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••••• I••••••••• P•••••••• L••
Latest filing Feb 9, 2026
First filing on the tape Jun 7, 2021 · 13 filings
SEC status approved since Jul 7, 2021
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$193M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$200M as of Feb 9, 2026
Feb 8, 2022$154M then
HNW client RAUM$130M as of Feb 9, 2026
Feb 8, 2022$121M then
State-registered IARs (5.B.3)3 as of Feb 9, 2026
Feb 8, 20223 then
Employees (5.A)4 as of Feb 9, 2026
Feb 8, 20223 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 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
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $422,362derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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$130M65%
- Individuals$63.0M31%
- Corporations and businesses$7.4M3.7%
- Individual clients
- 155reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 474reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••• D••••••Chartered Financial Analyst | Bordentown, Nj | Jul 25, 2014 | 15 y | 1 |
| B•••••• J••• T••••• | Prescott, Az | Sep 12, 2014 | 27 y | 2 |
| C•••• W•••• L••••• | Chandler, Az | Mar 7, 2022 | 20 y | 1 |
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
- J••• J••••• C••••••• to B••••• T••••Nov 17, 2014 · Other
Joined, latest
- C•••• W•••• L••••• from N••••••••• I••••••••• A•••••••• L••Mar 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••••• J••• T••••• from T••••• W••••• A•••••••Sep 12, 2014 · RIA to RIA
- J••• J••••• C••••••• from T••••• W••••• A•••••••Aug 13, 2014 · RIA to RIA
- T••••• J••• D•••••• from T••••• W••••• A•••••••Jul 25, 2014 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• T•••••• J••• · Managing Partnercontrolsince 09/2014 · owns 75% or more
- L•••••• C••••• W•••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bordentown, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 441 to 474Mar 26, 2025 to Feb 9, 2026
- Corporate clients · unset to 1.0Mar 26, 2025 to Feb 9, 2026
- HNW clients · 34 to 36Mar 26, 2025 to Feb 9, 2026
- Individual clients · 150 to 155Mar 26, 2025 to Feb 9, 2026
- Pension plan clients · 2.0 to unsetMar 26, 2025 to Feb 9, 2026
- Employees · 5 to 4Mar 26, 2025 to Feb 9, 2026
- Discretionary RAUM · $176M to $200MMar 26, 2025 to Feb 9, 2026
- HNW RAUM · $124M to $130MMar 26, 2025 to Feb 9, 2026
- Individual RAUM · $41.2M to $63.0MMar 26, 2025 to Feb 9, 2026
- Pension RAUM · 10750597.0 to unsetMar 26, 2025 to Feb 9, 2026
- RAUM · $176M to $200MMar 26, 2025 to Feb 9, 2026
- Accounts · 423 to 441Jul 17, 2024 to Mar 26, 2025
- Advisory employees · 3 to 4Jul 17, 2024 to Mar 26, 2025
- HNW clients · 31 to 34Jul 17, 2024 to Mar 26, 2025
- Individual clients · 154 to 150Jul 17, 2024 to Mar 26, 2025
- Employees · 3 to 5Jul 17, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jul 17, 2024 to Mar 26, 2025
- Discretionary RAUM · $159M to $176MJul 17, 2024 to Mar 26, 2025
- HNW RAUM · $107M to $124MJul 17, 2024 to Mar 26, 2025
- Individual RAUM · $34.7M to $41.2MJul 17, 2024 to Mar 26, 2025
- Pension RAUM · $16.9M to $10.8MJul 17, 2024 to Mar 26, 2025
- RAUM · $159M to $176MJul 17, 2024 to Mar 26, 2025
- HQ city · PRINCETON to BORDENTOWNFeb 18, 2024 to Jul 17, 2024
- Accounts · 386 to 423May 15, 2023 to Feb 18, 2024
- Advisory employees · 4 to 3May 15, 2023 to Feb 18, 2024
- HNW clients · 32 to 31May 15, 2023 to Feb 18, 2024
- Individual clients · 177 to 154May 15, 2023 to Feb 18, 2024
- Employees · 4 to 3May 15, 2023 to Feb 18, 2024
- State-registered IARs · 4 to 3May 15, 2023 to Feb 18, 2024
- Discretionary RAUM · $134M to $159MMay 15, 2023 to Feb 18, 2024
- HNW RAUM · $98.9M to $107MMay 15, 2023 to Feb 18, 2024
- Individual RAUM · $27.3M to $34.7MMay 15, 2023 to Feb 18, 2024
- Pension RAUM · $7.9M to $16.9MMay 15, 2023 to Feb 18, 2024
- RAUM · $134M to $159MMay 15, 2023 to Feb 18, 2024
- Accounts · 377 to 386Oct 28, 2022 to Feb 10, 2023
- Advisory employees · 3 to 4Oct 28, 2022 to Feb 10, 2023
- Individual clients · 131 to 177Oct 28, 2022 to Feb 10, 2023
- Employees · 3 to 4Oct 28, 2022 to Feb 10, 2023
- State-registered IARs · 3 to 4Oct 28, 2022 to Feb 10, 2023
- Discretionary RAUM · $154M to $134MOct 28, 2022 to Feb 10, 2023
Signals
3 dated events
- Porter Fredric Lutcher (Managing Partner) no longer on Schedule A of T••••• I••••••••• P•••••••• L•• (listed 2023-05-15, absent 2024-02-18)Feb 18, 2024 · Control person left · inference
- Wayne Caleb Lennon (Chief Compliance Officer) appeared on Schedule A of T••••• I••••••••• P•••••••• L••May 15, 2023 · Control person joined · fact
- T••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 7, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-452-2100reportedpublic record, Form ADV, Feb 9, 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
- $66.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026