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
R•••• R••• A••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Jan 13, 2017 · 49 filings
SEC status approved since Jan 23, 2017
RAUM
$907M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$729M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
22
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$907M as of Jun 22, 2026
Mar 14, 2018$205M then
HNW client RAUM$595M as of Jun 22, 2026
Mar 14, 2018$140M then
State-registered IARs (5.B.3)11 as of Jun 22, 2026
Mar 14, 20185 then
Employees (5.A)22 as of Jun 22, 2026
Mar 14, 201810 then
Private funds: no history
RAUM +11% over the last fiscal year+23% a year over threeIARs 14 to 11offices 2 to 1
Practice profile
derived from the filing of Jun 22, 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
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $468,557derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $169M, 335 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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$595M70%
- Individuals$134M16%
- Pooled investment vehicles$72.1M8.5%
- Pension and profit-sharing plans$22.6M2.6%
- Corporations and businesses$22.1M2.6%
- Charitable organizations$5.9M0.7%
- Individual clients
- 420reported
- HNW clients
- 202reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,935reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $169M for 335 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.08 institutional_share=0.03 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 |
|---|---|---|---|---|
| J••• R••••• P••••••Certified Financial Planner | Wilton, Ct | Apr 21, 2017 | 41 y | 1 |
| B••• T••••• B•••••Certified Financial Planner | Wilton, Ct | May 3, 2017 | 31 y | 1 |
| C•••• D•• J••••• | Wilton, Ct | Jan 24, 2020 | 26 y | 2 |
| S•••• L•••••• D•••• | Wilton, Ct | Sep 3, 2020 | 27 y | 3 |
| R••••• A••• W••••••••Certified Financial Planner, Personal Financial Specialist | Harrison, Ny | Feb 23, 2022 | 40 y | 3 |
| L•••• K•••••••••Chartered Financial Analyst | Wilton, Ct | May 31, 2022 | 41 y | 1 |
| J•••••• M••••••• S••• | Wilton, Ct | Sep 21, 2023 | 42 y | 1 |
| E••••• V••••• B••••••• | Wilton, Ct | May 30, 2024 | 12 y | 1 |
| A•••••• C••••• | Wilton, Ct | Jul 30, 2025 | 12 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 22% of current headcount5 left over 36 months
Left, latest
- R••••• J••••• B•••••• to B••••••• J•••• L••May 18, 2026 · RIA to RIA
- E•••• H••• M•••• to G•••••• G•••• A•••••••• L••Jan 6, 2026 · RIA to RIA
- N•••• E• C••••••••• to A••••• I••••••••• M••••••••• L••Jun 10, 2025 · RIA to a newly registered adviser
- H•••••• S•••• S•••••••• to A••••• I••••••••• M••••••••• L••Jun 10, 2025 · RIA to a newly registered adviser
- J•• H• to A••••• I••••••••• M••••••••• L••Jun 10, 2025 · RIA to a newly registered adviser
- M•••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••Aug 9, 2022 · RIA to affiliated broker-dealer or bank
- D•••• P•••• D••••• to R••• A•••••••• L••Dec 6, 2018 · RIA to RIA
Joined, latest
- N•••• E• C••••••••• from G•••••••• I••••••••• M••••••••• I•••Nov 3, 2024 · RIA to RIA
- H•••••• S•••• S•••••••• from G•••••••• I••••••••• M••••••••• I•••Nov 1, 2024 · RIA to RIA
- J•• H• from G•••••••• I••••••••• M••••••••• I•••Nov 1, 2024 · RIA to RIA
- E••••• V••••• B••••••• from G•••••••• I••••••••• M••••••••• I•••May 30, 2024 · RIA to RIA
- J•••••• M••••••• S••• from A•••••••• S••• A••••••••• I•••Sep 21, 2023 · RIA to RIA
- L•••• K••••••••• from P•••••• A•••••• G••••• L••May 31, 2022 · Affiliated broker-dealer or bank to independent RIA
- R••••• A••• W•••••••• from C••••• A•••••• N••••••• L••Feb 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- E•••• H••• M•••• from W•••• F•••• A•••••••Jan 5, 2021 · Wirehouse to independent RIA
- S•••• L•••••• D•••• from W•••••• I••••••••• S•••••••••Sep 3, 2020 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C••••••••• from M••••• S••••••Apr 22, 2020 · Wirehouse to independent RIA
- C•••• D•• J••••• from A••••• W••••• M••••••••• L••Jan 24, 2020 · RIA to RIA
- B••• T••••• B••••• from A••••••••• F•••••••• S•••••••• L••May 3, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• P•••• D••••• from A••••••••• F•••••••• S•••••••• L••Apr 21, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• R••••• P•••••• from A••••••••• F•••••••• S•••••••• L••Apr 21, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A••••• I••••••••• M••••••••• L••Jun 10, 2025 · Wilton, Ct
- 3 joined from G•••••••• I••••••••• M••••••••• I•••Nov 5, 2024 · Norwalk, Ct · Firm absorbed
- 2 joined from A••••••••• F•••••••• S•••••••• L••Apr 24, 2017 · Pound Ridge, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B•••• T••••• · Managing Member, Principal, And P•••••• Wealth A••••••controlsince 04/2017 · owns 50% to 75%
- J•••••• C••••• D•• · Member, Cco And P•••••• Wealth A••••••controlsince 11/2023 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Wilton, Ct · principal | 9 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Harrison, NY1 employees
- White Plains, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- acquired a••••••s left within a yearCombination · filing Nov 5, 20243 of the 3 advisors who moved from G•••••••• I••••••••• M••••••••• I••• to R•••• R••• A••••••• L•• on 2024-11-05 had left the acquirer within 365 dayspeers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,126 to 1,935Feb 13, 2026 to Mar 30, 2026
- Advisory employees · 14 to 12Feb 13, 2026 to Mar 30, 2026
- Charity clients · unset to 5.0Feb 13, 2026 to Mar 30, 2026
- HNW clients · 218 to 202Feb 13, 2026 to Mar 30, 2026
- Individual clients · 466 to 420Feb 13, 2026 to Mar 30, 2026
- Pooled vehicle clients · unset to 1.0Feb 13, 2026 to Mar 30, 2026
- Assets in custody · $131M to $169MFeb 13, 2026 to Mar 30, 2026
- Employees · 24 to 22Feb 13, 2026 to Mar 30, 2026
- State-registered IARs · 14 to 11Feb 13, 2026 to Mar 30, 2026
- Other offices · 2 to 1Feb 13, 2026 to Mar 30, 2026
- Discretionary RAUM · $807M to $907MFeb 13, 2026 to Mar 30, 2026
- HNW RAUM · $563M to $595MFeb 13, 2026 to Mar 30, 2026
- Individual RAUM · $175M to $134MFeb 13, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $7.7M to $0Feb 13, 2026 to Mar 30, 2026
- Pension RAUM · unset to 22564184.0Feb 13, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · unset to 72080470.0Feb 13, 2026 to Mar 30, 2026
- RAUM · $815M to $907MFeb 13, 2026 to Mar 30, 2026
- Related insurance company · false to trueFeb 13, 2026 to Mar 30, 2026
- Advisory activities · 4 to 5Jul 8, 2025 to Sep 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2025 to Jul 8, 2025
- Accounts · 1,816 to 2,126Feb 26, 2025 to Mar 28, 2025
- Advisory employees · 10 to 14Feb 26, 2025 to Mar 28, 2025
- BD registered reps · 1 to 0Feb 26, 2025 to Mar 28, 2025
- Corporate clients · unset to 8.0Feb 26, 2025 to Mar 28, 2025
- HNW clients · 173 to 218Feb 26, 2025 to Mar 28, 2025
- Individual clients · 452 to 466Feb 26, 2025 to Mar 28, 2025
- Assets in custody · $330M to $131MFeb 26, 2025 to Mar 28, 2025
- Employees · 19 to 24Feb 26, 2025 to Mar 28, 2025
- Insurance-licensed employees · 1 to 0Feb 26, 2025 to Mar 28, 2025
- State-registered IARs · 10 to 14Feb 26, 2025 to Mar 28, 2025
- Discretionary RAUM · $644M to $807MFeb 26, 2025 to Mar 28, 2025
- HNW RAUM · $490M to $563MFeb 26, 2025 to Mar 28, 2025
- Individual RAUM · $148M to $175MFeb 26, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $29.7M to $7.7MFeb 26, 2025 to Mar 28, 2025
- RAUM · $673M to $815MFeb 26, 2025 to Mar 28, 2025
- Accounts · 1,677 to 1,816Nov 7, 2023 to Mar 21, 2024
- Advisory employees · 9 to 10Nov 7, 2023 to Mar 21, 2024
- HNW clients · 157 to 173Nov 7, 2023 to Mar 21, 2024
- Individual clients · 432 to 452Nov 7, 2023 to Mar 21, 2024
- Assets in custody · $141M to $330MNov 7, 2023 to Mar 21, 2024
Signals
16 dated events
- R••••• J••••• B•••••• left R•••• R••• A••••••• L•• for B••••••• J•••• L•• (registered 2026-06-05)May 18, 2026 · a•••••• firm change · fact
- E•••• H••• M•••• left R•••• R••• A••••••• L•• for G•••••• G•••• A•••••••• L•• (registered 2026-03-25)Jan 6, 2026 · a•••••• firm change · fact
- J•• H• left R•••• R••• A••••••• L•• for A••••• I••••••••• M••••••••• L•• (registered 2025-06-11)Jun 10, 2025 · a•••••• firm change · fact
- N•••• E• C••••••••• left R•••• R••• A••••••• L•• for A••••• I••••••••• M••••••••• L•• (registered 2025-06-10)Jun 10, 2025 · a•••••• firm change · fact
- H•••••• S•••• S•••••••• left R•••• R••• A••••••• L•• for A••••• I••••••••• M••••••••• L•• (registered 2025-06-11)Jun 10, 2025 · a•••••• firm change · fact
- 3 advisors left R•••• R••• A••••••• L•• (Wilton, CT) for A••••• I••••••••• M••••••••• L•• on the same dayJun 10, 2025 · Team lift-out · derived
- G•••••••• I••••••••• M••••••••• I•••'s advisors moved to R•••• R••• A••••••• L•• (Norwalk, CT): 3 of 3 registered, on the same dayNov 5, 2024 · Firm absorbed (people side) · derived
- R•••• R••• A••••••• L•• reported RAUM $673.3M, up 39% from $484.8M (2023-11-07 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- Berrio Erika Morro (Chief Compliance Officer) no longer on Schedule A of R•••• R••• A••••••• L•• (listed 2023-09-15, absent 2023-11-07)Nov 7, 2023 · Control person left · inference
- Dan Craig Jensen (Member And Cco) appeared on Schedule A of R•••• R••• A••••••• L••Nov 7, 2023 · Control person joined · fact
- Berrio Erika Morro (Chief Compliance Officer) appeared on Schedule A of R•••• R••• A••••••• L••Nov 28, 2022 · Control person joined · fact
- Erika B Morro (Chief Compliance Officer) no longer on Schedule A of R•••• R••• A••••••• L•• (listed 2022-11-11, absent 2022-11-28)Nov 28, 2022 · Control person left · inference
- Erika B Morro (Chief Compliance Officer) appeared on Schedule A of R•••• R••• A••••••• L••Nov 11, 2022 · Control person joined · fact
- M•••••• C••••••••• left R•••• R••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-12)Aug 9, 2022 · a•••••• firm change · fact
- R•••• R••• A••••••• L•• reported RAUM $492.7M, up 89% from $261.1M (2021-11-19 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- R• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 13, 2017 · 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
- 203-920-4774reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/roundrockadvisors/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/thbwealthmgt/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 920-4774reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- roundrockadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- roundrockadvisors.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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026