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•••••••••
Legal name T••• R•• L••
Latest filing Mar 26, 2026
First filing on the tape Nov 14, 2024 · 5 filings
SEC status approved since Dec 16, 2024
RAUM
$196M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$196M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$65.2M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$196M as of Mar 26, 2026
Feb 11, 2025$149M then
HNW client RAUM$131M as of Mar 26, 2026
Feb 11, 2025$104M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Feb 11, 20252 then
Employees (5.A)6 as of Mar 26, 2026
Feb 11, 20252 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 2 to 3
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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $194M, 149 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$131M67%
- Individuals$64.3M33%
- Individual clients
- 97reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 150reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $194M for 149 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•• T•••Personal Financial Specialist | Westfield, Nj | Jun 2, 2016 | 16 y | 1 |
| M•••• G••••••••• | Westfield, Nj | Sep 29, 2022 | 32 y | 0 |
| S•••• L•••• K••••••••• | Westfield, Nj | Oct 24, 2025 | 11 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
- D•••• L•• T••• from S••••••• I••••••••• I•••Jun 2, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• D•••• · Managing Member/Owner/Ccocontrolsince 04/2016 · owns 75% or more
Related persons
Schedule D 7.A
- T••• A••••••••• A•• B••••••• S•••••••• I•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westfield, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-21, yes on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 578.0 to 150.0 (-74.0%) between the annual amendments of 2025-03-18 and 2026-03-26; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.7% percentile
What changed
consecutive filings, newest first
- Accounts · 578 to 150Nov 21, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Nov 21, 2025 to Mar 26, 2026
- Corporate clients · 1 to 0Nov 21, 2025 to Mar 26, 2026
- HNW clients · 56 to 52Nov 21, 2025 to Mar 26, 2026
- Individual clients · 95 to 97Nov 21, 2025 to Mar 26, 2026
- Pension plan clients · 4 to 0Nov 21, 2025 to Mar 26, 2026
- Assets in custody · unset to 194055874.0Nov 21, 2025 to Mar 26, 2026
- Custody of client assets · false to trueNov 21, 2025 to Mar 26, 2026
- Employees · 5 to 6Nov 21, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to 0Nov 21, 2025 to Mar 26, 2026
- State-registered IARs · 2 to 3Nov 21, 2025 to Mar 26, 2026
- Discretionary RAUM · $144M to $194MNov 21, 2025 to Mar 26, 2026
- HNW RAUM · $102M to $131MNov 21, 2025 to Mar 26, 2026
- Individual RAUM · $41.0M to $64.3MNov 21, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $2.3M to $1.7MNov 21, 2025 to Mar 26, 2026
- Pension RAUM · $2.3M to $0Nov 21, 2025 to Mar 26, 2026
- RAUM · $146M to $196MNov 21, 2025 to Mar 26, 2026
- Accounts · 754 to 578Feb 11, 2025 to Mar 18, 2025
- HNW clients · 51 to 56Feb 11, 2025 to Mar 18, 2025
- Individual clients · 93 to 95Feb 11, 2025 to Mar 18, 2025
- Employees · 2 to 5Feb 11, 2025 to Mar 18, 2025
- Financial planning clients · 51-100 to 51-100Feb 11, 2025 to Mar 18, 2025
- Discretionary RAUM · $147M to $144MFeb 11, 2025 to Mar 18, 2025
- HNW RAUM · $104M to $102MFeb 11, 2025 to Mar 18, 2025
- Individual RAUM · $42.8M to $41.0MFeb 11, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $2.6M to $2.3MFeb 11, 2025 to Mar 18, 2025
- Pension RAUM · $2.6M to $2.3MFeb 11, 2025 to Mar 18, 2025
- RAUM · $149M to $146MFeb 11, 2025 to Mar 18, 2025
Signals
1 dated events
- T••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 14, 2024 · 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
- b••••••• phone
- 617-885-2100reportedpublished by the firm, firm site, Sep 16, 2026
- b••••••• phone
- 908-301-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- teppwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-301-1200reportedpublic 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
- $65.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026