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•• D•••• J• Y•••• G•••• I•••
Latest filing Feb 4, 2026
First filing on the tape Nov 6, 2023 · 5 filings
SEC status approved since Oct 9, 2023
RAUM
$359M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
84%
$302M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$89.8M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$359M as of Feb 4, 2026
Mar 14, 2024$303M then
HNW client RAUM$264M as of Feb 4, 2026
Mar 14, 2024$173M then
State-registered IARs (5.B.3)4 as of Feb 4, 2026
Mar 14, 20244 then
Employees (5.A)6 as of Feb 4, 2026
Mar 14, 20245 then
Private funds: no history
RAUM -1.5% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 4, 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
- $89.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $359,326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%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
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$264M87%
- Individuals$38.5M13%
- Individual clients
- 335reported
- HNW clients
- 141reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,000reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 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 |
|---|---|---|---|---|
| J••••• D••••• L•• | Valhalla, Ny | Jun 17, 2024 | 24 y | 1 |
| D•••• J•••• Y••••Certified Financial Planner | Valhalla, Ny | Jun 17, 2024 | 19 y | 1 |
| M••• J• C••••••••• | Valhalla, Ny | Jun 17, 2024 | 28 y | 1 |
| D•••• J•••• Y•••• | Valhalla, Ny | Oct 2, 2024 | 37 y | 2 |
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
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from T•• D•••• J• Y•••• G••••• I•••Dec 7, 2023 · University Park, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• M••• J• · Chief Operating Officercontrolsince 10/2023 · owns less than 5%
- J• Y••••• D••••• J•••• · Chief Financial Officer And Financial Advisorcontrolsince 10/2023 · owns 10% to 25%
- L••• J•••••• D••••• · Vice President And Financial Advisorcontrolsince 10/2023 · owns less than 5%
- Y••••• D••••• J•••• · Chief Executive Officer, Senior Portfolio Manager And Chief Compliance Officercontrolsince 10/2023 · 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 |
|---|---|---|---|---|---|
| Valhalla, Ny | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 4 employees
What changed
consecutive filings, newest first
- Accounts · 951 to 1,000Feb 11, 2025 to Feb 4, 2026
- HNW clients · 125 to 141Feb 11, 2025 to Feb 4, 2026
- Individual clients · 313 to 335Feb 11, 2025 to Feb 4, 2026
- Employees · 5 to 6Feb 11, 2025 to Feb 4, 2026
- Discretionary RAUM · $255M to $278MFeb 11, 2025 to Feb 4, 2026
- HNW RAUM · $228M to $264MFeb 11, 2025 to Feb 4, 2026
- Individual RAUM · $36.2M to $38.5MFeb 11, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $110M to $80.9MFeb 11, 2025 to Feb 4, 2026
- RAUM · $365M to $359MFeb 11, 2025 to Feb 4, 2026
- Accounts · 936 to 951Nov 13, 2024 to Feb 11, 2025
- HNW clients · 102 to 125Nov 13, 2024 to Feb 11, 2025
- Individual clients · 323 to 313Nov 13, 2024 to Feb 11, 2025
- Financial planning clients · 26-50 to 26-50Nov 13, 2024 to Feb 11, 2025
- HQ city · unset to Nov 13, 2024 to Feb 11, 2025
- HQ state · unset to Nov 13, 2024 to Feb 11, 2025
- Discretionary RAUM · $215M to $255MNov 13, 2024 to Feb 11, 2025
- HNW RAUM · $173M to $228MNov 13, 2024 to Feb 11, 2025
- Individual RAUM · $39.5M to $36.2MNov 13, 2024 to Feb 11, 2025
- Non-discretionary RAUM · $87.8M to $110MNov 13, 2024 to Feb 11, 2025
- RAUM · $303M to $365MNov 13, 2024 to Feb 11, 2025
- Accounts · 931 to 936Nov 6, 2023 to Mar 14, 2024
- HNW clients · 118 to 102Nov 6, 2023 to Mar 14, 2024
- Individual clients · 350 to 323Nov 6, 2023 to Mar 14, 2024
- Discretionary RAUM · $192M to $215MNov 6, 2023 to Mar 14, 2024
- HNW RAUM · $155M to $173MNov 6, 2023 to Mar 14, 2024
- Individual RAUM · $50.6M to $39.5MNov 6, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $87.5M to $87.8MNov 6, 2023 to Mar 14, 2024
- RAUM · $279M to $303MNov 6, 2023 to Mar 14, 2024
- Succession · true to falseNov 6, 2023 to Mar 14, 2024
Signals
3 dated events
- T•• D•••• J• Y•••• G••••• I•••'s advisors moved to T•• D•••• J• Y•••• G•••• I••• (University Park, FL): 4 of 4 registered, on the same dayDec 7, 2023 · Firm absorbed (people side) · derived
- T•• D•••• J• Y•••• G•••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 6, 2023 · Succession (Item 4) · fact
- T•• D•••• J• Y•••• G•••• I••• filed its initial SEC registration (Form ADV)Nov 6, 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
- Website
- y•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (914) 741-9700reportedpublic record, Form ADV, Feb 4, 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
- $89.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026