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.
SEC-registered adviser
Dj Wealth Systems, LLC
Latest filing Jan 13, 2026
First filing on the tape Oct 30, 2018 · 26 filings
SEC status approved since Nov 29, 2018
RAUM
$44.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$44.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$44.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$44.0M as of Jan 13, 2026
Jan 24, 2019$10.0M then
HNW client RAUM$44.0M as of Jan 13, 2026
Jan 24, 2019$10.0M then
State-registered IARs (5.B.3)1 as of Jan 13, 2026
Jan 24, 20192 then
Employees (5.A)1 as of Jan 13, 2026
Jan 24, 20192 then
Private funds: no history
RAUM +4.8% over the last fiscal year-5.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $44.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$44.0M100%
- Individual clients
- 0reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jason Andrew Ginsburg | New York, Ny | May 29, 2021 | 28 y | 1 |
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
- Nicholas Vincent Mellone to CaptrustApr 12, 2023 · Other
Joined, latest
- Nicholas Vincent Mellone from Cresset Asset Management, LLCJun 4, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Andrew Jason Ginsburg · Managing Member & Chief Compliance Officercontrolsince 09/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 27 to 23Jan 21, 2025 to Jan 13, 2026
- HNW clients · 22 to 20Jan 21, 2025 to Jan 13, 2026
- Discretionary RAUM · $42.0M to $44.0MJan 21, 2025 to Jan 13, 2026
- HNW RAUM · $42.0M to $44.0MJan 21, 2025 to Jan 13, 2026
- RAUM · $42.0M to $44.0MJan 21, 2025 to Jan 13, 2026
- Accounts · 29 to 27Jan 18, 2024 to Jan 21, 2025
- HNW clients · 29 to 22Jan 18, 2024 to Jan 21, 2025
- Financial planning clients · unset to Jan 18, 2024 to Jan 21, 2025
- HQ city · unset to Jan 18, 2024 to Jan 21, 2025
- HQ state · unset to Jan 18, 2024 to Jan 21, 2025
- Discretionary RAUM · $45.8M to $42.0MJan 18, 2024 to Jan 21, 2025
- HNW RAUM · $45.8M to $42.0MJan 18, 2024 to Jan 21, 2025
- RAUM · $45.8M to $42.0MJan 18, 2024 to Jan 21, 2025
- Accounts · 21 to 29Oct 11, 2023 to Jan 18, 2024
- HNW clients · 21 to 29Oct 11, 2023 to Jan 18, 2024
- Discretionary RAUM · $51.5M to $45.8MOct 11, 2023 to Jan 18, 2024
- HNW RAUM · $51.5M to $45.8MOct 11, 2023 to Jan 18, 2024
- RAUM · $51.5M to $45.8MOct 11, 2023 to Jan 18, 2024
- Advisory employees · 3 to 1Apr 4, 2023 to May 16, 2023
- Employees · 3 to 1Apr 4, 2023 to May 16, 2023
- HQ city · NEW YORK to unsetApr 4, 2023 to May 16, 2023
- HQ state · NY to unsetApr 4, 2023 to May 16, 2023
- State-registered IARs · 2 to 1Apr 4, 2023 to May 16, 2023
- Accounts · 59 to 21Feb 2, 2022 to Jan 26, 2023
- HNW clients · 59 to 21Feb 2, 2022 to Jan 26, 2023
- Discretionary RAUM · $146M to $51.5MFeb 2, 2022 to Jan 26, 2023
- HNW RAUM · $146M to $51.5MFeb 2, 2022 to Jan 26, 2023
- RAUM · $146M to $51.5MFeb 2, 2022 to Jan 26, 2023
- Accounts · 30 to 59Jan 19, 2022 to Feb 2, 2022
- Advisory employees · 2 to 3Jan 19, 2022 to Feb 2, 2022
- HNW clients · 30 to 59Jan 19, 2022 to Feb 2, 2022
- Discretionary RAUM · $99.9M to $146MJan 19, 2022 to Feb 2, 2022
- HNW RAUM · $99.9M to $146MJan 19, 2022 to Feb 2, 2022
- RAUM · $99.9M to $146MJan 19, 2022 to Feb 2, 2022
- Employees · 2 to 3Jan 13, 2021 to Jul 13, 2021
- Advisory employees · 3 to 2Jan 8, 2021 to Jan 13, 2021
- Employees · 3 to 2Jan 8, 2021 to Jan 13, 2021
- State-registered IARs · 3 to 2Jan 8, 2021 to Jan 13, 2021
- Accounts · 27 to 30Dec 7, 2020 to Jan 8, 2021
- HNW clients · 21 to 30Dec 7, 2020 to Jan 8, 2021
Signals
3 dated events
- Robinson David Heacock (Member) no longer on Schedule A of Dj Wealth Systems, Llc (listed 2023-04-04, absent 2023-05-16)May 16, 2023 · Control person left · inference
- Nicholas Vincent Mellone left Dj Wealth Systems, Llc for Captrust (registered 2023-03-20)Apr 12, 2023 · Advisor changed firm · fact
- Dj Wealth Systems, Llc filed its initial SEC registration (Form ADV)Oct 30, 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
- 917-207-0787reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- djwealthsystems.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (917) 207-0787reportedpublic record, Form ADV, Jan 13, 2026
- Contact form
- djwealthsystems.com/contact-usreportedpublished 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
- $44.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026