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
A••••••• F•••••••• • T•• S••••••••• I•••
Latest filing Jan 20, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Oct 6, 1993
RAUM
$279M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$279M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$279M as of Jan 20, 2026
Mar 30, 2012$91.6M then
HNW client RAUM$236M as of Jan 20, 2026
Mar 26, 2018$82.7M then
State-registered IARs (5.B.3)1 as of Jan 20, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Jan 20, 2026
Mar 20, 20131 then
Private funds: no history
RAUM +8.8% over the last fiscal year+10% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jan 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $279MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 185derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $478,416derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $30.1M, 48 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$236M85%
- Individuals$41.7M15%
- Pension and profit-sharing plans$719,2370.3%
- Charitable organizations$605,1730.2%
- Corporations and businesses$59,0770.0%
- Individual clients
- 105reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 584reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.1M for 48 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J•••• B••••••Chartered Financial Consultant | New York, Ny | Sep 2, 2021 | 38 y | 1 |
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
- R••••• J•••• B•••••• from E•••••••• A•••••••• L••Sep 2, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• R•••••• J•••• · President/Chief Compliance Officercontrolsince 10/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 588 to 584Nov 20, 2025 to Jan 20, 2026
- HNW clients · 79 to 80Nov 20, 2025 to Jan 20, 2026
- Individual clients · 108 to 105Nov 20, 2025 to Jan 20, 2026
- Assets in custody · $35.6M to $30.1MNov 20, 2025 to Jan 20, 2026
- Other offices · 0 to 1Nov 20, 2025 to Jan 20, 2026
- Discretionary RAUM · $271M to $279MNov 20, 2025 to Jan 20, 2026
- HNW RAUM · $225M to $236MNov 20, 2025 to Jan 20, 2026
- Individual RAUM · $44.5M to $41.7MNov 20, 2025 to Jan 20, 2026
- Pension RAUM · $693,455 to $719,237Nov 20, 2025 to Jan 20, 2026
- RAUM · $271M to $279MNov 20, 2025 to Jan 20, 2026
- Accounts · 609 to 588Apr 22, 2025 to Nov 20, 2025
- Charity clients · unset to 6.0Apr 22, 2025 to Nov 20, 2025
- HNW clients · 69 to 79Apr 22, 2025 to Nov 20, 2025
- Individual clients · 121 to 108Apr 22, 2025 to Nov 20, 2025
- Assets in custody · $9.7M to $35.6MApr 22, 2025 to Nov 20, 2025
- Discretionary RAUM · $257M to $271MApr 22, 2025 to Nov 20, 2025
- HNW RAUM · $211M to $225MApr 22, 2025 to Nov 20, 2025
- Individual RAUM · $44.7M to $44.5MApr 22, 2025 to Nov 20, 2025
- Pension RAUM · $621,196 to $693,455Apr 22, 2025 to Nov 20, 2025
- RAUM · $257M to $271MApr 22, 2025 to Nov 20, 2025
- Accounts · 605 to 609Mar 21, 2024 to Apr 22, 2025
- HNW clients · 67 to 69Mar 21, 2024 to Apr 22, 2025
- Individual clients · 135 to 121Mar 21, 2024 to Apr 22, 2025
- Assets in custody · $2.2M to $9.7MMar 21, 2024 to Apr 22, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Apr 22, 2025
- Discretionary RAUM · $243M to $257MMar 21, 2024 to Apr 22, 2025
- HNW RAUM · $197M to $211MMar 21, 2024 to Apr 22, 2025
- Individual RAUM · $44.9M to $44.7MMar 21, 2024 to Apr 22, 2025
- Pension RAUM · $572,139 to $621,196Mar 21, 2024 to Apr 22, 2025
- RAUM · $243M to $257MMar 21, 2024 to Apr 22, 2025
- Accounts · 581 to 605Mar 17, 2023 to Mar 21, 2024
- Charity clients · 2.0 to unsetMar 17, 2023 to Mar 21, 2024
- HNW clients · 63 to 67Mar 17, 2023 to Mar 21, 2024
- Individual clients · 113 to 135Mar 17, 2023 to Mar 21, 2024
- Pension plan clients · 1.0 to unsetMar 17, 2023 to Mar 21, 2024
- Assets in custody · $2.3M to $2.2MMar 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $210M to $243MMar 17, 2023 to Mar 21, 2024
- HNW RAUM · $165M to $197MMar 17, 2023 to Mar 21, 2024
- Individual RAUM · $43.9M to $44.9MMar 17, 2023 to Mar 21, 2024
- Pension RAUM · $515,439 to $572,139Mar 17, 2023 to Mar 21, 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
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-315-0345reportedpublic record, Form ADV, Jan 20, 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
- $279Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026