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
N•• W••••• G••••
Legal name J•• F••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Oct 1, 2025 · 2 filings
SEC status approved since Nov 19, 2025
RAUM
$292M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$282M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$292M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$292M as of Mar 17, 2026
Oct 1, 2025$206M then
HNW client RAUM$252M as of Mar 17, 2026
Oct 1, 2025$167M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Oct 1, 20251 then
Employees (5.A)2 as of Mar 17, 2026
Oct 1, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $292MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $731,320derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $32.4M, 33 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$252M86%
- Individuals$30.0M10%
- Pension and profit-sharing plans$8.4M2.9%
- Charitable organizations$1.2M0.4%
- Individual clients
- 89reported
- HNW clients
- 39reported
- Pension plan clients
- 8reported
- Charitable clients
- 3reported
- Accounts
- 399reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.4M for 33 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| J••••• M•••••• N••••••Certified Financial Planner | New Albany, Oh | Oct 7, 2021 | 13 y | 4 |
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
- J••••• M•••••• N•••••• from F•••• M•••••••• C•Oct 7, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• J•••••• M•••••• · Founder, Ceo And Chief Compliance Officercontrolsince 09/2021 · 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 · 378 to 399Oct 1, 2025 to Mar 17, 2026
- Charity clients · 4 to 3Oct 1, 2025 to Mar 17, 2026
- HNW clients · 27 to 39Oct 1, 2025 to Mar 17, 2026
- Individual clients · 91 to 89Oct 1, 2025 to Mar 17, 2026
- Pension plan clients · 7 to 8Oct 1, 2025 to Mar 17, 2026
- Assets in custody · $13.1M to $32.4MOct 1, 2025 to Mar 17, 2026
- Employees · 1 to 2Oct 1, 2025 to Mar 17, 2026
- Discretionary RAUM · $200M to $292MOct 1, 2025 to Mar 17, 2026
- HNW RAUM · $167M to $252MOct 1, 2025 to Mar 17, 2026
- Individual RAUM · $30.3M to $30.0MOct 1, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $5.9M to $0Oct 1, 2025 to Mar 17, 2026
- Pension RAUM · $7.5M to $8.4MOct 1, 2025 to Mar 17, 2026
- RAUM · $206M to $292MOct 1, 2025 to Mar 17, 2026
Signals
No event on the tape.
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@neuwealthgroup.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-695-2844reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 516-963-9727reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/neu-wealth-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- neuwealthgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 516-695-2844reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- neuwealthgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- neuwealthgroup.com/our-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
- $292Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026