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••••• R••• W••••• M••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Mar 26, 2024 · 10 filings
SEC status approved since Apr 25, 2024
RAUM
$94.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$93.4M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$23.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$94.0M as of Apr 24, 2026
Feb 27, 2025$60.8M then
HNW client RAUM$75.6M as of Apr 24, 2026
Feb 27, 2025$39.6M then
State-registered IARs (5.B.3)4 as of Apr 24, 2026
Feb 27, 20252 then
Employees (5.A)4 as of Apr 24, 2026
Feb 27, 20252 then
Private funds: no history
RAUM +55% over the last fiscal yearIARs 2 to 4offices 2 to 4
Practice profile
derived from the filing of Apr 24, 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
- RAUM per advisor
- $23.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM 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
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +55%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%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
- $8.6M, 13 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$75.6M80%
- Individuals$17.9M19%
- Corporations and businesses$593,5020.6%
- Individual clients
- 48reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 89reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.6M for 13 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P• M••••Certified Financial Planner, Chartered Financial Analyst | Skillman, Nj | Mar 16, 2021 | 11 y | 0 |
| A••••• T••• C••••••••Certified Financial Planner, Chartered Financial Analyst | Princeton, Nj | Jan 19, 2022 | 15 y | 1 |
| C•••••••• A• D• M•••••Chartered Financial Analyst | New York, Ny | May 8, 2025 | 24 y | 0 |
| G•••• T••••• R••••• | Brooklyn, Ny | May 13, 2025 | 25 y | 0 |
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
- A••••• T••• C•••••••• from B•••••••• I••••••••• M••••••••• L••Jan 19, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• M••••••• P• · Principal & Ccocontrolsince 11/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Princeton, NJ1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 24, 2026HNW share of RAUM moved from 65.0% to 80.0% between the annual amendments of 2025-02-27 and 2026-04-24peers: independent wealth managers, under $100M (707)
- RAUM up 50 %Change between filings · filing Apr 24, 2026RAUM (Item 5.F) moved from $60,834,941 to $94,028,548 (+55.0%) between the annual amendments of 2025-02-27 and 2026-04-24; the peer median change was +8.0% (220 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 100% percentile
- account count collapseChange between filings · filing Apr 24, 2026accounts (Item 5.F.2.f) moved from 261.0 to 89.0 (-66.0%) between the annual amendments of 2025-02-27 and 2026-04-24; the peer median change was +2.0% (135 comparable advisers, 7.0th percentile of changes)peers: independent wealth managers, under $100M (135) · 7.5% percentile
What changed
consecutive filings, newest first
- Accounts · 261 to 89Feb 3, 2026 to Mar 24, 2026
- Advisory employees · 3 to 4Feb 3, 2026 to Mar 24, 2026
- HNW clients · 23 to 40Feb 3, 2026 to Mar 24, 2026
- Individual clients · 52 to 48Feb 3, 2026 to Mar 24, 2026
- Assets in custody · $0 to $8.6MFeb 3, 2026 to Mar 24, 2026
- Custody of client assets · false to trueFeb 3, 2026 to Mar 24, 2026
- Employees · 3 to 4Feb 3, 2026 to Mar 24, 2026
- Insurance-licensed employees · 0 to 1Feb 3, 2026 to Mar 24, 2026
- State-registered IARs · 3 to 4Feb 3, 2026 to Mar 24, 2026
- Other offices · 2 to 4Feb 3, 2026 to Mar 24, 2026
- Discretionary RAUM · $60.8M to $94.0MFeb 3, 2026 to Mar 24, 2026
- HNW RAUM · $39.6M to $75.6MFeb 3, 2026 to Mar 24, 2026
- Individual RAUM · $20.7M to $17.9MFeb 3, 2026 to Mar 24, 2026
- RAUM · $60.8M to $94.0MFeb 3, 2026 to Mar 24, 2026
- Financial planning clients · 51-100 to 51-100Jun 4, 2025 to Jul 28, 2025
- Advisory employees · 2 to 3Feb 27, 2025 to May 7, 2025
- Employees · 2 to 3Feb 27, 2025 to May 7, 2025
- State-registered IARs · 2 to 3Feb 27, 2025 to May 7, 2025
- Accounts · 176 to 261Oct 17, 2024 to Feb 27, 2025
- HNW clients · 47 to 23Oct 17, 2024 to Feb 27, 2025
- Individual clients · 9 to 52Oct 17, 2024 to Feb 27, 2025
- Financial planning clients · 26-50 to 51-100Oct 17, 2024 to Feb 27, 2025
- Discretionary RAUM · $44.5M to $60.8MOct 17, 2024 to Feb 27, 2025
- HNW RAUM · $18.2M to $39.6MOct 17, 2024 to Feb 27, 2025
- Individual RAUM · $25.6M to $20.7MOct 17, 2024 to Feb 27, 2025
- RAUM · $44.5M to $60.8MOct 17, 2024 to Feb 27, 2025
Signals
1 dated events
- T••••• R••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 26, 2024 · 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
- Firm profile
- linkedin.com/company/target-rock-wealth-management-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- targetrockwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-580-4530reportedpublic record, Form ADV, Apr 24, 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
- $23.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026