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T•••••• J• E••••• I•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $87.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$87.2M
Advisors
0
RAUM change, 1 year
-8.8%
Private clients
100%
of RAUM, $87.2M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Mar 2024, RAUM $95.7M to $87.2M (-8.8%) on the Form ADV filed 28 Mar 2024, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 126188 · SEC 801-80511 · 17 filingsShow
CRD 126188SEC 801-80511First filing on the tape Oct 20, 2014, latest Mar 28, 2024SEC status approved since Nov 7, 2014IAPD
RAUM
$87.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$87.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape

RAUM -3.2% a year over three years · the tape starts Oct 20, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$87.2M as of Mar 28, 2024
Mar 14, 2015$75.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2024
Mar 14, 20150 then
Employees (5.A)1 as of Mar 28, 2024
Mar 14, 20151 then
Private funds: no history
RAUM -8.8% over the last fiscal year-3.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$87.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$436,190derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office 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
unknownderived
Compensation
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow
  • Individuals$87.2M100%
Individual clients
200reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
200reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• T••••••• J••• · President, Sole Shareholder, Chief Compliance Officercontrol
        since 08/1991 · 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 · 271 to 200
        Feb 27, 2024 to Mar 28, 2024
      • Individual clients · 271 to 200
        Feb 27, 2024 to Mar 28, 2024
      • Discretionary RAUM · $95.7M to $87.2M
        Feb 27, 2024 to Mar 28, 2024
      • Individual RAUM · $95.7M to $87.2M
        Feb 27, 2024 to Mar 28, 2024
      • Non-discretionary RAUM · $0 to $69,967
        Feb 27, 2024 to Mar 28, 2024
      Full history · 55 changes
      • RAUM · $95.7M to $87.2M
        Feb 27, 2024 to Mar 28, 2024
      • Accounts · 229 to 271
        Mar 23, 2022 to Mar 31, 2023
      • Charity clients · 1.0 to unset
        Mar 23, 2022 to Mar 31, 2023
      • Individual clients · 235 to 271
        Mar 23, 2022 to Mar 31, 2023
      • State-registered IARs · 0 to 1
        Mar 23, 2022 to Mar 31, 2023
      • Discretionary RAUM · $114M to $95.7M
        Mar 23, 2022 to Mar 31, 2023
      • Individual RAUM · $114M to $95.7M
        Mar 23, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $71,813 to $0
        Mar 23, 2022 to Mar 31, 2023
      • RAUM · $114M to $95.7M
        Mar 23, 2022 to Mar 31, 2023
      • Accounts · 230 to 229
        Feb 17, 2021 to Mar 23, 2022
      • Individual clients · 229 to 235
        Feb 17, 2021 to Mar 23, 2022
      • Discretionary RAUM · $96.3M to $114M
        Feb 17, 2021 to Mar 23, 2022
      • Individual RAUM · $96.1M to $114M
        Feb 17, 2021 to Mar 23, 2022
      • Non-discretionary RAUM · $61,054 to $71,813
        Feb 17, 2021 to Mar 23, 2022
      • RAUM · $96.3M to $114M
        Feb 17, 2021 to Mar 23, 2022
      • Accounts · 244 to 230
        Jun 30, 2020 to Feb 17, 2021
      • Individual clients · 123 to 229
        Jun 30, 2020 to Feb 17, 2021
      • Discretionary RAUM · $77.9M to $96.3M
        Jun 30, 2020 to Feb 17, 2021
      • Individual RAUM · $83.8M to $96.1M
        Jun 30, 2020 to Feb 17, 2021
      • Non-discretionary RAUM · $6.1M to $61,054
        Jun 30, 2020 to Feb 17, 2021
      • RAUM · $84.0M to $96.3M
        Jun 30, 2020 to Feb 17, 2021
      • Accounts · 260 to 244
        Feb 26, 2019 to Feb 19, 2020
      • Individual clients · 259 to 123
        Feb 26, 2019 to Feb 19, 2020
      • Discretionary RAUM · $63.7M to $77.9M
        Feb 26, 2019 to Feb 19, 2020
      • Individual RAUM · $63.7M to $83.8M
        Feb 26, 2019 to Feb 19, 2020
      • Non-discretionary RAUM · $8.8M to $6.1M
        Feb 26, 2019 to Feb 19, 2020
      • RAUM · $72.5M to $84.0M
        Feb 26, 2019 to Feb 19, 2020
      • Accounts · 257 to 260
        Oct 1, 2018 to Feb 26, 2019
      • Individual clients · 236 to 259
        Oct 1, 2018 to Feb 26, 2019
      • Discretionary RAUM · $74.1M to $63.7M
        Oct 1, 2018 to Feb 26, 2019
      • Individual RAUM · $74.7M to $63.7M
        Oct 1, 2018 to Feb 26, 2019
      • Non-discretionary RAUM · $740,973 to $8.8M
        Oct 1, 2018 to Feb 26, 2019
      • RAUM · $74.9M to $72.5M
        Oct 1, 2018 to Feb 26, 2019
      • Accounts · 124 to 257
        Feb 10, 2017 to Feb 15, 2018
      • Charity clients · unset to 1.0
        Feb 10, 2017 to Feb 15, 2018
      • Individual clients · unset to 236.0
        Feb 10, 2017 to Feb 15, 2018
      • Other offices · unset to 0.0
        Feb 10, 2017 to Feb 15, 2018
      • Discretionary RAUM · $0 to $74.1M
        Feb 10, 2017 to Feb 15, 2018
      • Individual RAUM · unset to 74679178.0
        Feb 10, 2017 to Feb 15, 2018
      • Non-discretionary RAUM · $66.3M to $740,973
        Feb 10, 2017 to Feb 15, 2018
      • RAUM · $66.3M to $74.9M
        Feb 10, 2017 to Feb 15, 2018
      • Accounts · 137 to 124
        Mar 17, 2016 to Feb 10, 2017
      • Non-discretionary RAUM · $71.5M to $66.3M
        Mar 17, 2016 to Feb 10, 2017
      • RAUM · $71.5M to $66.3M
        Mar 17, 2016 to Feb 10, 2017
      • Accounts · 128 to 137
        Mar 14, 2015 to Mar 17, 2016
      • Non-discretionary RAUM · $75.8M to $71.5M
        Mar 14, 2015 to Mar 17, 2016
      • RAUM · $75.8M to $71.5M
        Mar 14, 2015 to Mar 17, 2016
      • Accounts · 142 to 128
        Nov 26, 2014 to Mar 14, 2015
      • Non-discretionary RAUM · $72.9M to $75.8M
        Nov 26, 2014 to Mar 14, 2015
      • RAUM · $72.9M to $75.8M
        Nov 26, 2014 to Mar 14, 2015
      Signals
      1 dated events
      • ••• Locked
        Oct 20, 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
      ••• Lockedreportedpublic record, Form ADV, Mar 28, 2024
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.