DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 10b 100b

T•• M••••• G••••• L••

CRD 156005

CHICAGO, IL

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Search this name across graphsid dfx:ria:69b2529f-1314-065d-0a59-b9cf9e8f5715

Data as of Sep 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 187
Dated events: 40
On other graphs: 1
Observed: Dec 13, 2011 to Sep 4, 2026
76 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

T•• M••••• G••••• L••

Intermediary · key crd, shared crd

Private Equityowner

V•••••• F••• I• •••• L•

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Private Equityowner

V•••••• F••• I•• L•

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $13B••• Locked
Discretionary RAUM: $13B
Private client RAUM: $13Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 112
RAUM per advisor: $120Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• A••••• R•••••	n/a	CHICAGO, IL \| ATLANTA, GA	15	16	1	no
B•••• M•••••• S•••••••	Certified Financial Planner	CHICAGO, IL	15	17

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••	Other Private Fund	$5.6M	Dec 11, 2019	3	Feb 6, 2019	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• D•••••• R•••	Manager	Na	yes	03/2022	Sep 4, 2026	Sep 4, 2026
C••••••••• M••••••• D•••••	VICE PRESIDENT AND ASSISTANT SECRETARY / MANAGER	Na	yes	03/2022	Sep 4, 2026	Sep 4, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Houston	TX	United States	11	no
Atlanta	Ga	United States	8	no
Cincinnati	Oh	United States	8	no
Lafayette	CA	United States	6	no
Dallas	TX	United States

Regulatory AUM by fiscal year

••• Locked

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

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•• H••••••••• F•••••••• G••••• I•••	2	Jul 27, 2026	Feb 26, 2026	RED BANK, NJ	Team lift out	RIA to RIA	100.0%
N••• W••••• M•••••••••	5	Dec 8, 2025	Dec 22, 2025

Relationships

showing 80 of 187

Controls (12)

← R•••••••• B••••• E•••••OwnerVICE PRESIDENT AND ASSISTANT SECRETARY / MANAGER, ownership code NA, individual
Sep 4, 2026 to presentfactForm ADV
← P•••• P•••••• A••OwnerMANAGER, ownership code NA, individual
Sep 4, 2026 to presentfactForm ADV
← O••••••••• K••••••• R••••••OwnerCHIEF OPERATIONS OFFICER, BUSINESS OPERATIONS/SOLUTIONS, ownership code NA, individual
Sep 4, 2026 to presentfactForm ADV
← K•••••••• J••• F•OwnerMANAGER, ownership code NA, individual

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 4, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 27, 2026
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jul 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 18, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:69b2529f-1314-065d-0a59-b9cf9e8f5715
First observed: Dec 13, 2011
Last observed: Sep 4, 2026 19 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.