DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
T••••••• I••••••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Dec 19, 2011 · 44 filings
SEC status approved since Jan 13, 2006
RAUM
$2.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$2.1B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
21
16 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$2.1B as of Mar 27, 2026
Mar 30, 2012$301M then
HNW client RAUM$2.0B as of Mar 27, 2026
Mar 15, 2018$851M then
State-registered IARs (5.B.3)16 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)21 as of Mar 27, 2026
Mar 26, 201310 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $682,688derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.0derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $664M, 238 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)
- 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$2.0B97%
- Individuals$60.7M2.9%
- Pension and profit-sharing plans$1.7M0.1%
- Individual clients
- 144reported
- HNW clients
- 360reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,029reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $664M for 238 clientsreported
- 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
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• M•• S•••• | New York, Ny | Feb 19, 2020 | 11 y | 0 |
| A••••• R•••• T••••• | Pelham, Ny | Jul 6, 2021 | 13 y | 0 |
| V•••• E•••• C•••••••Chartered Financial Analyst | White Plains, Ny | Aug 9, 2021 | 18 y | 0 |
| P••••••• K••••• A••••••••Certified Financial Planner | White Plains, Ny | Aug 12, 2021 | 12 y | 0 |
| C••••• O••••• B•••••• | White Plains, Ny | Aug 12, 2021 | 10 y | 0 |
| B•••••• J•••• B••••• | New York, Ny | Aug 16, 2021 | 15 y | 0 |
| J••••• S•••• S••••• | White Plains, Ny | Aug 18, 2021 | 15 y | 0 |
| M•••••• G••••• D•••• M•••••••Chartered Financial Analyst | Stamford, Ct | Aug 31, 2021 | 10 y | 0 |
| J•••• R•••••• L••••••Certified Financial Planner | Stamford, Ct | Sep 3, 2021 | 10 y | 0 |
| A••••• C••••••• B••••• | White Plains, Ny | Sep 4, 2021 | 10 y | 0 |
| S•••••• D•••••• F•••• | Astoria, Ny | Dec 9, 2022 | 13 y | 0 |
| B•••• A•••••••• C•••• | Stamford, Ct | Dec 12, 2022 | 12 y | 0 |
| J••••• G••• R••••••• | New York, Ny | Dec 19, 2022 | 12 y | 0 |
| C•••••• V••••••• C••••• | White Plains, Ny | Nov 13, 2023 | 11 y | 0 |
| C••••••••• J••• R••••••• | Stamford, Ct | Dec 18, 2023 | 11 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
- A••••• P•••••• to K••••• A••••••• S•••••••• L••Dec 15, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• T••••••• · Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- R•••••• R•••• B••• · Chief Operating Officer / Member Of The Board Ofcontrolsince 03/2018 · owns 5% to 10%
- S•••••• J•••••• S•••• · Managing Director / Member Of The Board Of Managers (Octcontrolsince 04/2015 · owns 10% to 25%
- Y•••••••• R•••••••• H•••••• · Member Of The Board Ofcontrolsince 11/2019 · owns less than 5%
Entity owners
- R••••••• H• Y••••••• R•••••••• T•••• U•••• 1•••••••• · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| White Plains, Ny · principal | 15 | 0 | 0 | ||
| New York, Ny | 5 | 0 | 0 | ||
| Stamford, Ct | 4 | 0 | 0 | ||
| Chappaqua, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 2,832 to 3,029Nov 4, 2025 to Mar 27, 2026
- HNW clients · 330 to 360Nov 4, 2025 to Mar 27, 2026
- Individual clients · 151 to 144Nov 4, 2025 to Mar 27, 2026
- Assets in custody · $380M to $664MNov 4, 2025 to Mar 27, 2026
- Employees · 18 to 21Nov 4, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to More than 500Nov 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.7B to $2.0BNov 4, 2025 to Mar 27, 2026
- HNW RAUM · $1.7B to $2.0BNov 4, 2025 to Mar 27, 2026
- Individual RAUM · $64.1M to $60.7MNov 4, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $39.7M to $41.3MNov 4, 2025 to Mar 27, 2026
- Pension RAUM · $6.2M to $1.7MNov 4, 2025 to Mar 27, 2026
- RAUM · $1.7B to $2.1BNov 4, 2025 to Mar 27, 2026
- Accounts · 2,685 to 2,832Dec 3, 2024 to Mar 29, 2025
- HNW clients · 309 to 330Dec 3, 2024 to Mar 29, 2025
- Individual clients · 149 to 151Dec 3, 2024 to Mar 29, 2025
- Assets in custody · $351M to $380MDec 3, 2024 to Mar 29, 2025
- Financial planning clients · 251-500 to 251-500Dec 3, 2024 to Mar 29, 2025
- Discretionary RAUM · $1.4B to $1.7BDec 3, 2024 to Mar 29, 2025
- HNW RAUM · $1.4B to $1.7BDec 3, 2024 to Mar 29, 2025
- Individual RAUM · $60.3M to $64.1MDec 3, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $29.3M to $39.7MDec 3, 2024 to Mar 29, 2025
- Pension RAUM · $5.8M to $6.2MDec 3, 2024 to Mar 29, 2025
- RAUM · $1.5B to $1.7BDec 3, 2024 to Mar 29, 2025
- Other offices · 1 to 14Nov 8, 2024 to Dec 3, 2024
- Other offices · 0 to 1Apr 1, 2024 to Nov 8, 2024
- Accounts · 2,547 to 2,685Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 14 to 16Mar 31, 2023 to Mar 28, 2024
- HNW clients · 299 to 309Mar 31, 2023 to Mar 28, 2024
- Individual clients · 144 to 149Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $267M to $351MMar 31, 2023 to Mar 28, 2024
- State-registered IARs · 14 to 16Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.4BMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $1.2B to $1.4BMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $51.9M to $60.3MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $11.9M to $29.3MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $5.8M to $5.8MMar 31, 2023 to Mar 28, 2024
- RAUM · $1.2B to $1.5BMar 31, 2023 to Mar 28, 2024
- Accounts · 2,407 to 2,547Nov 23, 2022 to Mar 30, 2023
- Advisory employees · 16 to 14Nov 23, 2022 to Mar 30, 2023
- Individual clients · 132 to 144Nov 23, 2022 to Mar 30, 2023
Signals
9 dated events
- T••••••• I••••••••• M••••••••• L•• reported 14 offices beyond its principal office, up from 1 (2024-11-08 to 2024-12-03)Dec 3, 2024 · Office count change · derived
- A••••• P•••••• left T••••••• I••••••••• M••••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-06-05)Dec 15, 2022 · Advisor changed firm · fact
- T••••••• I••••••••• M••••••••• L•• reported 15 state-registered advisory representatives, up from 1 (2022-02-22 to 2022-03-30)Mar 30, 2022 · Advisor headcount change · derived
- Jeffrey Ian Yankwitt (Founder) no longer on Schedule A of T••••••• I••••••••• M••••••••• L•• (listed 2021-02-17, absent 2021-03-27)Mar 27, 2021 · Control person left · inference
- Halpern Rochelle Yankwitt (Trustee) appeared on Schedule A of T••••••• I••••••••• M••••••••• L••Mar 26, 2020 · Control person joined · fact
- Scott Justin Singer (Managing Director / Member Of The Board Of Managers (Oct 2019)) appeared on Schedule A of T••••••• I••••••••• M••••••••• L••Oct 31, 2019 · Control person joined · fact
- Terrence M•••••• Mattern (Chief Compliance Officer) appeared on Schedule A of T••••••• I••••••••• M••••••••• L••May 15, 2019 · Control person joined · fact
- Ian Randal Goldstein (Principal) no longer on Schedule A of T••••••• I••••••••• M••••••••• L•• (listed 2019-03-05, absent 2019-05-15)May 15, 2019 · Control person left · inference
- T••••••• I••••••••• M••••••••• L•• reported RAUM $917.2M, up 26% from $728.9M (2017-09-28 to 2018-03-15)Mar 15, 2018 · RAUM change · derived
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 phone
- 914-227-9174reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-686-0024reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T•••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 914-686-0024reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026