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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Former SEC-registered adviser
T•• D•••• J• Y•••• G••••• I•••
Legal name T•• D•••• J• Y••••• G••••• I••
Latest filing Mar 28, 2023
First filing on the tape Mar 13, 2012 · 25 filings
RAUM
$260M
reported, Item 5.F
Discretionary
69%
of RAUM
Private clients
75%
$195M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$260M as of Mar 27, 2023
Mar 13, 2012$82.6M then
HNW client RAUM$147M as of Mar 27, 2023
Mar 13, 2018$91.4M then
State-registered IARs (5.B.3)4 as of Mar 27, 2023
Mar 15, 20132 then
Employees (5.A)5 as of Mar 27, 2023
Mar 15, 20135 then
Private funds: no history
RAUM -22% over the last fiscal year+2.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $65.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $283,237derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 69%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
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M75%
- Individuals$48.1M25%
- Individual clients
- 350reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 919reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
- D•••• J•••• Y•••• from U•• F•••••••• S••••••• I•••May 2, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for T•• D•••• J• Y•••• G•••• I•••Dec 7, 2023 · University Park, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• D••••• J•••• · Chief Executive Officer, Senior Portfolio Manager And Chief Compliance Officercontrolsince 03/2004 · owns 75% or more
- C••••••••• M••• J• · Chief Operating Officersince 06/2004 · owns less than 5%
- J• Y••••• D••••• J•••• · Chief Financial Officer And Financial Advisorsince 06/2007 · owns 10% to 25%
- L••• J•••••• D••••• · Vice President And Financial Advisorsince 06/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 876 to 919May 19, 2022 to Mar 27, 2023
- Advisory activities · 2 to 3May 19, 2022 to Mar 27, 2023
- HNW clients · 119 to 118May 19, 2022 to Mar 27, 2023
- Individual clients · 302 to 350May 19, 2022 to Mar 27, 2023
- Pension plan clients · 75.0 to unsetMay 19, 2022 to Mar 27, 2023
- Employees · 6 to 5May 19, 2022 to Mar 27, 2023
- Financial planning clients · 11-25 to 26-50May 19, 2022 to Mar 27, 2023
- HQ city · VALHALLA to unsetMay 19, 2022 to Mar 27, 2023
- HQ state · NY to unsetMay 19, 2022 to Mar 27, 2023
- Discretionary RAUM · $242M to $179MMay 19, 2022 to Mar 27, 2023
- HNW RAUM · $195M to $147MMay 19, 2022 to Mar 27, 2023
- Individual RAUM · $36.4M to $48.1MMay 19, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $94.0M to $81.6MMay 19, 2022 to Mar 27, 2023
- Pension RAUM · 104399489.0 to unsetMay 19, 2022 to Mar 27, 2023
- RAUM · $336M to $260MMay 19, 2022 to Mar 27, 2023
- Accounts · 824 to 876Feb 11, 2021 to Mar 29, 2022
- HNW clients · 103 to 119Feb 11, 2021 to Mar 29, 2022
- Individual clients · 211 to 302Feb 11, 2021 to Mar 29, 2022
- Pension plan clients · 36 to 75Feb 11, 2021 to Mar 29, 2022
- Financial planning clients · 26-50 to 11-25Feb 11, 2021 to Mar 29, 2022
- HQ city · unset to VALHALLAFeb 11, 2021 to Mar 29, 2022
- HQ state · unset to NYFeb 11, 2021 to Mar 29, 2022
- Discretionary RAUM · $208M to $242MFeb 11, 2021 to Mar 29, 2022
- HNW RAUM · $165M to $195MFeb 11, 2021 to Mar 29, 2022
- Individual RAUM · $29.5M to $36.4MFeb 11, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $75.8M to $94.0MFeb 11, 2021 to Mar 29, 2022
- Pension RAUM · $90.2M to $104MFeb 11, 2021 to Mar 29, 2022
- RAUM · $284M to $336MFeb 11, 2021 to Mar 29, 2022
- Succession · true to falseFeb 11, 2021 to Mar 29, 2022
- Accounts · 827 to 824Nov 5, 2020 to Feb 11, 2021
- HNW clients · 531 to 103Nov 5, 2020 to Feb 11, 2021
- Individual clients · 275 to 211Nov 5, 2020 to Feb 11, 2021
- Pension plan clients · 21 to 36Nov 5, 2020 to Feb 11, 2021
- Financial planning clients · More than 500 to 26-50Nov 5, 2020 to Feb 11, 2021
- HQ city · VALHALLA to unsetNov 5, 2020 to Feb 11, 2021
- HQ state · NY to unsetNov 5, 2020 to Feb 11, 2021
- Other offices · 2 to 3Nov 5, 2020 to Feb 11, 2021
- Discretionary RAUM · $179M to $208MNov 5, 2020 to Feb 11, 2021
- HNW RAUM · $119M to $165MNov 5, 2020 to Feb 11, 2021
- Individual RAUM · $61.4M to $29.5MNov 5, 2020 to Feb 11, 2021
Signals
2 dated events
- T•• D•••• J• Y•••• G••••• I•••'s advisors moved to T•• D•••• J• Y•••• G•••• I••• (University Park, FL): 4 of 4 registered, on the same dayDec 7, 2023 · Firm absorbed (people side) · derived
- T•• D•••• J• Y•••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 11, 2021 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026