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••••••••• F•••••••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Aug 17, 2018 · 27 filings
SEC status approved since Oct 1, 2018
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$198M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$99.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$199M as of Mar 26, 2026
Jan 21, 2019$102M then
HNW client RAUM$160M as of Mar 26, 2026
Jan 21, 2019$66.1M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Jan 21, 20191 then
Employees (5.A)2 as of Mar 26, 2026
Jan 21, 20195 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 1 to 2offices 0 to 2
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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $99.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $385,606derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $71.9M, 68 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M80%
- Individuals$38.0M19%
- Pension and profit-sharing plans$533,1670.3%
- Charitable organizations$428,0730.2%
- Individual clients
- 141reported
- HNW clients
- 80reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 517reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.9M for 68 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• T••••••••• | Clinton, Nj | Oct 5, 2018 | 29 y | 4 |
| J••••• K•••• P•••••• | Shawnee, Ks | Jan 7, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••••• K•••• P•••••• from N••••••••• M••••• I••••••••• S•••••••••Jan 7, 2026 · Other
- L•••• T••••••••• from I• A••••••• S•••••••• I•••Oct 5, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• L•••• · Member And Chief Compliance Officercontrolsince 10/2018 · owns 75% or more
- T••••••••• L•••• · Shareholdercontrolsince 10/2018 · owns 75% or more of T••••••••• F•••••••• P•••••••• I•••
Entity owners
- T••••••••• F•••••••• P•••••••• I••• · Managing Memberdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Clinton, Nj · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 2Feb 5, 2026 to Mar 26, 2026
- Advisory employees · 1 to 2Nov 26, 2025 to Jan 30, 2026
- HNW clients · 88 to 80Nov 26, 2025 to Jan 30, 2026
- Individual clients · 133 to 141Nov 26, 2025 to Jan 30, 2026
- Assets in custody · $60.8M to $71.9MNov 26, 2025 to Jan 30, 2026
- Employees · 1 to 2Nov 26, 2025 to Jan 30, 2026
- Financial planning clients · 11-25 to 1-10Nov 26, 2025 to Jan 30, 2026
- State-registered IARs · 1 to 2Nov 26, 2025 to Jan 30, 2026
- Other offices · 0 to 1Nov 26, 2025 to Jan 30, 2026
- Discretionary RAUM · $178M to $199MNov 26, 2025 to Jan 30, 2026
- HNW RAUM · $147M to $160MNov 26, 2025 to Jan 30, 2026
- Individual RAUM · $30.3M to $38.0MNov 26, 2025 to Jan 30, 2026
- Pension RAUM · $18,748 to $533,167Nov 26, 2025 to Jan 30, 2026
- RAUM · $178M to $199MNov 26, 2025 to Jan 30, 2026
- Individual clients · 164 to 133Jan 2, 2025 to Feb 18, 2025
- Accounts · 503 to 517Jan 2, 2025 to Feb 18, 2025
- Charity clients · 2 to 3Jan 2, 2025 to Feb 18, 2025
- HNW clients · 63 to 88Jan 2, 2025 to Feb 18, 2025
- Pension plan clients · 2 to 1Jan 2, 2025 to Feb 18, 2025
- Assets in custody · $52.3M to $60.8MJan 2, 2025 to Feb 18, 2025
- Financial planning clients · 11-25 to 11-25Jan 2, 2025 to Feb 18, 2025
- Discretionary RAUM · $163M to $178MJan 2, 2025 to Feb 18, 2025
- HNW RAUM · $122M to $147MJan 2, 2025 to Feb 18, 2025
- Individual RAUM · $39.8M to $30.3MJan 2, 2025 to Feb 18, 2025
- Pension RAUM · $1.1M to $18,748Jan 2, 2025 to Feb 18, 2025
- RAUM · $163M to $178MJan 2, 2025 to Feb 18, 2025
- Accounts · 480 to 503Dec 15, 2023 to Mar 27, 2024
- HNW clients · 89 to 63Dec 15, 2023 to Mar 27, 2024
- Individual clients · 115 to 164Dec 15, 2023 to Mar 27, 2024
- Pension plan clients · unset to 2.0Dec 15, 2023 to Mar 27, 2024
- Assets in custody · $70.1M to $52.3MDec 15, 2023 to Mar 27, 2024
- Employees · 2 to 1Dec 15, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 11-25Dec 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $147M to $163MDec 15, 2023 to Mar 27, 2024
- HNW RAUM · $119M to $122MDec 15, 2023 to Mar 27, 2024
- Individual RAUM · $27.6M to $39.8MDec 15, 2023 to Mar 27, 2024
- Pension RAUM · unset to 1085085.0Dec 15, 2023 to Mar 27, 2024
- RAUM · $147M to $163MDec 15, 2023 to Mar 27, 2024
- Accounts · 448 to 480Jan 3, 2023 to Mar 16, 2023
- Charity clients · 1 to 2Jan 3, 2023 to Mar 16, 2023
Signals
2 dated events
- Anne Dana Isherwood (Chief Compliance Officer) no longer on Schedule A of T••••••••• F•••••••• A••••••• L•• (listed 2019-01-21, absent 2019-02-25)Feb 25, 2019 · Control person left · inference
- M••••• L•• filed its initial SEC registration (Form ADV)Aug 17, 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 phone
- 908-730-6234reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- tranquillifa.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (908) 730-6234reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- tranquillifa.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $99.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026