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•••••• F•••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Apr 2, 2025 · 8 filings
SEC status approved since Apr 25, 2025
RAUM
$231M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$217M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$77.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$231M as of Aug 31, 2026
Apr 2, 2025$0 then
HNW client RAUM$182M as of Aug 31, 2026
Aug 21, 2025$161M then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Apr 2, 20253 then
Employees (5.A)5 as of Aug 31, 2026
Apr 2, 20255 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Aug 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $77.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $307,314derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 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
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $231MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M79%
- Individuals$35.1M15%
- Pension and profit-sharing plans$14.4M6.2%
- Individual clients
- 92reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 752reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••••• H• P••••••••Certified Financial Planner, Chartered Financial Consultant | Williamsburg, Va | Jul 1, 2025 | 20 y | 3 |
| T•••• L•• S••••••••• | Williamsburg, Va | Jul 1, 2025 | 15 y | 3 |
| R••••• U••••••• K•••Certified Financial Planner | Williamsburg, Va | Jul 1, 2025 | 12 y | 3 |
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
- T•••• L•• S••••••••• from O••••••• B•• W••••• P•••••••Jul 1, 2025 · RIA to a newly registered adviser
- R••••• U••••••• K••• from O••••••• B•• W••••• P•••••••Jul 1, 2025 · RIA to a newly registered adviser
- H••••• H• P•••••••• from O••••••• B•• W••••• P•••••••Jul 1, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from O••••••• B•• W••••• P•••••••Jun 30, 2025 · Parsippany, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• H•••••• H• · Member And Chief Compliance Officercontrolsince 02/2025 · owns 50% to 75%
- S••••••••• T••••• L•• · Membercontrolsince 02/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Williamsburg, Va · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 649 to 752Jan 2, 2026 to Feb 13, 2026
- HNW clients · 61 to 73Jan 2, 2026 to Feb 13, 2026
- Individual clients · 94 to 92Jan 2, 2026 to Feb 13, 2026
- Financial planning clients · 0 to 51-100Jan 2, 2026 to Feb 13, 2026
- Discretionary RAUM · $190M to $231MJan 2, 2026 to Feb 13, 2026
- HNW RAUM · $161M to $182MJan 2, 2026 to Feb 13, 2026
- Individual RAUM · $42.5M to $35.1MJan 2, 2026 to Feb 13, 2026
- Non-discretionary RAUM · $13.5M to $0Jan 2, 2026 to Feb 13, 2026
- Pension RAUM · unset to 14400000.0Jan 2, 2026 to Feb 13, 2026
- RAUM · $204M to $231MJan 2, 2026 to Feb 13, 2026
- Financial planning clients · 0 to 0Aug 21, 2025 to Nov 18, 2025
- Accounts · 0 to 649May 8, 2025 to Aug 21, 2025
- HNW clients · unset to 61.0May 8, 2025 to Aug 21, 2025
- Individual clients · unset to 94.0May 8, 2025 to Aug 21, 2025
- Discretionary RAUM · $0 to $190MMay 8, 2025 to Aug 21, 2025
- HNW RAUM · unset to 161000000.0May 8, 2025 to Aug 21, 2025
- Individual RAUM · unset to 42500000.0May 8, 2025 to Aug 21, 2025
- Non-discretionary RAUM · $0 to $13.5MMay 8, 2025 to Aug 21, 2025
- RAUM · $0 to $204MMay 8, 2025 to Aug 21, 2025
Signals
1 dated events
- 2 advisors left O••••••• B•• W••••• P••••••• (Parsippany, NJ) for T•••••• F•••••••• L•• on the same dayJun 30, 2025 · Team lift-out · derived
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
- 757-703-0030reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tenzing-financialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- t•••••••••.usreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (757) 703-0030reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- t•••••••••.usreportedpublished 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
- $77.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026