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•••••• W••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since May 1, 2012
RAUM
$232M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$205M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$232M
derived; firm RAUM over IAPD count
Employees
3
1 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$232M as of Mar 26, 2026
Mar 26, 2013$51.0M then
HNW client RAUM$205M as of Mar 26, 2026
Mar 21, 2018$125M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 26, 20130 then
Employees (5.A)3 as of Mar 26, 2026
Mar 26, 20131 then
Private funds: no history
RAUM -3.5% over the last fiscal year+7.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $232MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.7MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- Custody
- $6.6M, 2 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M88%
- Charitable organizations$27.0M12%
- Individual clients
- n/areported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 78reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.6M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| D••••••• J••••• T•••••••• | Saratoga, Ny | May 7, 2012 | 37 y | 2 |
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
- D••••••• J••••• T•••••••• from L•••••• S•••• L••May 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• D•••••••• J••••• · Managing Member/Chief Compliance Officercontrolsince 06/2009 · owns 75% or more
Related persons
Schedule D 7.A
- D••••••• J• T••••••••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $5.8M to $6.6MFeb 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $241M to $232MFeb 27, 2025 to Mar 26, 2026
- HNW RAUM · $215M to $205MFeb 27, 2025 to Mar 26, 2026
- RAUM · $241M to $232MFeb 27, 2025 to Mar 26, 2026
- Accounts · 79 to 78Mar 12, 2024 to Feb 27, 2025
- HNW clients · 10 to 14Mar 12, 2024 to Feb 27, 2025
- Assets in custody · $5.6M to $5.8MMar 12, 2024 to Feb 27, 2025
- Financial planning clients · 1-10 to 11-25Mar 12, 2024 to Feb 27, 2025
- HQ city · unset to Mar 12, 2024 to Feb 27, 2025
- HQ state · unset to Mar 12, 2024 to Feb 27, 2025
- Discretionary RAUM · $215M to $241MMar 12, 2024 to Feb 27, 2025
- HNW RAUM · $192M to $215MMar 12, 2024 to Feb 27, 2025
- RAUM · $215M to $241MMar 12, 2024 to Feb 27, 2025
- Accounts · 74 to 79Mar 4, 2023 to Mar 12, 2024
- Assets in custody · $4.6M to $5.6MMar 4, 2023 to Mar 12, 2024
- Discretionary RAUM · $188M to $215MMar 4, 2023 to Mar 12, 2024
- HNW RAUM · $165M to $192MMar 4, 2023 to Mar 12, 2024
- RAUM · $188M to $215MMar 4, 2023 to Mar 12, 2024
- Accounts · 73 to 74Apr 4, 2022 to Mar 4, 2023
- Assets in custody · $5.9M to $4.6MApr 4, 2022 to Mar 4, 2023
- Discretionary RAUM · $216M to $188MApr 4, 2022 to Mar 4, 2023
- HNW RAUM · $187M to $165MApr 4, 2022 to Mar 4, 2023
- RAUM · $216M to $188MApr 4, 2022 to Mar 4, 2023
- Accounts · 87 to 73Mar 31, 2021 to Apr 4, 2022
- Assets in custody · $4.6M to $5.9MMar 31, 2021 to Apr 4, 2022
- Discretionary RAUM · $172M to $216MMar 31, 2021 to Apr 4, 2022
- HNW RAUM · $147M to $187MMar 31, 2021 to Apr 4, 2022
- RAUM · $172M to $216MMar 31, 2021 to Apr 4, 2022
- Accounts · 72 to 87Jun 29, 2020 to Mar 31, 2021
- Assets in custody · $5.1M to $4.6MJun 29, 2020 to Mar 31, 2021
- Employees · 1 to 3Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $156M to $172MJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $135M to $147MJun 29, 2020 to Mar 31, 2021
- RAUM · $156M to $172MJun 29, 2020 to Mar 31, 2021
- Accounts · 61 to 72Aug 19, 2019 to Mar 26, 2020
- Assets in custody · $5.2M to $5.1MAug 19, 2019 to Mar 26, 2020
- Discretionary RAUM · $145M to $156MAug 19, 2019 to Mar 26, 2020
- HNW RAUM · $125M to $135MAug 19, 2019 to Mar 26, 2020
- RAUM · $145M to $156MAug 19, 2019 to Mar 26, 2020
- Related adviser · true to falseAug 16, 2019 to Aug 19, 2019
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
- Business phone
- 518-450-7091reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 518-533-7788reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- T••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-450-7091reportedpublic record, Form ADV, Mar 26, 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
- $232Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026