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••••••• F•••••••• S•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Dec 19, 2003
RAUM
$353M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$257M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$88.4M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$353M as of Mar 20, 2026
Mar 30, 2012$91.5M then
HNW client RAUM$168M as of Mar 20, 2026
Mar 13, 2018$127M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Apr 1, 20133 then
Employees (5.A)5 as of Mar 20, 2026
Apr 1, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 20, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $88.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $448,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $353M, 788 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$168M56%
- Individuals$89.0M30%
- Pension and profit-sharing plans$42.2M14%
- Corporations and businesses$1.7M0.6%
- Charitable organizations$775,3280.3%
- Individual clients
- 357reported
- HNW clients
- 65reported
- Pension plan clients
- 48reported
- Charitable clients
- 1reported
- Accounts
- 788reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $353M for 788 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C•••••• P•••• J• | Boerne, Tx | Dec 5, 2003 | 29 y | 0 |
| A••• R•••• | Seminole, Fl | Dec 11, 2003 | 34 y | 0 |
| J••• L•••• G••• | Seminole, Fl | Sep 12, 2014 | 13 y | 0 |
| J••• R••••• R•••• | Seminole, Fl | Mar 5, 2026 | 10 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
- S•••• A•••••• A••••• to S••••• M•••••••••Dec 26, 2019 · RIA to RIA
Joined, latest
- S•••• A•••••• A••••• from S•••••••• A••••••• L••Apr 29, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• J•• J••••• C•••••• · Member / Cco, Coocontrolsince 08/2000 · owns 25% to 50%
- R••••• A••• · Member, Cfo, Ceocontrolsince 08/2000 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Seminole, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 20, 2026private-client share of RAUM moved from 94.0% to 73.0% between the annual amendments of 2025-03-23 and 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 66.0% to 47.0% between the annual amendments of 2025-03-23 and 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Feb 6, 2026 to Mar 20, 2026
- Employees · 4 to 5Feb 6, 2026 to Mar 20, 2026
- State-registered IARs · 3 to 4Feb 6, 2026 to Mar 20, 2026
- Accounts · 818 to 788Mar 23, 2025 to Feb 6, 2026
- Charity clients · 0 to 1Mar 23, 2025 to Feb 6, 2026
- Corporate clients · 2 to 6Mar 23, 2025 to Feb 6, 2026
- HNW clients · 76 to 65Mar 23, 2025 to Feb 6, 2026
- Individual clients · 360 to 357Mar 23, 2025 to Feb 6, 2026
- Pension plan clients · 26 to 48Mar 23, 2025 to Feb 6, 2026
- Assets in custody · $298M to $353MMar 23, 2025 to Feb 6, 2026
- Discretionary RAUM · $298M to $353MMar 23, 2025 to Feb 6, 2026
- HNW RAUM · $197M to $168MMar 23, 2025 to Feb 6, 2026
- Individual RAUM · $82.6M to $89.0MMar 23, 2025 to Feb 6, 2026
- Pension RAUM · $16.5M to $42.2MMar 23, 2025 to Feb 6, 2026
- RAUM · $298M to $353MMar 23, 2025 to Feb 6, 2026
- Accounts · 397 to 818Jan 28, 2025 to Mar 23, 2025
- Advisory activities · 3 to 4Jan 28, 2025 to Mar 23, 2025
- BD registered reps · 2 to 0Jan 28, 2025 to Mar 23, 2025
- Corporate clients · 5 to 2Jan 28, 2025 to Mar 23, 2025
- HNW clients · 56 to 76Jan 28, 2025 to Mar 23, 2025
- Individual clients · 316 to 360Jan 28, 2025 to Mar 23, 2025
- Pension plan clients · 11 to 26Jan 28, 2025 to Mar 23, 2025
- Assets in custody · $267M to $298MJan 28, 2025 to Mar 23, 2025
- Financial planning clients · 26-50 to 26-50Jan 28, 2025 to Mar 23, 2025
- Other offices · 1 to 2Jan 28, 2025 to Mar 23, 2025
- Discretionary RAUM · $283M to $298MJan 28, 2025 to Mar 23, 2025
- HNW RAUM · $177M to $197MJan 28, 2025 to Mar 23, 2025
- Individual RAUM · $81.8M to $82.6MJan 28, 2025 to Mar 23, 2025
- Pension RAUM · $21.6M to $16.5MJan 28, 2025 to Mar 23, 2025
- RAUM · $283M to $298MJan 28, 2025 to Mar 23, 2025
- HQ city · NEPTUNE CITY to SEMINOLESep 3, 2024 to Jan 28, 2025
- HQ state · NJ to FLSep 3, 2024 to Jan 28, 2025
- Accounts · 981 to 397Oct 31, 2023 to Feb 8, 2024
- Corporate clients · 6 to 5Oct 31, 2023 to Feb 8, 2024
- HNW clients · 65 to 56Oct 31, 2023 to Feb 8, 2024
- Individual clients · 279 to 316Oct 31, 2023 to Feb 8, 2024
- Pension plan clients · 5 to 11Oct 31, 2023 to Feb 8, 2024
- Assets in custody · $255M to $267MOct 31, 2023 to Feb 8, 2024
- Discretionary RAUM · $255M to $283MOct 31, 2023 to Feb 8, 2024
- HNW RAUM · $179M to $177MOct 31, 2023 to Feb 8, 2024
Signals
3 dated events
- T••••••• F•••••••• S•••••••• L•• reported RAUM $264.4M, down 33% from $392.4M (2020-05-19 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
- Israel Jonathan Green (Member) no longer on Schedule A of T••••••• F•••••••• S•••••••• L•• (listed 2019-03-05, absent 2019-07-08)Jul 8, 2019 · Control person left · inference
- T••••••• F•••••••• S•••••••• L•• reported RAUM $397.1M, up 69% from $235.3M (2018-11-09 to 2019-03-05)Mar 5, 2019 · 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 email
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- h•••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 732-750-1004reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 732-750-9880reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- T•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 732-750-9880reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $88.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026