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
M••• A•••• M••••••••• L••
Latest filing Aug 21, 2026
First filing on the tape Jul 31, 2024 · 11 filings
SEC status approved since Sep 5, 2024
RAUM
$64.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$61.8M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$16.1M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$64.5M as of Aug 21, 2026
Apr 8, 2025$56.5M then
HNW client RAUM$50.3M as of Aug 21, 2026
Apr 8, 2025$36.9M then
State-registered IARs (5.B.3)4 as of Aug 21, 2026
Apr 8, 20253 then
Employees (5.A)5 as of Aug 21, 2026
Apr 8, 20254 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Aug 21, 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
- $16.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$50.3M78%
- Individuals$11.5M18%
- Charitable organizations$2.7M4.2%
- Individual clients
- 31reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 58reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| S••••• F•••••• | New York, Ny | Feb 10, 2022 | 32 y | 0 |
| B•••• A•••••••• P•••• | Mclean, Va | Feb 22, 2023 | 42 y | 3 |
| M•••••• J•••• R•••••Certified Financial Planner | West Hartford, Ct | Apr 15, 2024 | 32 y | 4 |
| L••••• N• S•••••• | Jacksonville, Fl | Aug 18, 2026 | 12 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L••••• N• S•••••• from C••••••••• W•••••• L••Aug 18, 2026 · RIA to RIA
- M•••••• J•••• R••••• from A•••••Apr 15, 2024 · Other
- B•••• A•••••••• P•••• from N•••••••• • A••••••••• I••Feb 22, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• S••••• · Managing Member & Ccocontrolsince 03/2020 · owns 25% to 50%
- G••••••••• J••••••• G••• · Chief Marketing Officercontrolsince 11/2020 · owns less than 5%
- G••••••••• J••••••• G••• · Shareholdercontrolsince 10/1993 · owns 75% or more of J••• G•••••••• P••••••••• I•••
- K•••••• V••• · Shareholdercontrolsince 07/2006 · owns 75% or more of G• • V• R••••• I•••
Entity owners
- J••• G•••••••• P••••••••• I••• · Memberdirect · owns 25% to 50%
- G• • V• R••••• I••• · Memberdirect · owns 5% to 10%
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 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Hartford, CT1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 3 to 2Jul 30, 2026 to Aug 21, 2026
- Advisory employees · 3 to 4Mar 20, 2026 to Jul 30, 2026
- Employees · 4 to 5Mar 20, 2026 to Jul 30, 2026
- State-registered IARs · 3 to 4Mar 20, 2026 to Jul 30, 2026
- Other offices · 2 to 3Mar 20, 2026 to Jul 30, 2026
- Accounts · 166 to 58Sep 24, 2025 to Mar 20, 2026
- HNW clients · 13 to 25Sep 24, 2025 to Mar 20, 2026
- Individual clients · 55 to 31Sep 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $56.5M to $64.5MSep 24, 2025 to Mar 20, 2026
- HNW RAUM · $36.9M to $50.3MSep 24, 2025 to Mar 20, 2026
- Individual RAUM · $16.9M to $11.5MSep 24, 2025 to Mar 20, 2026
- RAUM · $56.5M to $64.5MSep 24, 2025 to Mar 20, 2026
- Accounts · 130 to 166Dec 20, 2024 to Apr 8, 2025
- HNW clients · 15 to 13Dec 20, 2024 to Apr 8, 2025
- Individual clients · 35 to 55Dec 20, 2024 to Apr 8, 2025
- Financial planning clients · unset to Dec 20, 2024 to Apr 8, 2025
- Discretionary RAUM · $43.9M to $56.5MDec 20, 2024 to Apr 8, 2025
- HNW RAUM · $29.0M to $36.9MDec 20, 2024 to Apr 8, 2025
- Individual RAUM · $14.9M to $16.9MDec 20, 2024 to Apr 8, 2025
- RAUM · $43.9M to $56.5MDec 20, 2024 to Apr 8, 2025
- HQ city · HOBOKEN to NEW YORKSep 10, 2024 to Oct 1, 2024
- HQ state · NJ to NYSep 10, 2024 to Oct 1, 2024
Signals
1 dated events
- M••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 31, 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
- Business phone
- 551-201-1251reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/mint-asset-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ASSETWISEWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-777-1717reportedpublic record, Form ADV, Aug 21, 2026
- Contact form
- assetwisewealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- assetwisewealth.com/our-teamreportedpublished 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
- $16.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026