DFX Intelligence

T••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

T••••••••• L••

CRD 171293

EL SEGUNDO, CA

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Search this name across graphsid dfx:ria:3c4dfde3-f1c8-223d-a093-11855be25fbe

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 11
On other graphs: 0
Observed: Sep 17, 2014 to Aug 18, 2026
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C•••••• L••	Owner	E	yes	12/2021	Jan 19, 2022	Mar 28, 2024
C•••••••• G••••• L••	Owner	E	yes	05/2021	Jan 19, 2022	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• • N••••• A•••••••• L••	n/a	Mixed wealth	$17B	N	yes	n/a
C•••••••• C•••••• M••••••••• L•	n/a	Asset manager	$2.0B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CORAL GABLES	FL	United States	3	no
NEW YORK	NY	United States	2	no
Dallas	TX	United States	2	no
NEWPORT BEACH	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.4B	$1.3B	8.5%	$1.4B	-0.2%	27	29	4	4

Relationships

Affiliated with (8)

→ R•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M•••••• • N••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•••••••• C•••••• M•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ R••• C•••••• M•••••••••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Aug 22, 2023
Control person joined
Suanne Kim Pegula (Owner) appeared on Schedule A of T••••••••• L••
Form ADVobserved 7 days ago
Occurred
Aug 22, 2023
Control person joined
Michael Terrence Pegula (Owner) appeared on Schedule A of T••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
T••••••••• L•• reported RAUM $1.4B, up 30% from $1.1B (2023-02-01 to 2023-03-31)
Form ADVobserved 7 days ago
$324M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c4dfde3-f1c8-223d-a093-11855be25fbe
First observed: Sep 17, 2014
Last observed: Aug 18, 2026 35 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.