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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Former SEC-registered adviser

T•••• • F•••••••• I••••• P••••••• L••

Former SEC-registered adviserHackensack, New JerseyCRD 283278SEC 801-107479IAPD
Latest filing Mar 26, 2020
First filing on the tape Mar 16, 2016 · 10 filings
RAUM
$75.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.0%
$3.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$75.2M as of Mar 26, 2020
Mar 13, 2017$140M then
HNW client RAUM$3.0M as of Mar 26, 2020
Mar 27, 2018$3.0M then
State-registered IARs (5.B.3)3 as of Mar 26, 2020
Mar 13, 20170 then
Employees (5.A)23 as of Mar 26, 2020
Mar 13, 201711 then
Private funds: no history
RAUM +6.6% over the last fiscal year-19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$25.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$248,888derivedHNW RAUM over HNW clients
Average account
$5.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for investment companiesreportedItem 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
  • Investment companies$72.2M96%
  • High-net-worth individuals$3.0M4.0%
Individual clients
0reported
HNW clients
12reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• A•••••• R••••• · Member & Chief Investment Officercontrol
        since 03/2016 · owns less than 5%
      • J•••••• K••••• W•••• · Chief Operating Officercontrol
        since 03/2019 · owns less than 5%
      • N•••••••• W••••••• V••••• · Member & Chief Compliance Officercontrol
        since 03/2016 · owns less than 5%
      • S•••••• S••••••• C• · Member & Chief Executive Officercontrol
        since 03/2016 · owns less than 5%
      • C••••••• S•••••• C••• · Membercontrol
        since 05/2011 · owns 25% to 50% of C••••• Financial, LLC
      • C•••••• J••••• L•••• · Managing Membercontrol
        since 06/2005 · owns F of C••••• Financial, LLC
      • D••••••••• A•••••• R••••• · Membercontrol
        since 05/2012 · owns 25% to 50% of I•••••• H•••••••• L••
      • S•••••• S••••••• C••••••••• · Membercontrol
        since 08/2014 · owns 25% to 50% of H••• I••••••••• L••
      Entity owners
      • B•••••••• I••••••••• L•• · Managing Member
        direct · owns 75% or more
      • T•••• A•• F•••••••• M••••••••• S•••••••• I••• · Member
        direct · owns 25% to 50%
      • C••••• F•••••••• L•• · Owner
        indirect · owns 75% or more of T•••• A•• F•••••••• M••••••••• S•••••••• I•••
      • H••• I••••••••• L•• · Member
        indirect · owns 25% to 50% of I••••••T Holdings, LLC
      • I•••••• H•••••••• L•• · Managing Member
        indirect · owns 75% or more of B•••••••• I••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 12
        Mar 30, 2019 to Mar 26, 2020
      • Employees · 17 to 23
        Mar 30, 2019 to Mar 26, 2020
      • Discretionary RAUM · $70.5M to $75.2M
        Mar 30, 2019 to Mar 26, 2020
      • HNW RAUM · $2.6M to $3.0M
        Mar 30, 2019 to Mar 26, 2020
      • RAUM · $70.5M to $75.2M
        Mar 30, 2019 to Mar 26, 2020
      • Accounts · 21 to 13
        Mar 27, 2018 to Mar 30, 2019
      • Advisory employees · 10 to 11
        Mar 27, 2018 to Mar 30, 2019
      • BD registered reps · 1 to 4
        Mar 27, 2018 to Mar 30, 2019
      • Corporate clients · 4 to 0
        Mar 27, 2018 to Mar 30, 2019
      • HNW clients · 15 to 12
        Mar 27, 2018 to Mar 30, 2019
      • State-registered IARs · 1 to 3
        Mar 27, 2018 to Mar 30, 2019
      • Discretionary RAUM · $96.4M to $70.5M
        Mar 27, 2018 to Mar 30, 2019
      • HNW RAUM · $3.0M to $2.6M
        Mar 27, 2018 to Mar 30, 2019
      • RAUM · $96.4M to $70.5M
        Mar 27, 2018 to Mar 30, 2019
      • Accounts · 38 to 21
        Mar 13, 2017 to Mar 27, 2018
      • Advisory employees · 6 to 10
        Mar 13, 2017 to Mar 27, 2018
      • BD registered reps · 0 to 1
        Mar 13, 2017 to Mar 27, 2018
      • Charity clients · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Corporate clients · unset to 4.0
        Mar 13, 2017 to Mar 27, 2018
      • HNW clients · unset to 15.0
        Mar 13, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Employees · 11 to 17
        Mar 13, 2017 to Mar 27, 2018
      • State-registered IARs · 0 to 1
        Mar 13, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Mar 13, 2017 to Mar 27, 2018
      • Discretionary RAUM · $140M to $96.4M
        Mar 13, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 2988936.0
        Mar 13, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Pension RAUM · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 13, 2017 to Mar 27, 2018
      • RAUM · $140M to $96.4M
        Mar 13, 2017 to Mar 27, 2018
      • Accounts · 2 to 38
        Jun 22, 2016 to Mar 13, 2017
      • Discretionary RAUM · $117M to $140M
        Jun 22, 2016 to Mar 13, 2017
      • RAUM · $117M to $140M
        Jun 22, 2016 to Mar 13, 2017
      • Discretionary RAUM · $88.1M to $117M
        Apr 6, 2016 to Jun 22, 2016
      • RAUM · $88.1M to $117M
        Apr 6, 2016 to Jun 22, 2016
      • Accounts · unset to 2.0
        Mar 18, 2016 to Mar 28, 2016
      • Advisory activities · 1 to 2
        Mar 18, 2016 to Mar 28, 2016
      • Discretionary RAUM · unset to 88114606.0
        Mar 18, 2016 to Mar 28, 2016
      Signals
      2 dated events
      • White Kevin Jester (Chief Operating Officer) appeared on Schedule A of T•••• • F•••••••• I••••• P••••••• L••
        Mar 30, 2019 · Control person joined · fact
      • T•••• • F•••••••• I••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 16, 2016 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026