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
F•••••••• A•••••• N••••••• I•••
Legal name T•••••• J••• ••••
Latest filing Feb 16, 2026
First filing on the tape Jun 13, 2014 · 16 filings
SEC status approved since Jun 26, 2014
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$135M as of Feb 16, 2026
Jan 21, 2015$39.9M then
HNW client RAUM$90.0M as of Feb 16, 2026
Feb 7, 2018$34.0M then
State-registered IARs (5.B.3)2 as of Feb 16, 2026
Jan 21, 20152 then
Employees (5.A)4 as of Feb 16, 2026
Jan 21, 20155 then
Private funds: no history
RAUM -7.5% over the last fiscal year+0.0% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 16, 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
- $45.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $428,571derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.0M67%
- Individuals$45.0M33%
- Individual clients
- 111reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 315reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S••••••••Certified Financial Planner | Farmingdale, Ny | Jun 28, 2021 | 11 y | 0 |
| J••• N•• T••••• | Farmingdale, Ny | Jul 29, 2021 | 37 y | 0 |
| L••••• A• B••••Certified Financial Planner | Farmingdale, Ny | Aug 9, 2021 | 18 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
- T•••••• J•••• N•• · Sole Proprietorcontrolsince 06/1992 · owns 75% or more
- D•••••••• S••••• · Chief Compliance Officersince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
- F•••••••• A•••••• N••••••• I•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Farmingdale, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 394 to 315Feb 17, 2025 to Feb 16, 2026
- Advisory employees · 3 to 2Feb 17, 2025 to Feb 16, 2026
- HNW clients · 52 to 47Feb 17, 2025 to Feb 16, 2026
- Individual clients · 124 to 111Feb 17, 2025 to Feb 16, 2026
- Employees · 5 to 4Feb 17, 2025 to Feb 16, 2026
- State-registered IARs · 3 to 2Feb 17, 2025 to Feb 16, 2026
- Discretionary RAUM · $146M to $135MFeb 17, 2025 to Feb 16, 2026
- HNW RAUM · $96.0M to $90.0MFeb 17, 2025 to Feb 16, 2026
- Individual RAUM · $50.0M to $45.0MFeb 17, 2025 to Feb 16, 2026
- RAUM · $146M to $135MFeb 17, 2025 to Feb 16, 2026
- Accounts · 392 to 394Feb 21, 2024 to Feb 17, 2025
- HNW clients · 51 to 52Feb 21, 2024 to Feb 17, 2025
- Individual clients · 133 to 124Feb 21, 2024 to Feb 17, 2025
- Financial planning clients · 0 to 0Feb 21, 2024 to Feb 17, 2025
- Discretionary RAUM · $140M to $146MFeb 21, 2024 to Feb 17, 2025
- HNW RAUM · $94.0M to $96.0MFeb 21, 2024 to Feb 17, 2025
- Individual RAUM · $46.0M to $50.0MFeb 21, 2024 to Feb 17, 2025
- RAUM · $140M to $146MFeb 21, 2024 to Feb 17, 2025
- Accounts · 396 to 392Feb 8, 2023 to Feb 21, 2024
- HNW clients · 41 to 51Feb 8, 2023 to Feb 21, 2024
- Individual clients · 145 to 133Feb 8, 2023 to Feb 21, 2024
- Discretionary RAUM · $135M to $140MFeb 8, 2023 to Feb 21, 2024
- HNW RAUM · $69.0M to $94.0MFeb 8, 2023 to Feb 21, 2024
- Individual RAUM · $66.0M to $46.0MFeb 8, 2023 to Feb 21, 2024
- RAUM · $135M to $140MFeb 8, 2023 to Feb 21, 2024
- HNW RAUM · $74.0M to $69.0MFeb 22, 2022 to Feb 8, 2023
- Individual RAUM · $56.0M to $66.0MFeb 22, 2022 to Feb 8, 2023
- Pension RAUM · unset to 0.0Feb 22, 2022 to Feb 8, 2023
- Pooled vehicle RAUM · unset to 0.0Feb 22, 2022 to Feb 8, 2023
- RAUM · $130M to $135MFeb 22, 2022 to Feb 8, 2023
- Accounts · 377 to 396Feb 22, 2022 to Feb 8, 2023
- HNW clients · 43 to 41Feb 22, 2022 to Feb 8, 2023
- Individual clients · 127 to 145Feb 22, 2022 to Feb 8, 2023
- State-registered IARs · 0 to 3Feb 22, 2022 to Feb 8, 2023
- Discretionary RAUM · $130M to $135MFeb 22, 2022 to Feb 8, 2023
- Accounts · 379 to 377Mar 30, 2021 to Feb 22, 2022
- HNW clients · 35 to 43Mar 30, 2021 to Feb 22, 2022
- Individual clients · 194 to 127Mar 30, 2021 to Feb 22, 2022
- Discretionary RAUM · $113M to $130MMar 30, 2021 to Feb 22, 2022
- HNW RAUM · $59.2M to $74.0MMar 30, 2021 to Feb 22, 2022
Signals
1 dated events
- J••• T•••••• C•• filed its initial SEC registration (Form ADV)Jun 13, 2014 · First SEC registration · fact
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
- Principal office phone
- 631-226-9046reportedpublic record, Form ADV, Feb 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
- $45.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026