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••••••••• A•••• M•••••••••
Legal name R••••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 25, 2020 · 13 filings
SEC status approved since Sep 24, 2020
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
50%
$114M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$229M as of Mar 31, 2026
Mar 9, 2021$16.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 9, 20211 then
Employees (5.A)3 as of Mar 31, 2026
Mar 9, 20212 then
Private funds: no history
RAUM +39% over the last fiscal year+55% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW 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
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$115M50%
- Individuals$114M50%
- Individual clients
- 70reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 121reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.5 fund_share=0.5 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 |
|---|---|---|---|---|
| J•••• T• B•••••• | Isle Of Palms, Sc | Jun 30, 2022 | 20 y | 3 |
| B•••• M• M••••••• | Isle Of Palms, Sc | Dec 8, 2025 | 16 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
- B•••• M• M••••••• from N•••••Dec 8, 2025 · Other
- J•••• T• B•••••• from B••••••• C•••••• I•••Mar 3, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• T• · Chief Executive Officercontrolsince 01/2019 · owns 75% or more
- M••••• D•••••• R•••••• · Ccosince 03/2022 · 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 |
|---|---|---|---|---|---|
| Isle Of Palms, Sc | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $164,950,000 to $228,900,000 (+39.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 67 to 121Jan 12, 2026 to Mar 31, 2026
- Advisory employees · 1 to 2Jan 12, 2026 to Mar 31, 2026
- Individual clients · 65 to 70Jan 12, 2026 to Mar 31, 2026
- Employees · 2 to 3Jan 12, 2026 to Mar 31, 2026
- State-registered IARs · 1 to 2Jan 12, 2026 to Mar 31, 2026
- Discretionary RAUM · $165M to $229MJan 12, 2026 to Mar 31, 2026
- Individual RAUM · $93.7M to $114MJan 12, 2026 to Mar 31, 2026
- RAUM · $165M to $229MJan 12, 2026 to Mar 31, 2026
- Accounts · 53 to 67Mar 29, 2024 to Mar 28, 2025
- Individual clients · 51 to 65Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 28, 2025
- HQ city · unset to Mar 29, 2024 to Mar 28, 2025
- HQ state · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $131M to $165MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $89.4M to $93.7MMar 29, 2024 to Mar 28, 2025
- RAUM · $131M to $165MMar 29, 2024 to Mar 28, 2025
- Employees · 3 to 2Aug 2, 2023 to Mar 29, 2024
- Accounts · 40 to 53Aug 2, 2023 to Mar 29, 2024
- Individual clients · 16 to 51Aug 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $62.0M to $131MAug 2, 2023 to Mar 29, 2024
- Individual RAUM · $38.7M to $89.4MAug 2, 2023 to Mar 29, 2024
- RAUM · $62.0M to $131MAug 2, 2023 to Mar 29, 2024
- Accounts · 27 to 40Mar 23, 2022 to Mar 29, 2023
- Advisory activities · 3 to 5Mar 23, 2022 to Mar 29, 2023
- Individual clients · 15 to 16Mar 23, 2022 to Mar 29, 2023
- Employees · 1 to 3Mar 23, 2022 to Mar 29, 2023
- Financial planning clients · 0 to 1-10Mar 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $32.4M to $62.0MMar 23, 2022 to Mar 29, 2023
- Individual RAUM · $17.5M to $38.7MMar 23, 2022 to Mar 29, 2023
- RAUM · $32.4M to $62.0MMar 23, 2022 to Mar 29, 2023
- Accounts · 30 to 27Oct 18, 2021 to Mar 23, 2022
- Employees · 2 to 1Oct 18, 2021 to Mar 23, 2022
- Discretionary RAUM · $16.8M to $32.4MOct 18, 2021 to Mar 23, 2022
- Individual RAUM · $14.4M to $17.5MOct 18, 2021 to Mar 23, 2022
- RAUM · $16.8M to $32.4MOct 18, 2021 to Mar 23, 2022
- Accounts · 35 to 30Aug 25, 2020 to Mar 9, 2021
- BD registered reps · 1 to 0Aug 25, 2020 to Mar 9, 2021
- Individual clients · 10 to 15Aug 25, 2020 to Mar 9, 2021
- Discretionary RAUM · $14.0M to $16.8MAug 25, 2020 to Mar 9, 2021
- Individual RAUM · $14.0M to $14.4MAug 25, 2020 to Mar 9, 2021
Signals
1 dated events
- R••••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Aug 25, 2020 · 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
- info@reflectionam.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/wmnomicsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/reflection-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- reflectionam.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-584-4042reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- reflectionam.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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026