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•• W••••• C•••••••••
Legal name C••••••••• P••••••• A••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 14, 2012 · 5 filings
SEC status approved since Mar 20, 2025
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$137M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$138M as of Mar 23, 2026
Mar 14, 2012$41.1M then
HNW client RAUM$115M as of Mar 23, 2026
Apr 9, 2025$81.4M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 14, 20120 then
Employees (5.A)4 as of Mar 23, 2026
Apr 9, 20254 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $46.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $385,629derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M83%
- Individuals$21.4M15%
- Charitable organizations$1.8M1.3%
- Individual clients
- 63reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 359reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J•• H•••••••Certified Financial Planner | Lebanon, Nh | Apr 21, 1995 | 43 y | 0 |
| D••••• C•••••• J••••••Certified Financial Planner | Lebanon, Nh | Dec 16, 2024 | 15 y | 3 |
| S••••• R••••• B•••Certified Financial Planner | Livermore, Ca | Mar 2, 2026 | 25 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
- D••••• C•••••• J•••••• from R•••••• F••••••••Dec 16, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J•••• J•• · President And Chief Compliance Officercontrolsince 09/1994 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• A• B••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lebanon, Nh · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Livermore, CA
- Springfield, MO
What changed
consecutive filings, newest first
- Accounts · 369 to 359Apr 9, 2025 to Mar 23, 2026
- Charity clients · 4 to 3Apr 9, 2025 to Mar 23, 2026
- HNW clients · 36 to 58Apr 9, 2025 to Mar 23, 2026
- Individual clients · 76 to 63Apr 9, 2025 to Mar 23, 2026
- Discretionary RAUM · $117M to $138MApr 9, 2025 to Mar 23, 2026
- HNW RAUM · $81.4M to $115MApr 9, 2025 to Mar 23, 2026
- Individual RAUM · $34.8M to $21.4MApr 9, 2025 to Mar 23, 2026
- RAUM · $117M to $138MApr 9, 2025 to Mar 23, 2026
- Accounts · 186 to 369Jun 21, 2012 to Apr 9, 2025
- Advisory employees · unset to 3.0Jun 21, 2012 to Apr 9, 2025
- Advisory activities · 3 to 2Jun 21, 2012 to Apr 9, 2025
- Charity clients · unset to 4.0Jun 21, 2012 to Apr 9, 2025
- HNW clients · unset to 36.0Jun 21, 2012 to Apr 9, 2025
- Individual clients · unset to 76.0Jun 21, 2012 to Apr 9, 2025
- Employees · unset to 4.0Jun 21, 2012 to Apr 9, 2025
- Financial planning clients · 11-25 to 11-25Jun 21, 2012 to Apr 9, 2025
- State-registered IARs · 0 to 3Jun 21, 2012 to Apr 9, 2025
- Other offices · unset to 3.0Jun 21, 2012 to Apr 9, 2025
- Discretionary RAUM · $14.4M to $117MJun 21, 2012 to Apr 9, 2025
- HNW RAUM · unset to 81360537.0Jun 21, 2012 to Apr 9, 2025
- Individual RAUM · unset to 34810127.0Jun 21, 2012 to Apr 9, 2025
- Non-discretionary RAUM · $26.7M to $0Jun 21, 2012 to Apr 9, 2025
- RAUM · $41.1M to $117MJun 21, 2012 to Apr 9, 2025
- Related insurance company · true to falseJun 21, 2012 to Apr 9, 2025
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
- info@wealthconservatory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-472-1844reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- WEALTHC•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-472-1844reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- wealthconservatory.com/our-team-view-allreportedpublished 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
- $46.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026