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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

T•••••••• C•••••• M••••••••• L••

CRD 112528

O••••, NE

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Search this name across graphsid dfx:ria:99decaad-534d-1c7d-15a8-f9709cefeec6

Data as of Apr 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Mar 14, 2012 to Apr 27, 2026
24 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=0.06 fund_share=0.66 institutional_share=0.05 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $1.9BItem 5.F on the latest filing (2026-04-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.9B
Private client RAUM: $107MderivedItem 5.D individuals plus high net worth individuals
Private client share: 6%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• L• J••••••	Chartered Financial Analyst	O••••, NE	11	21	n/a	no
M••• A••• W••••••	Chartered Financial Analyst	O••••, NE	11	31

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• N••••••• B••• O• O••••	Member	E	yes	05/2010	Mar 14, 2012	Mar 25, 2024
F•••• N••••••• O• N•••••••• I•••	SHAREHOLDER - COMMON	E	yes	05/2010	Mar 14, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• N••••••• A•••••••• L••	n/a	Mixed wealth	$7.4B	N	yes	n/a
N•••••••• S••••••••• I•••	n/a	Independent wealth	$405M	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.9B	$2.2B	-13.2%	$1.9B	-0.3%	19	16	2	0

Relationships

Affiliated with (6)

← N•••••••• ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← F•••• N••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F•••• N••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N•••••••• ASSET MANAGEMENTRegistered adviserother investment adviser, broker-dealer, common control

Dated events

Occurred
Mar 14, 2018
Regulatory AUM changed
T•••••••• C•••••• M••••••••• L•• reported RAUM $2.1B, up 27% from $1.6B (2017-03-28 to 2018-03-14)
Form ADVobserved 7 days ago
$435M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99decaad-534d-1c7d-15a8-f9709cefeec6
First observed: Mar 14, 2012
Last observed: Apr 27, 2026 4 months 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.

2025	Apr 27, 2026	$1.9B	$1.9B	19	13	2	n/a	n/a
2024	Mar 26, 2025	$2.2B	$2.2B	16	9	0	n/a	n/a
2023	Mar 25, 2024	$2.1B	$2.1B	16	9	0	n/a	n/a
2022	Mar 23, 2023	$1.9B	$1.9B	13	8	0	n/a	n/a
2021	Mar 22, 2022	$2.4B	$2.4B	13	8	0	n/a	n/a
2020	Mar 18, 2021	$2.4B	$2.4B	13	8	0	n/a	n/a
2019	Mar 9, 2020	$2.4B	$2.4B	13	8	0	n/a	n/a
2018	Mar 29, 2019	$2.0B	$2.0B	14	8	0	n/a	n/a
2017	Mar 14, 2018	$2.1B	$2.1B	12	7	0	n/a	n/a
2016	Mar 28, 2017	$1.6B	$1.6B	12	7	n/a	n/a	n/a
2015	Mar 18, 2016	$1.2B	$1.2B	12	6	n/a	n/a	n/a
2014	Mar 26, 2015	$1.2B	$1.2B	12	6	n/a	n/a	n/a
2013	Feb 21, 2014	$1.1B	$1.1B	15	10	n/a	n/a	n/a
2012	Mar 21, 2013	$1.0B	$1.0B	15	10	n/a	n/a	n/a
2011	Mar 14, 2012	$1.1B	$1.1B	n/a	n/a	n/a	n/a	n/a