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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••••• F••••••••
Legal name T••••• F•••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Jan 22, 2026 · 4 filings
SEC status approved since Jan 15, 2026
RAUM
$162M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
82%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$162M as of May 20, 2026
Jan 22, 2026$106M then
HNW client RAUM$134M as of May 20, 2026
Jan 22, 2026$84.8M then
State-registered IARs (5.B.3)3 as of May 20, 2026
Jan 22, 20262 then
Employees (5.A)3 as of May 20, 2026
Jan 22, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $54.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $668,576derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- yesreportedItem 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$134M82%
- Pension and profit-sharing plans$23.9M15%
- Corporations and businesses$4.5M2.8%
- Individuals$140,4160.1%
- Individual clients
- 3reported
- HNW clients
- 87reported
- Pension plan clients
- 33reported
- Charitable clients
- n/areported
- Accounts
- 243reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y•••• W•••Certified Financial Planner | Jersey City, Nj | Jun 18, 2025 | 12 y | 0 |
| Y•• S••Chartered Financial Analyst | Jersey City, Nj | Jun 19, 2025 | 18 y | 0 |
| F••• C••• | Jersey City, Nj | May 5, 2026 | 11 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
- S••• Y•• · Managing Partnercontrolsince 01/2022 · owns 75% or more
- W•••• Y•••• · Partner And Chief Compliance Officercontrolsince 01/2022 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0May 20, 2026 to Sep 2, 2026
- Succession · false to unsetMay 20, 2026 to Sep 2, 2026
- Accounts · 147 to 243Mar 10, 2026 to May 20, 2026
- Advisory employees · 2 to 3Mar 10, 2026 to May 20, 2026
- BD registered reps · 2 to 3Mar 10, 2026 to May 20, 2026
- Corporate clients · 3 to 4Mar 10, 2026 to May 20, 2026
- HNW clients · 62 to 87Mar 10, 2026 to May 20, 2026
- Individual clients · 4 to 3Mar 10, 2026 to May 20, 2026
- Pension plan clients · 18 to 33Mar 10, 2026 to May 20, 2026
- Employees · 2 to 3Mar 10, 2026 to May 20, 2026
- State-registered IARs · 2 to 3Mar 10, 2026 to May 20, 2026
- Discretionary RAUM · $64.3M to $101MMar 10, 2026 to May 20, 2026
- HNW RAUM · $84.8M to $134MMar 10, 2026 to May 20, 2026
- Individual RAUM · $261,727 to $140,416Mar 10, 2026 to May 20, 2026
- Non-discretionary RAUM · $42.1M to $61.3MMar 10, 2026 to May 20, 2026
- Pension RAUM · $16.4M to $23.9MMar 10, 2026 to May 20, 2026
- RAUM · $106M to $162MMar 10, 2026 to May 20, 2026
- Discretionary RAUM · $57.2M to $64.3MJan 22, 2026 to Mar 10, 2026
- Non-discretionary RAUM · $49.2M to $42.1MJan 22, 2026 to Mar 10, 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@taurus-fin.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 201-500-6322reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/taurus-finreportedpublic record, Form ADV, Sep 19, 2026
- Website
- taurus-fin.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 201 500 6322reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- taurus-fin.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
- $54.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026