DFX Intelligence
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P••••••• H••• M••••••••• L••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $257M of regulatory assets across 1 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
- $257M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +9.5%
- Private clients
- 82% of RAUM, $210M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 134080 · SEC 801-121067 · 6 filingsShowHide
CRD 134080SEC 801-121067First filing on the tape Mar 31, 2021, latest Mar 25, 2026SEC status approved since May 3, 2021IAPD
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$210M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$257M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$257M as of Mar 25, 2026
Mar 21, 2022$189M then
HNW client RAUM$209M as of Mar 25, 2026
Mar 21, 2022$154M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 21, 20221 then
Employees (5.A)2 as of Mar 25, 2026
Mar 21, 20222 then
Private funds: no history
RAUM +9.5% over the last fiscal year+28% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $257MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M82%
- Pooled investment vehicles$46.9M18%
- Individuals$173,6890.1%
- Corporations and businesses$4,9400.0%
- Individual clients
- 2reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 39reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.82 fund_share=0.18 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• T••••• M••••••• | Summit, Nj | Jan 1, 2026 | 26 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
- M•••••••• J•••• T••••• · President And Chief Compliance Officercontrolsince 07/2000 · owns 75% or more
- M•••••••• J••••• W•••••• · Vice Presidentsince 07/2000 · owns 10% to 25%
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
- Accounts · 40 to 39Mar 7, 2025 to Mar 25, 2026
- HNW clients · 36 to 35Mar 7, 2025 to Mar 25, 2026
- Discretionary RAUM · $234M to $257MMar 7, 2025 to Mar 25, 2026
- HNW RAUM · $193M to $209MMar 7, 2025 to Mar 25, 2026
- Individual RAUM · $152,263 to $173,689Mar 7, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $41.5M to $46.9MMar 7, 2025 to Mar 25, 2026
- RAUM · $234M to $257MMar 7, 2025 to Mar 25, 2026
- Accounts · 42 to 40Feb 8, 2024 to Mar 7, 2025
- HNW clients · 38 to 36Feb 8, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Feb 8, 2024 to Mar 7, 2025
- HQ city · unset to Feb 8, 2024 to Mar 7, 2025
- HQ state · unset to Feb 8, 2024 to Mar 7, 2025
- Discretionary RAUM · $175M to $234MFeb 8, 2024 to Mar 7, 2025
- HNW RAUM · $144M to $193MFeb 8, 2024 to Mar 7, 2025
- Individual RAUM · $108,152 to $152,263Feb 8, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $31.0M to $41.5MFeb 8, 2024 to Mar 7, 2025
- RAUM · $175M to $234MFeb 8, 2024 to Mar 7, 2025
- Accounts · 40 to 42Mar 20, 2023 to Feb 8, 2024
- HNW clients · 36 to 38Mar 20, 2023 to Feb 8, 2024
- Individual clients · 1 to 2Mar 20, 2023 to Feb 8, 2024
- Discretionary RAUM · $121M to $175MMar 20, 2023 to Feb 8, 2024
- HNW RAUM · $99.7M to $144MMar 20, 2023 to Feb 8, 2024
- Individual RAUM · $68,163 to $108,152Mar 20, 2023 to Feb 8, 2024
- Pooled vehicle RAUM · $21.7M to $31.0MMar 20, 2023 to Feb 8, 2024
- RAUM · $121M to $175MMar 20, 2023 to Feb 8, 2024
- Accounts · 39 to 40Mar 21, 2022 to Mar 20, 2023
- Discretionary RAUM · $189M to $121MMar 21, 2022 to Mar 20, 2023
- HNW RAUM · $154M to $99.7MMar 21, 2022 to Mar 20, 2023
- Individual RAUM · $52,346 to $68,163Mar 21, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $34.4M to $21.7MMar 21, 2022 to Mar 20, 2023
- RAUM · $189M to $121MMar 21, 2022 to Mar 20, 2023
- HNW clients · 26 to 36Mar 31, 2021 to Mar 21, 2022
- Individual clients · 11 to 1Mar 31, 2021 to Mar 21, 2022
- Discretionary RAUM · $147M to $189MMar 31, 2021 to Mar 21, 2022
- HNW RAUM · $118M to $154MMar 31, 2021 to Mar 21, 2022
- Individual RAUM · $3.5M to $52,346Mar 31, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $25.6M to $34.4MMar 31, 2021 to Mar 21, 2022
- RAUM · $147M to $189MMar 31, 2021 to Mar 21, 2022
Signals
1 dated events
- ••• LockedMar 31, 2021 · First SEC registration · fact
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 25, 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
- $257Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026