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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Latest filing Jan 30, 2026
First filing on the tape Aug 10, 2023 · 10 filings
SEC status approved since Sep 13, 2023
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.0B
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.0B as of Jan 30, 2026
Mar 26, 2024$99.5M then
HNW client RAUM$1.0B as of Jan 30, 2026
Mar 26, 2024$99.5M then
State-registered IARs (5.B.3)1 as of Jan 30, 2026
Mar 26, 20241 then
Employees (5.A)1 as of Jan 30, 2026
Mar 26, 20241 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $1.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.2MderivedHNW RAUM over HNW clients
- Average account
- $12.1MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +171%derived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$1.0B100%
- Individual clients
- 0reported
- HNW clients
- 76reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 83reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| T••••• J••••• H•••• | New York, Ny | Sep 14, 2023 | 13 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• T•••••• J••••• · Chairman, Managing Membercontrolsince 07/2014 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Jan 30, 2026RAUM (Item 5.F) moved from $631,775,191 to $1,006,169,037 (+59.0%) between the annual amendments of 2025-02-13 and 2026-01-30; the peer median change was +17.0% (1298 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 35 to 83Feb 13, 2025 to Jan 30, 2026
- HNW clients · 28 to 76Feb 13, 2025 to Jan 30, 2026
- Discretionary RAUM · $632M to $1.0BFeb 13, 2025 to Jan 30, 2026
- HNW RAUM · $632M to $1.0BFeb 13, 2025 to Jan 30, 2026
- RAUM · $632M to $1.0BFeb 13, 2025 to Jan 30, 2026
- Accounts · 25 to 35Oct 9, 2024 to Feb 13, 2025
- HNW clients · 23 to 28Oct 9, 2024 to Feb 13, 2025
- Financial planning clients · unset to Oct 9, 2024 to Feb 13, 2025
- HQ city · unset to Oct 9, 2024 to Feb 13, 2025
- HQ state · unset to Oct 9, 2024 to Feb 13, 2025
- Discretionary RAUM · $341M to $632MOct 9, 2024 to Feb 13, 2025
- HNW RAUM · $341M to $632MOct 9, 2024 to Feb 13, 2025
- RAUM · $341M to $632MOct 9, 2024 to Feb 13, 2025
- Accounts · 16 to 25Mar 26, 2024 to Oct 9, 2024
- HNW clients · 16 to 23Mar 26, 2024 to Oct 9, 2024
- Discretionary RAUM · $99.5M to $341MMar 26, 2024 to Oct 9, 2024
- HNW RAUM · $99.5M to $341MMar 26, 2024 to Oct 9, 2024
- RAUM · $99.5M to $341MMar 26, 2024 to Oct 9, 2024
- Accounts · 14 to 16Nov 21, 2023 to Jan 2, 2024
- HNW clients · 14 to 16Nov 21, 2023 to Jan 2, 2024
- Discretionary RAUM · $90.2M to $99.5MNov 21, 2023 to Jan 2, 2024
- HNW RAUM · $90.2M to $99.5MNov 21, 2023 to Jan 2, 2024
- RAUM · $90.2M to $99.5MNov 21, 2023 to Jan 2, 2024
- Accounts · 5 to 14Aug 18, 2023 to Nov 21, 2023
- Charity clients · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- Corporate clients · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- HNW clients · 5 to 14Aug 18, 2023 to Nov 21, 2023
- Individual clients · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- Pension plan clients · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- Pooled vehicle clients · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- Discretionary RAUM · $74.7M to $90.2MAug 18, 2023 to Nov 21, 2023
- HNW RAUM · $74.7M to $90.2MAug 18, 2023 to Nov 21, 2023
- Individual RAUM · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- Pension RAUM · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- Pooled vehicle RAUM · unset to 0.0Aug 18, 2023 to Nov 21, 2023
- RAUM · $74.7M to $90.2MAug 18, 2023 to Nov 21, 2023
Signals
4 dated events
- G•••• H••• C••••••• L•• reported RAUM $1.0B, up 59% from $631.8M (2025-02-13 to 2026-01-30)Jan 30, 2026 · RAUM change · derived
- G•••• H••• C••••••• L•• reported RAUM $631.8M, up 85% from $341.0M (2024-10-09 to 2025-02-13)Feb 13, 2025 · RAUM change · derived
- G•••• H••• C••••••• L•• reported RAUM $341.0M, up 243% from $99.5M (2024-03-26 to 2024-10-09)Oct 9, 2024 · RAUM change · derived
- G•••• H••• C••••••• L•• filed its initial SEC registration (Form ADV)Aug 10, 2023 · 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
- Principal office phone
- 212-951-1478reportedpublic record, Form ADV, Jan 30, 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
- $1.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026