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•• C•••••• M••••••••• G••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Sep 10, 2004
RAUM
$553M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$498M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$277M
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
27 filings and snapshots on the tape
RAUM$553M as of Mar 20, 2026
Mar 30, 2012$257M then
HNW client RAUM$470M as of Mar 20, 2026
Mar 28, 2018$234M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 20, 2026
Mar 25, 20135 then
Private funds1 as of Mar 30, 2022
Mar 30, 20123 then
RAUM +43% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $277MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.2%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
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $248M, 257 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$470M88%
- Individuals$28.0M5.2%
- Charitable organizations$25.6M4.8%
- Corporations and businesses$7.9M1.5%
- Pension and profit-sharing plans$2.9M0.5%
- Individual clients
- 71reported
- HNW clients
- 62reported
- Pension plan clients
- 1reported
- Charitable clients
- 8reported
- Accounts
- 259reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $248M for 257 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false 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••••• S•••••• P••••• | Bernardsville, Nj | Oct 18, 2004 | 34 y | 0 |
| R•••••• C•••••• W•••••Chartered Financial Analyst | Summit, Nj | May 3, 2019 | 24 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
- W•••••• F• K•••• to M•••• C•••••• M••••••••• I•••Mar 3, 2017 · Other
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• E••••••••• L••no longer reported | Private Equity Fund | $14.8M | 24 | Mar 30, 2015 |
| T•• S•• C•••• L•no longer reported | Private Equity Fund | $18,143 | 19 | Mar 30, 2012 |
| T•• P••• O•• L•no longer reported | Private Equity Fund | $0 | 17 | Mar 30, 2012 |
| T•• P••• O•• I•• L•no longer reported | Private Equity Fund | $0 | 15 | Mar 21, 2014 |
| T•• P••• O•• I• L•no longer reported | Private Equity Fund | $0 | 23 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• B••••••• J••••• · Chief Compliance Officercontrolsince 11/2004 · owns less than 5%
- P•••••• T•••••• S•••••• · President And Senior Portfolio Managercontrolsince 05/2004 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 8.0% to 85.0% between the annual amendments of 2025-03-11 and 2026-03-20peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 25 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $387,006,570 to $553,311,284 (+43.0%) between the annual amendments of 2025-03-11 and 2026-03-20; the peer median change was +16.0% (1385 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 262 to 259Mar 11, 2025 to Mar 20, 2026
- Corporate clients · unset to 1.0Mar 11, 2025 to Mar 20, 2026
- HNW clients · 81 to 62Mar 11, 2025 to Mar 20, 2026
- Individual clients · 55 to 71Mar 11, 2025 to Mar 20, 2026
- Pension plan clients · unset to 1.0Mar 11, 2025 to Mar 20, 2026
- Assets in custody · $387M to $248MMar 11, 2025 to Mar 20, 2026
- Discretionary RAUM · $383M to $548MMar 11, 2025 to Mar 20, 2026
- HNW RAUM · $30.4M to $470MMar 11, 2025 to Mar 20, 2026
- Individual RAUM · $317M to $28.0MMar 11, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $4.3M to $5.6MMar 11, 2025 to Mar 20, 2026
- Pension RAUM · $2.3M to $2.9MMar 11, 2025 to Mar 20, 2026
- RAUM · $387M to $553MMar 11, 2025 to Mar 20, 2026
- Accounts · 269 to 262Mar 22, 2024 to Mar 11, 2025
- HNW clients · 52 to 81Mar 22, 2024 to Mar 11, 2025
- Individual clients · 85 to 55Mar 22, 2024 to Mar 11, 2025
- Assets in custody · $390M to $387MMar 22, 2024 to Mar 11, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 11, 2025
- Discretionary RAUM · $386M to $383MMar 22, 2024 to Mar 11, 2025
- HNW RAUM · $309M to $30.4MMar 22, 2024 to Mar 11, 2025
- Individual RAUM · $32.5M to $317MMar 22, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $4.2M to $4.3MMar 22, 2024 to Mar 11, 2025
- Pension RAUM · $2.2M to $2.3MMar 22, 2024 to Mar 11, 2025
- RAUM · $390M to $387MMar 22, 2024 to Mar 11, 2025
- Corporate clients · 2.0 to unsetOct 6, 2023 to Mar 22, 2024
- HNW clients · 50 to 52Oct 6, 2023 to Mar 22, 2024
- Individual clients · 87 to 85Oct 6, 2023 to Mar 22, 2024
- Pension plan clients · 3.0 to unsetOct 6, 2023 to Mar 22, 2024
- Assets in custody · $355M to $390MOct 6, 2023 to Mar 22, 2024
- Discretionary RAUM · $351M to $386MOct 6, 2023 to Mar 22, 2024
- HNW RAUM · $278M to $309MOct 6, 2023 to Mar 22, 2024
- Individual RAUM · $32.5M to $32.5MOct 6, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $3.8M to $4.2MOct 6, 2023 to Mar 22, 2024
- Pension RAUM · $4.0M to $2.2MOct 6, 2023 to Mar 22, 2024
- RAUM · $355M to $390MOct 6, 2023 to Mar 22, 2024
- Assets in custody · $354,944 to $355MMar 24, 2023 to Oct 6, 2023
- Accounts · 273 to 269Apr 15, 2022 to Mar 24, 2023
- Advisory activities · 4 to 3Apr 15, 2022 to Mar 24, 2023
- HNW clients · 56 to 50Apr 15, 2022 to Mar 24, 2023
- Individual clients · 79 to 87Apr 15, 2022 to Mar 24, 2023
- Pooled vehicle clients · 1.0 to unsetApr 15, 2022 to Mar 24, 2023
Signals
1 dated events
- T•• C•••••• M••••••••• G••••• L•• reported RAUM $553.3M, up 43% from $387.0M (2025-03-11 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T•• C•••••• M••••••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 877-522-7857reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-273-2105reportedpublic record, Form ADV, Mar 20, 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
- $277Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026