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
L•••••••• F••••• W••••• A•••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Sep 30, 2025 · 3 filings
SEC status approved since Sep 2, 2025
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$182M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$188M as of Feb 6, 2026
Sep 30, 2025$0 then
HNW client RAUM$176M as of Feb 6, 2026
Dec 23, 2025$179M then
State-registered IARs (5.B.3)2 as of Feb 6, 2026
Sep 30, 20252 then
Employees (5.A)2 as of Feb 6, 2026
Sep 30, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $93.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $687,627derivedRAUM 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
- 1.0derived2 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$176M97%
- Individuals$5.4M2.9%
- Corporations and businesses$2640.0%
- Individual clients
- 16reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 273reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• H•••• S••••••Certified Financial Planner, Chartered Financial Consultant | Far Hills, Nj | Sep 25, 2025 | 23 y | 6 |
| E••• J• S••••••••Certified Financial Planner | Far Hills, Nj | Sep 25, 2025 | 12 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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•••••• H•••• S•••••• from N•••••• A•••••••Sep 25, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- E••• J• S•••••••• from N•••••• A•••••••Sep 25, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• T••••••• H•••• · Managing Member And Chief Compliance Officercontrolsince 07/2025 · owns 50% to 75%
- S••••••••• E•••• J• · Managing Membercontrolsince 07/2025 · 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 |
|---|---|---|---|---|---|
| Far Hills, Nj · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 267 to 273Dec 23, 2025 to Feb 6, 2026
- Corporate clients · unset to 1.0Dec 23, 2025 to Feb 6, 2026
- HNW clients · 44 to 45Dec 23, 2025 to Feb 6, 2026
- Individual clients · 19 to 16Dec 23, 2025 to Feb 6, 2026
- Discretionary RAUM · $186M to $188MDec 23, 2025 to Feb 6, 2026
- HNW RAUM · $179M to $176MDec 23, 2025 to Feb 6, 2026
- Individual RAUM · $7.0M to $5.4MDec 23, 2025 to Feb 6, 2026
- RAUM · $186M to $188MDec 23, 2025 to Feb 6, 2026
- Accounts · 0 to 267Sep 30, 2025 to Dec 23, 2025
- HNW clients · unset to 44.0Sep 30, 2025 to Dec 23, 2025
- Individual clients · unset to 19.0Sep 30, 2025 to Dec 23, 2025
- Other offices · 0 to 1Sep 30, 2025 to Dec 23, 2025
- Discretionary RAUM · $0 to $186MSep 30, 2025 to Dec 23, 2025
- HNW RAUM · unset to 179000000.0Sep 30, 2025 to Dec 23, 2025
- Individual RAUM · unset to 7000000.0Sep 30, 2025 to Dec 23, 2025
- RAUM · $0 to $186MSep 30, 2025 to Dec 23, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- L•••••••• F••••• W••••• A•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- (862) 412-8862reportedpublic record, Form ADV, Feb 6, 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
- $93.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026