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•• J••••• G•••• C•••••• M•••••••••
Legal name T•• J••••• G•••• L••
Latest filing Mar 26, 2026
First filing on the tape Sep 4, 2012 · 26 filings
SEC status approved since Oct 3, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.1B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
25
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.1B as of Mar 26, 2026
Mar 28, 2013$316M then
HNW client RAUM$895M as of Mar 26, 2026
Mar 28, 2018$329M then
State-registered IARs (5.B.3)10 as of Mar 26, 2026
Mar 28, 20136 then
Employees (5.A)25 as of Mar 26, 2026
Mar 28, 201310 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 26, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $47.4M, 153 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$895M82%
- Individuals$162M15%
- Corporations and businesses$32.6M3.0%
- Individual clients
- 480reported
- HNW clients
- 338reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 832reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $47.4M for 153 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S•••• M•••• | Columbus, Oh | Dec 5, 2012 | 25 y | 2 |
| M•••••• D•••• P••••• | Columbus, Oh | Dec 6, 2012 | 27 y | 1 |
| T••• D••••• W•••••Certified Financial Planner | Columbus, Oh | Dec 6, 2012 | 23 y | 2 |
| M••• J••••• P••••• | Columbus, Oh | Dec 6, 2012 | 27 y | 1 |
| R••••• T••••• U••••Chartered Financial Analyst | Columbus, Oh | Dec 6, 2012 | 27 y | 1 |
| N••••••• D•••• B••••• | Columbus, Oh | Sep 3, 2021 | 12 y | 2 |
| T•••••• L••••••Certified Financial Planner | Columbus, Oh | Jul 13, 2024 | 12 y | 1 |
| P•••••• J••••• F•••••••Certified Financial Planner | Columbus, Oh | Jul 31, 2024 | 14 y | 3 |
| J••••••• P••••• B•••••Certified Financial Planner | Columbus, Oh | Nov 25, 2025 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- J•••• P••••• M••••• to N••••••••• L••Apr 17, 2025 · RIA to RIA
- D•••• M•••••• S••••••• to W••••••••• C•••••• M••••••••• L••Jul 2, 2024 · RIA to RIA
- J•••••• A••• T•••• to S•••••• F•••••••• G••••• L•••••Jan 29, 2024 · RIA to RIA
Joined, latest
- J••••••• P••••• B••••• from R•••• F••••••••• L••Nov 25, 2025 · RIA to RIA
- P•••••• J••••• F••••••• from F••••Jul 31, 2024 · RIA to RIA
- T•••••• L•••••• from E••••• J••••Jul 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- N••••••• D•••• B••••• from E••••• J••••Sep 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••••• A••• T•••• from J••• M••••• S••••••••• L••May 25, 2017 · Other
- D•••• M•••••• S••••••• from S••••• F•••••••• S•••••••• I•••Jan 7, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• A••••••••• D•••• · Chief Investment Officercontrolsince 01/2024 · owns less than 5%
- M••••• B••••• S•••• · President/Membercontrolsince 01/2017 · owns 25% to 50%
- P•••••• M•••• J••••• · Chairmancontrolsince 01/2017 · owns less than 5%
- P•••••• M••••••• D•••• · Chairman/Membercontrolsince 01/2020 · owns 10% to 25%
- P••••••• J••• · Director Of Client Services/Ccocontrolsince 03/2025 · owns less than 5%
- U••••• R•••••• T••••• · Ceo/Membercontrolsince 01/2020 · owns 25% to 50%
- W•••••• T•••• D••••• · Chief Wealth Planning Officer/Membercontrolsince 01/2018 · owns 25% to 50%
- P•••••• M•••• J••••• · Ownercontrolsince 01/1999 · owns 50% to 75% of T••••••••• I•••
- P•••••• M••••••• D•••• · Ownercontrolsince 01/1999 · owns 50% to 75% of T••••••••• I•••
Entity owners
- T••••••••• I••• · Corporation/Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list T•• J••••• G•••• C•••••• M••••••••• as a related person
- 109496 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 26, 2026P••••••• J••• (DIRECTOR OF CLIENT SERVICES/CCO) appeared on Schedule A between the filings of 2021-03-22 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 26, 2026P•••••• M•••• J••••• (CHAIRMAN) left Schedule A between the filings of 2021-03-22 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 26, 2026D•••••• A••••••••• D•••• (CHIEF INVESTMENT OFFICER) appeared on Schedule A between the filings of 2021-03-22 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- business activity changedChange between filings · filing Mar 26, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-05-20, yes on the filing of 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 796 to 832May 20, 2025 to Mar 26, 2026
- Advisory employees · 14 to 15May 20, 2025 to Mar 26, 2026
- Advisory activities · 5 to 6May 20, 2025 to Mar 26, 2026
- Corporate clients · 15 to 14May 20, 2025 to Mar 26, 2026
- HNW clients · 294 to 338May 20, 2025 to Mar 26, 2026
- Individual clients · 487 to 480May 20, 2025 to Mar 26, 2026
- Assets in custody · $30.2M to $47.4MMay 20, 2025 to Mar 26, 2026
- Employees · 24 to 25May 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $947M to $1.1BMay 20, 2025 to Mar 26, 2026
- HNW RAUM · $750M to $895MMay 20, 2025 to Mar 26, 2026
- Individual RAUM · $152M to $162MMay 20, 2025 to Mar 26, 2026
- RAUM · $947M to $1.1BMay 20, 2025 to Mar 26, 2026
- Financial planning clients · More than 500 to More than 500Apr 17, 2025 to May 20, 2025
- Accounts · 768 to 796Nov 13, 2024 to Apr 17, 2025
- Corporate clients · 14 to 15Nov 13, 2024 to Apr 17, 2025
- HNW clients · 266 to 294Nov 13, 2024 to Apr 17, 2025
- Individual clients · 488 to 487Nov 13, 2024 to Apr 17, 2025
- Assets in custody · $31.8M to $30.2MNov 13, 2024 to Apr 17, 2025
- Employees · 22 to 24Nov 13, 2024 to Apr 17, 2025
- State-registered IARs · 9 to 10Nov 13, 2024 to Apr 17, 2025
- Discretionary RAUM · $812M to $947MNov 13, 2024 to Apr 17, 2025
- HNW RAUM · $615M to $750MNov 13, 2024 to Apr 17, 2025
- Individual RAUM · $168M to $152MNov 13, 2024 to Apr 17, 2025
- RAUM · $812M to $947MNov 13, 2024 to Apr 17, 2025
- Accounts · 736 to 768Mar 29, 2023 to Mar 28, 2024
- Corporate clients · 11 to 14Mar 29, 2023 to Mar 28, 2024
- HNW clients · 220 to 266Mar 29, 2023 to Mar 28, 2024
- Individual clients · 505 to 488Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $30.3M to $31.8MMar 29, 2023 to Mar 28, 2024
- Employees · 21 to 22Mar 29, 2023 to Mar 28, 2024
- State-registered IARs · 10 to 9Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $684M to $812MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $469M to $615MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $176M to $168MMar 29, 2023 to Mar 28, 2024
- RAUM · $684M to $812MMar 29, 2023 to Mar 28, 2024
- Accounts · 678 to 736Feb 28, 2023 to Mar 29, 2023
- Advisory employees · 12 to 14Feb 28, 2023 to Mar 29, 2023
- Corporate clients · 15 to 11Feb 28, 2023 to Mar 29, 2023
- HNW clients · 245 to 220Feb 28, 2023 to Mar 29, 2023
- Individual clients · 418 to 505Feb 28, 2023 to Mar 29, 2023
Signals
5 dated events
- J•••• P••••• M••••• left T•• J••••• G•••• C•••••• M••••••••• for N••••••••• L•• (registered 2025-04-18)Apr 17, 2025 · Advisor changed firm · fact
- D•••• M•••••• S••••••• left T•• J••••• G•••• C•••••• M••••••••• for W••••••••• C•••••• M••••••••• L•• (registered 2024-07-18)Jul 2, 2024 · Advisor changed firm · fact
- J•••••• A••• T•••• left T•• J••••• G•••• C•••••• M••••••••• for S•••••• F•••••••• G••••• L••••• (registered 2024-01-02)Jan 29, 2024 · Advisor changed firm · fact
- T•• J••••• G•••• C•••••• M••••••••• reported RAUM $763.8M, up 27% from $602.1M (2021-08-31 to 2022-03-26)Mar 26, 2022 · RAUM change · derived
- T•• J••••• G•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 4, 2012 · 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
- Business phone
- 614-228-4300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-629-0050reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••://WWW.J•••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-228-4300reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- josephgroup.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- josephgroup.com/teamreportedpublished 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026