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
Williams Jones Wealth Management, LLC
Latest filing Apr 30, 2026
First filing on the tape Jun 12, 2019 · 21 filings
SEC status approved since Jul 22, 2019
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$11B individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$594M
derived; firm RAUM over IAPD count
Employees
52
24 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
8
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$12B as of Apr 30, 2026
Mar 3, 2020$8.2B then
HNW client RAUM$11B as of Apr 30, 2026
Mar 3, 2020$7.2B then
State-registered IARs (5.B.3)22 as of Apr 30, 2026
Mar 3, 20200 then
Employees (5.A)52 as of Apr 30, 2026
Mar 3, 202040 then
Private funds8 as of Apr 30, 2026
Mar 3, 202015 then
RAUM +7.4% over the last fiscal year+10% a year over threeIARs 19 to 22
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $594MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.2MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 7.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +16%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $12B, 1,754 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$11B88%
- Corporations and businesses$1.0B8.1%
- Charitable organizations$271M2.2%
- Individuals$125M1.0%
- Pension and profit-sharing plans$114M0.9%
- Individual clients
- 182reported
- HNW clients
- 1,335reported
- Pension plan clients
- 26reported
- Charitable clients
- 127reported
- Accounts
- 4,788reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12B for 1,754 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Pickering Jones, Jr. | New York, Ny | Aug 23, 2019 | 38 y | 1 |
| Nancy Lee Kokolj | New York, Ny | Sep 5, 2019 | 40 y | 1 |
| David Allan Rosenfeld | New York, Ny | Jan 10, 2020 | 23 y | 1 |
| Sidney F. GoudieChartered Financial Analyst | New York, Ny | May 7, 2021 | 18 y | 0 |
| Malcolm Lauder MacphersonChartered Financial Analyst | New York, Ny | May 7, 2021 | 31 y | 0 |
| J. Douglas Kelly | New York, Ny | May 9, 2021 | 31 y | 0 |
| Maureen Clancy Tompkins | New York, Ny | May 9, 2021 | 21 y | 0 |
| Joseph Bergamo Ghio | New York, Ny | May 9, 2021 | 11 y | 1 |
| Karen Yuen Ma | New York, Ny | May 9, 2021 | 20 y | 0 |
| Barbara Ann Tarmy | New York, Ny | May 9, 2021 | 19 y | 1 |
| John Joseph Eager | New York, Ny | May 9, 2021 | 37 y | 0 |
| Kyle Joseph Eager | New York, Ny | Aug 18, 2021 | 11 y | 1 |
| David Evan GoldbergerCertified Financial Planner | New York, Ny | Jun 27, 2022 | 11 y | 2 |
| Timothy Robert Georgen | Palm Beach, Fl | Mar 19, 2024 | 10 y | 1 |
| Thomas Haskell MaccowattChartered Financial Analyst | Palm Beach, Fl | Jan 1, 2025 | 31 y | 1 |
| Evan Michael BinderCertified Financial Planner | New York, Ny | Jun 17, 2025 | 13 y | 3 |
| Othilla Tara NowakChartered Financial Analyst | New York, Ny | Jul 14, 2025 | 14 y | 0 |
| John Blair Cummings | New York, Ny | Jul 29, 2025 | 41 y | 0 |
| Henry Augustus Wilmerding | New York, Ny | Aug 6, 2025 | 33 y | 0 |
| Patrick Michael KennyChartered Financial Analyst | New York, Ny | Aug 8, 2025 | 11 y | 1 |
| Franco Giovanni AgapitoChartered Financial Analyst | New York, Ny | Oct 7, 2025 | 18 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 headcount1 left over 36 months
Left, latest
- John Brooks Reece to Wealth Enhancement Advisory Services, LLCApr 11, 2025 · RIA to affiliated broker-dealer or bank
- Vance Carrier Brown to Kestra Advisory Services, LLCJun 26, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- Franco Giovanni Agapito from Columbia Management Investment Advisers, LLCOct 7, 2025 · Other
- Patrick Michael Kenny from UBS Financial Services Inc.Aug 8, 2025 · Wirehouse to independent RIA
- Evan Michael Binder from Longwave Financial LLCJun 17, 2025 · Other
- Thomas Haskell Maccowatt from Williams, Jones & Associates, LLCJan 1, 2025 · RIA to RIA
- Timothy Robert Georgen from Fisher InvestmentsMar 19, 2024 · RIA to RIA
- John Brooks Reece from Fisher InvestmentsSep 19, 2023 · RIA to RIA
- David Evan Goldberger from CaptrustJun 27, 2022 · Other
- Kyle Joseph Eager from Hightower Advisors, LLCAug 18, 2021 · Affiliated broker-dealer or bank to independent RIA
- Joseph Bergamo Ghio from William O'Neil + CompanyMay 9, 2021 · Other
- Barbara Ann Tarmy from Neuberger Berman Bd LLCMay 9, 2021 · Other
- David Allan Rosenfeld from Williams, Jones & Associates, LLCJan 10, 2020 · RIA to RIA
- Nancy Lee Kokolj from Williams, Jones & Associates, LLCSep 5, 2019 · RIA to RIA
- William Pickering Jones, Jr. from Williams, Jones & Associates, LLCAug 23, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Williams, Jones & Associates, LLCAug 23, 2019 · New York, Ny · Firm absorbed
Private funds
15 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Joseph John Eager · President, Treasurer And Partnercontrolsince 05/2019 · owns less than 5%
- Pickering William Jr. Jones · Chairman, Partnercontrolsince 05/2019 · owns less than 5%
- Van Hoa Le · Chief Operations Officer, Partner Officercontrolsince 03/2021 · owns less than 5%
- Jeff Schweon · Chief Compliance Officer, Chief Financial Officer, Chief Legal Officer, Partnercontrolsince 05/2019 · owns less than 5%
- Ann Barbara Tarmy · Partnercontrolsince 05/2019 · owns less than 5%
Entity owners
- Focus Operating, LLC · Member (Manager)direct · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners, Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners, Inc.
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Focus Financial Partners, Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
- Cornerstone Wealthinvestment advisernRAUM $2.5B
- Focus Risk Solutions, LLCreal estaten
Advisers that list Williams Jones Wealth Management, LLC as a related person
- 289971 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 20 | 1 | 0 | ||
| Palm Beach, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palm Beach, FL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Apr 30, 2026SCHWEON, JEFF (CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF LEGAL OFFICER, PARTNER) left Schedule A between the filings of 2023-09-25 and 2026-04-30peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 4,609 to 4,788Apr 29, 2025 to Mar 16, 2026
- Advisory employees · 18 to 24Apr 29, 2025 to Mar 16, 2026
- Charity clients · 109 to 127Apr 29, 2025 to Mar 16, 2026
- Corporate clients · 87 to 84Apr 29, 2025 to Mar 16, 2026
- HNW clients · 1,285 to 1,335Apr 29, 2025 to Mar 16, 2026
- Individual clients · 175 to 182Apr 29, 2025 to Mar 16, 2026
- Pension plan clients · 31 to 26Apr 29, 2025 to Mar 16, 2026
- Assets in custody · $12B to $12BApr 29, 2025 to Mar 16, 2026
- Employees · 50 to 52Apr 29, 2025 to Mar 16, 2026
- Financial planning clients · 251-500 to More than 500Apr 29, 2025 to Mar 16, 2026
- State-registered IARs · 19 to 22Apr 29, 2025 to Mar 16, 2026
- Discretionary RAUM · $12B to $12BApr 29, 2025 to Mar 16, 2026
- HNW RAUM · $10B to $11BApr 29, 2025 to Mar 16, 2026
- Individual RAUM · $116M to $125MApr 29, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $52.4M to $54.6MApr 29, 2025 to Mar 16, 2026
- Pension RAUM · $119M to $114MApr 29, 2025 to Mar 16, 2026
- RAUM · $12B to $12BApr 29, 2025 to Mar 16, 2026
- Accounts · 4,634 to 4,609Mar 27, 2024 to Apr 29, 2025
- Advisory employees · 17 to 18Mar 27, 2024 to Apr 29, 2025
- Charity clients · 111 to 109Mar 27, 2024 to Apr 29, 2025
- Corporate clients · 89 to 87Mar 27, 2024 to Apr 29, 2025
- HNW clients · 1,066 to 1,285Mar 27, 2024 to Apr 29, 2025
- Individual clients · 150 to 175Mar 27, 2024 to Apr 29, 2025
- Pension plan clients · 39 to 31Mar 27, 2024 to Apr 29, 2025
- Assets in custody · $11B to $12BMar 27, 2024 to Apr 29, 2025
- Employees · 45 to 50Mar 27, 2024 to Apr 29, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2024 to Apr 29, 2025
- Discretionary RAUM · $10B to $12BMar 27, 2024 to Apr 29, 2025
- HNW RAUM · $9.3B to $10BMar 27, 2024 to Apr 29, 2025
- Individual RAUM · $111M to $116MMar 27, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $77.2M to $52.4MMar 27, 2024 to Apr 29, 2025
- Pension RAUM · $120M to $119MMar 27, 2024 to Apr 29, 2025
- RAUM · $11B to $12BMar 27, 2024 to Apr 29, 2025
- Related insurance company · false to trueMar 27, 2024 to Apr 29, 2025
- Accounts · 4,390 to 4,634Dec 4, 2023 to Mar 18, 2024
- Charity clients · 95 to 111Dec 4, 2023 to Mar 18, 2024
- Corporate clients · 85 to 89Dec 4, 2023 to Mar 18, 2024
- HNW clients · 982 to 1,066Dec 4, 2023 to Mar 18, 2024
- Individual clients · 179 to 150Dec 4, 2023 to Mar 18, 2024
- Pension plan clients · 42 to 39Dec 4, 2023 to Mar 18, 2024
Signals
5 dated events
- John Brooks Reece left Williams Jones Wealth Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2024-10-29)Apr 11, 2025 · Advisor changed firm · fact
- Vance Carrier Brown left Williams Jones Wealth Management, Llc for Kestra Advisory Services, Llc (registered 2023-06-13)Jun 26, 2023 · Advisor changed firm · fact
- Williams Jones Wealth Management, Llc reported 19 state-registered advisory representatives, up from 3 (2021-06-01 to 2022-03-29)Mar 29, 2022 · Advisor headcount change · derived
- Van Hoa Le (Chief Operations Officer, Partner) appeared on Schedule A of Williams Jones Wealth Management, LlcMar 29, 2022 · Control person joined · fact
- Williams Jones Wealth Management, Llc filed its initial SEC registration (Form ADV)Jun 12, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Williams Jones Wealth Management, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@williamsjones.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-935-8750reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 561-537-8065reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/williams-jonesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- williamsjones.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-935-8750reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- williamsjones.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- williamsjones.com/management-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
- $594Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026