DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••• I••••• W••••• M••••••••• I•••
Latest filing Aug 19, 2026
First filing on the tape Oct 1, 2014 · 21 filings
SEC status approved since Oct 15, 2014
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$292M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$292M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$292M as of Aug 19, 2026
Mar 31, 2015$104M then
HNW client RAUM$273M as of Aug 19, 2026
Feb 8, 2018$105M then
State-registered IARs (5.B.3)1 as of Aug 19, 2026
Mar 31, 20150 then
Employees (5.A)1 as of Aug 19, 2026
Mar 31, 20152 then
Private funds: no history
RAUM +20% over the last fiscal year+26% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 19, 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
- $292MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $598,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $63.9M, 70 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$273M94%
- Individuals$18.2M6.2%
- Individual clients
- 55reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 487reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.9M for 70 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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•••••• J••••• M••••Certified Financial Planner | Raleigh, Nc | Jul 15, 2021 | 20 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•••••• J••••• · Chief Compliance Officercontrolsince 09/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 649 to 487Nov 4, 2025 to Feb 12, 2026
- HNW clients · 82 to 70Nov 4, 2025 to Feb 12, 2026
- Individual clients · 47 to 55Nov 4, 2025 to Feb 12, 2026
- Assets in custody · unset to 63873977.0Nov 4, 2025 to Feb 12, 2026
- Custody of client assets · false to trueNov 4, 2025 to Feb 12, 2026
- Financial planning clients · 0 to 11-25Nov 4, 2025 to Feb 12, 2026
- Discretionary RAUM · $233M to $292MNov 4, 2025 to Feb 12, 2026
- HNW RAUM · $231M to $273MNov 4, 2025 to Feb 12, 2026
- Individual RAUM · $12.5M to $18.2MNov 4, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $11.1M to $0Nov 4, 2025 to Feb 12, 2026
- RAUM · $244M to $292MNov 4, 2025 to Feb 12, 2026
- Financial planning clients · 0 to 0Mar 24, 2025 to Nov 4, 2025
- Accounts · 422 to 649Mar 9, 2024 to Mar 24, 2025
- Individual clients · 33 to 47Mar 9, 2024 to Mar 24, 2025
- Insurance-licensed employees · 0 to 1Mar 9, 2024 to Mar 24, 2025
- Financial planning clients · 51-100 to 0Mar 9, 2024 to Mar 24, 2025
- State-registered IARs · 0 to 1Mar 9, 2024 to Mar 24, 2025
- Discretionary RAUM · $211M to $233MMar 9, 2024 to Mar 24, 2025
- HNW RAUM · $199M to $231MMar 9, 2024 to Mar 24, 2025
- Individual RAUM · $18.1M to $12.5MMar 9, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $6.8M to $11.1MMar 9, 2024 to Mar 24, 2025
- RAUM · $217M to $244MMar 9, 2024 to Mar 24, 2025
- Accounts · 372 to 422Oct 9, 2023 to Mar 9, 2024
- HNW clients · 63 to 82Oct 9, 2023 to Mar 9, 2024
- Individual clients · 29 to 33Oct 9, 2023 to Mar 9, 2024
- Discretionary RAUM · $124M to $211MOct 9, 2023 to Mar 9, 2024
- HNW RAUM · $141M to $199MOct 9, 2023 to Mar 9, 2024
- Individual RAUM · $4.1M to $18.1MOct 9, 2023 to Mar 9, 2024
- Non-discretionary RAUM · $21.6M to $6.8MOct 9, 2023 to Mar 9, 2024
- RAUM · $146M to $217MOct 9, 2023 to Mar 9, 2024
- Accounts · 358 to 372Mar 21, 2022 to Mar 18, 2023
- HNW clients · 75 to 63Mar 21, 2022 to Mar 18, 2023
- Individual clients · 21 to 29Mar 21, 2022 to Mar 18, 2023
- Discretionary RAUM · $135M to $124MMar 21, 2022 to Mar 18, 2023
- HNW RAUM · $134M to $141MMar 21, 2022 to Mar 18, 2023
- Individual RAUM · $4.4M to $4.1MMar 21, 2022 to Mar 18, 2023
- Non-discretionary RAUM · $3.5M to $21.6MMar 21, 2022 to Mar 18, 2023
- RAUM · $138M to $146MMar 21, 2022 to Mar 18, 2023
- Accounts · 335 to 358Mar 16, 2021 to Mar 21, 2022
- Charity clients · unset to 0.0Mar 16, 2021 to Mar 21, 2022
Signals
2 dated events
- Jeffrey R. Burke (Chief Compliance Officer) no longer on Schedule A of L••• I••••• W••••• M••••••••• I••• (listed 2018-02-08, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- L••• I••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Oct 1, 2014 · 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
- trswealthadvisors.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 516-238-7629reportedpublic record, Form ADV, Aug 19, 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
- $292Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026