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•••• B••••• A•••••••
Legal name T•••• B••••• A•••••••• I•••
Latest filing Jan 23, 2026
First filing on the tape Nov 14, 2011 · 25 filings
SEC status approved since Oct 5, 2001
RAUM
$1.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$1.4B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$213M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.5B as of Jan 23, 2026
Mar 2, 2012$915M then
HNW client RAUM$1.2B as of Jan 23, 2026
Mar 21, 2018$691M then
State-registered IARs (5.B.3)6 as of Jan 23, 2026
Mar 19, 20134 then
Employees (5.A)14 as of Jan 23, 2026
Mar 19, 201318 then
Private funds2 as of Jan 23, 2026
May 13, 20252 then
RAUM +13% over the last fiscal year-7.1% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jan 23, 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
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $213MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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)
- 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$1.2B78%
- Individuals$198M13%
- Corporations and businesses$96.2M6.4%
- Pension and profit-sharing plans$14.1M0.9%
- Charitable organizations$13.5M0.9%
- Individual clients
- 375reported
- HNW clients
- 386reported
- Pension plan clients
- 11reported
- Charitable clients
- 9reported
- Accounts
- 805reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $914,147 managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• M•••••• M••••Chartered Financial Analyst | West Conshohocken, Pa | Dec 6, 2001 | 43 y | 0 |
| D••••• P•••••• R•••• | West Conshohocken, Pa | Oct 3, 2019 | 22 y | 3 |
| C••••••••• E••••• G••••• | West Conshohocken, Pa | Oct 25, 2019 | 34 y | 2 |
| C••••••••• M••••• C•••••Certified Financial Planner, Chartered Financial Analyst | West Conshohocken, Pa | Jun 26, 2020 | 26 y | 1 |
| M•••••• J••••• A•••• | West Conshohocken, Pa | Nov 2, 2020 | 28 y | 2 |
| S•••• M•••••• G••••••••Chartered Financial Analyst | West Conshohocken, Pa | Jul 30, 2024 | 13 y | 2 |
| T••••• G••••• B•••• | West Conshohocken, Pa | May 21, 2026 | 27 y | 4 |
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•••• T••• V••• to P••• V••••• I•••••••••May 19, 2023 · RIA to RIA
Joined, latest
- T••••• G••••• B•••• from D•• C•••••• M••••••••• L••May 21, 2026 · Other
- S•••• M•••••• G•••••••• from S••••••• C•••••• M••••••••• L••Jul 30, 2024 · Other
- M•••••• J••••• A•••• from B••• S••••••••• L••Nov 2, 2020 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• M••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 26, 2020 · Wirehouse to independent RIA
- C••••••••• E••••• G••••• from P••••••• P•••••••• L••Oct 25, 2019 · Other
- J•••• T••• V••• from V••••• F•••• A•••• M••••••••• L••Oct 24, 2019 · Other
- D••••• P•••••• R•••• from B••• S••••••••• L••Oct 3, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T• C••••••••• O••••••••• F•••• L• | $10.3M | 8 | Jan 23, 2026 | |
| T• T••••••••• S••••• F•••• L• | $9.5M | 4 | Jan 23, 2026 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• M••••• · Co-Chief Investment Officercontrolsince 11/2023 · owns 10% to 25%
- F••••••• N•••••••• R••••• · Chief Marketing Officer, Senior Relationship Manager, Director, Principal, Senior Portfolio Managercontrolsince 02/2024 · owns 5% to 10%
- G•••••• C••••••••• · Chief Executive Officer, Secretary, Director,controlsince 03/2021 · owns 10% to 25%
- K•••••• J••••••• •• · Chief Compliance Officer, Chief Financial Director, Portfolio Managercontrolsince 03/2004 · owns 10% to 25%
- M••••• J••••• M•••••• · Chairman Of The Board, Director, Principal, Senior Portfolio Managercontrolsince 09/2001 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| West Conshohocken, Pa · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jan 23, 2026C•••••• C••••••••• M••••• (CO-CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-03-15 and 2026-01-23peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 794 to 805May 13, 2025 to Jan 23, 2026
- Advisory activities · 5 to 4May 13, 2025 to Jan 23, 2026
- Corporate clients · 22 to 24May 13, 2025 to Jan 23, 2026
- HNW clients · 379 to 386May 13, 2025 to Jan 23, 2026
- Individual clients · 377 to 375May 13, 2025 to Jan 23, 2026
- Pension plan clients · 8 to 11May 13, 2025 to Jan 23, 2026
- Pooled vehicle clients · 0 to 2May 13, 2025 to Jan 23, 2026
- Financial planning clients · 26-50 to 101-250May 13, 2025 to Jan 23, 2026
- Discretionary RAUM · $1.3B to $1.5BMay 13, 2025 to Jan 23, 2026
- HNW RAUM · $1.0B to $1.2BMay 13, 2025 to Jan 23, 2026
- Individual RAUM · $189M to $198MMay 13, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $23.0M to $34.0MMay 13, 2025 to Jan 23, 2026
- Pension RAUM · $11.9M to $14.1MMay 13, 2025 to Jan 23, 2026
- RAUM · $1.3B to $1.5BMay 13, 2025 to Jan 23, 2026
- Wrap assets (manager) · $6.1M to $914,147May 13, 2025 to Jan 23, 2026
- Advisory activities · 4 to 5Mar 18, 2025 to May 13, 2025
- Assets in custody · unset to 0.0Mar 18, 2025 to May 13, 2025
- Custody of client assets · false to trueMar 18, 2025 to May 13, 2025
- Financial planning clients · 26-50 to 26-50Mar 18, 2025 to May 13, 2025
- Private funds · unset to 2Mar 18, 2025 to May 13, 2025
- Related adviser · false to trueMar 18, 2025 to May 13, 2025
- Accounts · 1,112 to 794Mar 15, 2024 to Mar 18, 2025
- Charity clients · 12 to 9Mar 15, 2024 to Mar 18, 2025
- Corporate clients · 25 to 22Mar 15, 2024 to Mar 18, 2025
- HNW clients · 560 to 379Mar 15, 2024 to Mar 18, 2025
- Individual clients · 500 to 377Mar 15, 2024 to Mar 18, 2025
- Pension plan clients · 15 to 8Mar 15, 2024 to Mar 18, 2025
- Discretionary RAUM · $1.8B to $1.3BMar 15, 2024 to Mar 18, 2025
- HNW RAUM · $1.5B to $1.0BMar 15, 2024 to Mar 18, 2025
- Individual RAUM · $239M to $189MMar 15, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $90.8M to $23.0MMar 15, 2024 to Mar 18, 2025
- Pension RAUM · $19.9M to $11.9MMar 15, 2024 to Mar 18, 2025
- RAUM · $1.9B to $1.3BMar 15, 2024 to Mar 18, 2025
- Wrap assets (manager) · $68.0M to $6.1MMar 15, 2024 to Mar 18, 2025
- Accounts · 1,193 to 1,112Nov 30, 2023 to Mar 15, 2024
- Advisory employees · 9 to 8Nov 30, 2023 to Mar 15, 2024
- Charity clients · 16 to 12Nov 30, 2023 to Mar 15, 2024
- Corporate clients · 30 to 25Nov 30, 2023 to Mar 15, 2024
- HNW clients · 614 to 560Nov 30, 2023 to Mar 15, 2024
- Individual clients · 518 to 500Nov 30, 2023 to Mar 15, 2024
Signals
10 dated events
- T•••• B••••• A••••••• reported RAUM $1.3B, down 29% from $1.9B (2024-03-15 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- Robert Nicholas Filippo (Chief Marketing Officer, Senior Relationship Manager) appeared on Schedule A of T•••• B••••• A•••••••Mar 15, 2024 · Control person joined · fact
- Ann Maris Ogg (Director) no longer on Schedule A of T•••• B••••• A••••••• (listed 2023-11-30, absent 2024-03-15)Mar 15, 2024 · Control person left · inference
- M••••• C••••••••• C••••• (Co-Chief Investment Officer) appeared on Schedule A of T•••• B••••• A•••••••Nov 30, 2023 · Control person joined · fact
- J•••• T••• V••• left T•••• B••••• A••••••• for P••• V••••• I••••••••• (registered 2023-07-12)May 19, 2023 · Advisor changed firm · fact
- Todd James Vogt (Principal, Portfolio Manager, Co-Chief Investment Officer) no longer on Schedule A of T•••• B••••• A••••••• (listed 2023-03-24, absent 2023-05-19)May 19, 2023 · Control person left · inference
- T•••• B••••• A••••••• reported RAUM $1.9B, up 57% from $1.2B (2020-11-05 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Eugene C••••••••• Gildea (Principal, Portfolio Manager, Chief Compliance Officer) appeared on Schedule A of T•••• B••••• A•••••••Mar 25, 2021 · Control person joined · fact
- Todd James Vogt (Principal, Portfolio Manager, Co-Chief Investment Officer) appeared on Schedule A of T•••• B••••• A•••••••Mar 25, 2021 · Control person joined · fact
- Francis Harold Scattergood (Shareholder) no longer on Schedule A of T•••• B••••• A••••••• (listed 2019-11-18, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
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
- jkachel@towerbridgeadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cimgrund@towerbridgeadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nfilippo@towerbridgeadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-260-2207reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-260-2200reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-260-2205reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/T••••-B•••••-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-260-2200reportedpublic record, Form ADV, Jan 23, 2026
- Contact form
- towerbridgeadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- towerbridgeadvisors.com/peoplereportedpublished 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
- $213Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026