DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

T•• C•••••• G•••• F•••••••• A•••••••• L••

Independent wealth managerCRD 295193SEC 801-113587websiteIAPD
Latest filing Mar 19, 2026
First filing on the tape Jun 11, 2018 · 18 filings
SEC status approved since Jul 9, 2018
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$190M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$191M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$191M as of Mar 19, 2026
Mar 19, 2019$96.7M then
HNW client RAUM$143M as of Mar 19, 2026
Mar 19, 2019$34.5M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 19, 20191 then
Employees (5.A)3 as of Mar 19, 2026
Mar 19, 20192 then
Private funds: no history
RAUM -7.4% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 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
$191MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
283derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$265,210derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.4%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 assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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$143M75%
  • Individuals$47.3M25%
  • Pension and profit-sharing plans$1.0M0.5%
Individual clients
232reported
HNW clients
51reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
722reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• J••• R•••••••West Palm Beach, Fl Jul 16, 201831 y1
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• R•••••• J••• · Managing Member/Chief Compliance Officercontrol
        since 02/2018 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Cranston, RI1 employees
      ADV anomalies
      3 against comparable advisers; where to look, not conclusions
      • institutional to wealth shiftCombination · filing Mar 19, 2026
        institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $206,685,192 to $191,481,487, advisors 1 to 1, private clients 283 to 283, offices 1 to 1 (2025-03-19 to 2026-03-19)
        peers: independent wealth managers, $100M to $500M (5,678)
      • client mix shiftChange between filings · filing Mar 19, 2026
        private-client share of RAUM moved from 80.0% to 99.0% between the annual amendments of 2025-03-19 and 2026-03-19
        peers: independent wealth managers, $100M to $500M (5,678)
      • institutional asset share shiftChange between filings · filing Mar 19, 2026
        institutional share of RAUM moved from 20.0% to 1.0% between the annual amendments of 2025-03-19 and 2026-03-19
        peers: independent wealth managers, $100M to $500M (5,678)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 697 to 722
        Mar 19, 2025 to Mar 19, 2026
      • Charity clients · 1.0 to unset
        Mar 19, 2025 to Mar 19, 2026
      • HNW clients · 52 to 51
        Mar 19, 2025 to Mar 19, 2026
      • Individual clients · 231 to 232
        Mar 19, 2025 to Mar 19, 2026
      • Discretionary RAUM · $207M to $191M
        Mar 19, 2025 to Mar 19, 2026
      • HNW RAUM · $125M to $143M
        Mar 19, 2025 to Mar 19, 2026
      • Individual RAUM · $41.0M to $47.3M
        Mar 19, 2025 to Mar 19, 2026
      • Pension RAUM · $1.0M to $1.0M
        Mar 19, 2025 to Mar 19, 2026
      • RAUM · $207M to $191M
        Mar 19, 2025 to Mar 19, 2026
      • Accounts · 646 to 697
        Sep 20, 2024 to Mar 19, 2025
      • HNW clients · 47 to 52
        Sep 20, 2024 to Mar 19, 2025
      • Individual clients · 242 to 231
        Sep 20, 2024 to Mar 19, 2025
      • Pension plan clients · 1 to 2
        Sep 20, 2024 to Mar 19, 2025
      • Financial planning clients · 0 to 0
        Sep 20, 2024 to Mar 19, 2025
      • HQ city · unset to
        Sep 20, 2024 to Mar 19, 2025
      • HQ state · unset to
        Sep 20, 2024 to Mar 19, 2025
      • Discretionary RAUM · $154M to $207M
        Sep 20, 2024 to Mar 19, 2025
      • HNW RAUM · $104M to $125M
        Sep 20, 2024 to Mar 19, 2025
      • Individual RAUM · $39.8M to $41.0M
        Sep 20, 2024 to Mar 19, 2025
      • Pension RAUM · $746,698 to $1.0M
        Sep 20, 2024 to Mar 19, 2025
      • RAUM · $154M to $207M
        Sep 20, 2024 to Mar 19, 2025
      • Accounts · 671 to 646
        Mar 28, 2023 to Mar 5, 2024
      • HNW clients · 43 to 47
        Mar 28, 2023 to Mar 5, 2024
      • Individual clients · 237 to 242
        Mar 28, 2023 to Mar 5, 2024
      • Insurance-licensed employees · 0 to 1
        Mar 28, 2023 to Mar 5, 2024
      • Discretionary RAUM · $134M to $154M
        Mar 28, 2023 to Mar 5, 2024
      • HNW RAUM · $85.4M to $104M
        Mar 28, 2023 to Mar 5, 2024
      • Individual RAUM · $38.0M to $39.8M
        Mar 28, 2023 to Mar 5, 2024
      • Pension RAUM · $772,432 to $746,698
        Mar 28, 2023 to Mar 5, 2024
      • RAUM · $134M to $154M
        Mar 28, 2023 to Mar 5, 2024
      • Accounts · 669 to 671
        Mar 28, 2022 to Mar 28, 2023
      • HNW clients · 42 to 43
        Mar 28, 2022 to Mar 28, 2023
      • Individual clients · 229 to 237
        Mar 28, 2022 to Mar 28, 2023
      • Discretionary RAUM · $153M to $134M
        Mar 28, 2022 to Mar 28, 2023
      • HNW RAUM · $97.2M to $85.4M
        Mar 28, 2022 to Mar 28, 2023
      • Individual RAUM · $41.9M to $38.0M
        Mar 28, 2022 to Mar 28, 2023
      • Pension RAUM · $753,945 to $772,432
        Mar 28, 2022 to Mar 28, 2023
      • RAUM · $153M to $134M
        Mar 28, 2022 to Mar 28, 2023
      • Accounts · 270 to 669
        Nov 24, 2021 to Mar 28, 2022
      • HNW clients · 38 to 42
        Nov 24, 2021 to Mar 28, 2022
      Signals
      1 dated events
      • T•• C•••••• G•••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 11, 2018 · 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 email
      c•••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Business email
      r••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      401-519-9000reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      401-533-9054reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      401-954-3664reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      401-519-9000reportedpublic record, Form ADV, Mar 19, 2026
      Contact form
      c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Team page
      c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
      $191Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026