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•••••••• C•••••• M••••••••• L••
Latest filing Mar 25, 2019
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$612M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
85%
$518M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$612M as of Mar 25, 2019
Mar 30, 2012$422M then
HNW client RAUM$466M as of Mar 25, 2019
Mar 29, 2018$500M then
State-registered IARs (5.B.3)0 as of Mar 25, 2019
Mar 27, 20130 then
Employees (5.A)20 as of Mar 25, 2019
Mar 27, 201314 then
Private funds: no history
RAUM -6.7% over the last fiscal year+5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $114M, 85 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$466M76%
- State and municipal entities$67.8M11%
- Individuals$52.1M8.5%
- Pension and profit-sharing plans$14.3M2.3%
- Charitable organizations$6.8M1.1%
- Corporations and businesses$4.9M0.8%
- Individual clients
- 140reported
- HNW clients
- 163reported
- Pension plan clients
- 8reported
- Charitable clients
- 6reported
- Accounts
- 322reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $8.1M managedreported
- Custody of client assets
- $114M for 85 clientsreported
- Compensation
- % of AUMreported
- 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
- B••••••• C••• H••••••••• to T•••••••• A•••• M••••••••• L••Dec 10, 2019 · RIA to a newly registered adviser
- M•••••• C••••• P•••••• to C••••• W••••• A••••••• L••Dec 10, 2019 · Other
- F•••• M•••••• F••• to T•••••••• A•••• M••••••••• L••Dec 10, 2019 · RIA to a newly registered adviser
- C•••• J••• W•••••••• to T•••••••• A•••• M••••••••• L••Dec 10, 2019 · RIA to a newly registered adviser
Joined, latest
- F•••• M•••••• F••• from C••••• W••••• A••••••• L••Feb 4, 2016 · Other
- C•••• J••• W•••••••• from C••••• W••••• A••••••• L••Jun 8, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for T•••••••• A•••• M••••••••• L••Dec 10, 2019 · Summit, Nj · Firm absorbed
- 2 joined from C••••• W••••• A••••••• L••Jan 5, 2016 · Summit, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• B•••••••• C••• · Member-Managing Directorcontrolsince 10/2000 · owns 25% to 50%
- P••••••• M••••••• C••••• · Member-Managing Director-Chief Compliance Officercontrolsince 11/2000 · owns 25% to 50%
- T••••••••• C••••••••• J••••• · Member-Managing Directorcontrolsince 10/2000 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list T•••••••• C•••••• M••••••••• L•• as a related person
- 147557 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 326 to 322Mar 29, 2018 to Mar 25, 2019
- Advisory employees · 13 to 10Mar 29, 2018 to Mar 25, 2019
- HNW clients · 158 to 163Mar 29, 2018 to Mar 25, 2019
- Individual clients · 153 to 140Mar 29, 2018 to Mar 25, 2019
- Pension plan clients · unset to 8.0Mar 29, 2018 to Mar 25, 2019
- Assets in custody · $98.9M to $114MMar 29, 2018 to Mar 25, 2019
- Discretionary RAUM · $635M to $596MMar 29, 2018 to Mar 25, 2019
- HNW RAUM · $500M to $466MMar 29, 2018 to Mar 25, 2019
- Individual RAUM · $59.0M to $52.1MMar 29, 2018 to Mar 25, 2019
- Non-discretionary RAUM · $21.0M to $15.6MMar 29, 2018 to Mar 25, 2019
- Pension RAUM · $17.1M to $14.3MMar 29, 2018 to Mar 25, 2019
- RAUM · $656M to $612MMar 29, 2018 to Mar 25, 2019
- Wrap assets (manager) · $15.5M to $8.1MMar 29, 2018 to Mar 25, 2019
- Accounts · 802 to 326Mar 30, 2017 to Mar 29, 2018
- Charity clients · unset to 6.0Mar 30, 2017 to Mar 29, 2018
- HNW clients · unset to 158.0Mar 30, 2017 to Mar 29, 2018
- Individual clients · unset to 153.0Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Assets in custody · $15.9M to $98.9MMar 30, 2017 to Mar 29, 2018
- Financial planning clients · 26-50 to 51-100Mar 30, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $517M to $635MMar 30, 2017 to Mar 29, 2018
- HNW RAUM · unset to 499531219.0Mar 30, 2017 to Mar 29, 2018
- Individual RAUM · unset to 59012456.0Mar 30, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $17.8M to $21.0MMar 30, 2017 to Mar 29, 2018
- Pension RAUM · unset to 17096987.0Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $535M to $656MMar 30, 2017 to Mar 29, 2018
- Wrap assets (manager) · unset to 15521865.0Mar 30, 2017 to Mar 29, 2018
- Wrap assets (sponsor) · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Accounts · 783 to 802Mar 29, 2016 to Mar 30, 2017
- Assets in custody · $31.2M to $15.9MMar 29, 2016 to Mar 30, 2017
- Employees · 19 to 20Mar 29, 2016 to Mar 30, 2017
- Discretionary RAUM · $509M to $517MMar 29, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $19.4M to $17.8MMar 29, 2016 to Mar 30, 2017
- RAUM · $528M to $535MMar 29, 2016 to Mar 30, 2017
- Accounts · 556 to 783Mar 30, 2015 to Mar 29, 2016
- Advisory employees · 9 to 13Mar 30, 2015 to Mar 29, 2016
- Advisory activities · 3 to 4Mar 30, 2015 to Mar 29, 2016
- Assets in custody · $29.3M to $31.2MMar 30, 2015 to Mar 29, 2016
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