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
R•••• W••••• M•••••••••
Legal name R•••• W••••• M••••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Mar 5, 2026 · 4 filings
SEC status approved since Mar 2, 2026
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$259M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
2
2 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$259M as of Jul 23, 2026
Mar 5, 2026$0 then
HNW client RAUM$252M as of Jul 23, 2026
Apr 21, 2026$252M then
State-registered IARs (5.B.3)2 as of Jul 23, 2026
Mar 5, 20261 then
Employees (5.A)2 as of Jul 23, 2026
Mar 5, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 23, 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
- 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
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $62.9MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM 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
- 2.0derived1 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 individualsreportedItem 5.G
- Custody
- $3.0M, 15 clientsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$252M97%
- Individuals$7.3M2.8%
- Individual clients
- 45reported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 102reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 15 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• H•• | Elmwood Park, Nj | Mar 9, 2026 | 13 y | 0 |
| J••••• R•• H•• | Elmwood Park, Nj | Mar 11, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••••• R•• H•• from S•••••••• W••••• M••••••••• G••••Mar 11, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••• J••••• · Managing Member/Iar/Ccocontrolsince 03/2026 · owns 50% to 75%
- H••• J•••••• R•• · Managing Member/Iarcontrolsince 01/2026 · 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 |
|---|---|---|---|---|---|
| Elmwood Park, Nj · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · TEANECK to ELMWOOD PARKJun 16, 2026 to Jul 23, 2026
- Accounts · 0 to 102Mar 5, 2026 to Apr 21, 2026
- Advisory employees · 1 to 2Mar 5, 2026 to Apr 21, 2026
- HNW clients · unset to 4.0Mar 5, 2026 to Apr 21, 2026
- Individual clients · unset to 45.0Mar 5, 2026 to Apr 21, 2026
- Assets in custody · unset to 3025501.0Mar 5, 2026 to Apr 21, 2026
- Custody of client assets · false to trueMar 5, 2026 to Apr 21, 2026
- Employees · 1 to 2Mar 5, 2026 to Apr 21, 2026
- State-registered IARs · 1 to 2Mar 5, 2026 to Apr 21, 2026
- Discretionary RAUM · $0 to $259MMar 5, 2026 to Apr 21, 2026
- HNW RAUM · unset to 251641340.0Mar 5, 2026 to Apr 21, 2026
- Individual RAUM · unset to 7254644.0Mar 5, 2026 to Apr 21, 2026
- RAUM · $0 to $259MMar 5, 2026 to Apr 21, 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 phone
- 551-231-3335reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- r••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 316-518-3615reportedpublic record, Form ADV, Jul 23, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026