual RAUM · $6.8M to $5.1MMar 6, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.4M to $1.3MMar 6, 2023 to Mar 26, 2024
- RAUM · $147M to $171MMar 6, 2023 to Mar 26, 2024
- Accounts · 110 to 111Mar 25, 2022 to Mar 6, 2023
- HNW clients · 49 to 53Mar 25, 2022 to Mar 6, 2023
- Individual clients · 13 to 14Mar 25, 2022 to Mar 6, 2023
- Pension plan clients · 1 to 0Mar 25, 2022 to Mar 6, 2023
- Assets in custody · $12.8M to $9.8MMar 25, 2022 to Mar 6, 2023
- Discretionary RAUM · $185M to $146MMar 25, 2022 to Mar 6, 2023
- HNW RAUM · $175M to $140MMar 25, 2022 to Mar 6, 2023
- Individual RAUM · $8.1M to $6.8MMar 25, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $890,735 to $1.4MMar 25, 2022 to Mar 6, 2023
- Pension RAUM · $2.1M to $0Mar 25, 2022 to Mar 6, 2023
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
- Website
- T••••N•••USA.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-355-1234reportedpublic record, Form ADV, May 4, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026