DFX Intelligence
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T• F•••••••• M••••••••• C• I•••
Independent wealth manager, based in Margate City, New Jersey, reporting $123M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $123M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- Not established
- Private clients
- 100% of RAUM, $122M
Form ADV
IAPD
IAPD registration history
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 128967 · SEC 801-133018 · 3 filingsShowHide
CRD 128967SEC 801-133018Legal name T• F•••••••• M••••••••• C•• I•••First filing on the tape May 28, 2025, latest Sep 4, 2026SEC status approved since Jun 16, 2025IAPD
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$122M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.4M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$123M as of Jan 29, 2026
May 28, 2025$124M then
HNW client RAUM$90.8M as of Jan 29, 2026
May 28, 2025$88.3M then
State-registered IARs (5.B.3)2 as of Jan 29, 2026
May 28, 20252 then
Employees (5.A)5 as of Jan 29, 2026
May 28, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $61.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $335,317derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.8M74%
- Individuals$31.5M26%
- Corporations and businesses$402,2060.3%
- Individual clients
- 107reported
- HNW clients
- 37reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 366reported
- Financial planning clients
- 1-10reported
- 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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• F• C•••••Certified Financial Planner | Ventnor, Nj | Oct 19, 2004 | 34 y | 0 |
| D•••••• B••••••• C•••••Certified Financial Planner | Margate City, Nj | Aug 27, 2015 | 13 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
- C•••••• T•••••• F• · Foundercontrolsince 09/1992 · owns 50% to 75%
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
- Financial planning clients · 1-10 to 1-10Jan 29, 2026 to Sep 4, 2026
- Related adviser · false to unsetJan 29, 2026 to Sep 4, 2026
- Related bank · false to unsetJan 29, 2026 to Sep 4, 2026
- Related broker-dealer · false to unsetJan 29, 2026 to Sep 4, 2026
- Related insurance company · false to unsetJan 29, 2026 to Sep 4, 2026
- Succession · false to unsetJan 29, 2026 to Sep 4, 2026
- Accounts · 353 to 366May 28, 2025 to Jan 29, 2026
- HNW clients · 15 to 37May 28, 2025 to Jan 29, 2026
- Individual clients · 113 to 107May 28, 2025 to Jan 29, 2026
- Discretionary RAUM · $124M to $123MMay 28, 2025 to Jan 29, 2026
- HNW RAUM · $88.3M to $90.8MMay 28, 2025 to Jan 29, 2026
- Individual RAUM · $34.4M to $31.5MMay 28, 2025 to Jan 29, 2026
- RAUM · $124M to $123MMay 28, 2025 to Jan 29, 2026
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
- Website
- ••• Lockedreportedpublic record, Form ADV, Sep 4, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 4, 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
- $61.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026