DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D•••••• • T•••••• L•••••

CRD 127816

WILMINGTON, DE

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Search this name across graphsid dfx:ria:b28b1567-5a6e-6791-9855-1b96101f6d92

Data as of Mar 20, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 9
On other graphs: 1
Observed: Jan 10, 2012 to Mar 20, 2023
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

D•••••• • T•••••• L•••••

Investment consultant · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $535M••• Locked
Discretionary RAUM: $515M
Private client RAUM: $523Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• C••••••••• F••••	Partner	B	yes	01/2004	Jan 10, 2012	Mar 20, 2023
D••••••• C••••••••• W•••••••	Partner	B	yes	12/2021	Mar 22, 2022	Mar 20, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• T••••• T••••• • C••	n/a	n/a	n/a	Y	yes	n/a
D•••••• • D••••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$535M	$608M	-12.0%	$448M	6.1%	9	12	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• P•••••••	5	Oct 6, 2023	Oct 10, 2023	WILMINGTON, DE	Firm absorbed	RIA to RIA	83.3%

Relationships

Owns (2)

← D•••••••• T••••••• J•••OwnerCHIEF INVESTMENT STRATEGIST, ownership code A, individual
Mar 20, 2023 to presentfactForm ADV
← B•••••• S••••• P•OwnerPARTNER, ownership code NA, individual
Jan 10, 2012 to presentfactForm ADV

Controls (5)

← M•••••••• A••••• P•OwnerPARTNER, ownership code B, individual
Jan 10, 2012 to presentfactForm ADV
← D••••••• C••••••••• W•••••••OwnerPARTNER, ownership code B, individual

Dated events

Occurred
Nov 10, 2023
Advisor changed firm
T••••• J••••• D•••••• left D•••••• • T•••••• L••••• for C••••••• P••••••• (registered 2023-10-02)
Form ADVobserved 7 days ago
Occurred
Oct 6, 2023
Firm absorbed
D•••••• • T•••••• L•••••'s advisors moved to C••••••• P••••••• (Wilmington, DE): 5 of 6 registered, on the same day
Form ADVobserved 7 days ago
5 advisors
Occurred
Oct 6, 2023
Advisor changed firm
Christopher Williams D•••••• left D•••••• • T•••••• L••••• for C••••••• P••••••• (registered 2023-10-02)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b28b1567-5a6e-6791-9855-1b96101f6d92
First observed: Jan 10, 2012
Last observed: Mar 20, 2023 42 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.