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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• P•••••• F•••••••• G••••• I•••
Legal name P•••••• F•••••••• G•••• I••
Latest filing May 15, 2026
First filing on the tape Jan 10, 2012 · 77 filings
SEC status approved since Jan 10, 1983
RAUM
$5.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$5.0B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$362M
derived; firm RAUM over IAPD count
Employees
62
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$5.1B as of May 15, 2026
Jan 10, 2012$446M then
HNW client RAUM$501M as of May 15, 2026
Mar 20, 2018$0 then
State-registered IARs (5.B.3)15 as of May 15, 2026
Feb 7, 20136 then
Employees (5.A)62 as of May 15, 2026
Feb 7, 201328 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 16 to 15offices 1 to 0
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $362MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,201derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $301,407derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.4derivedItem 5.A over advisors
- Advisors per office
- 14.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.5B90%
- High-net-worth individuals$501M9.9%
- Corporations and businesses$12.5M0.2%
- Charitable organizations$7.2M0.1%
- Pension and profit-sharing plans$6.2M0.1%
- Individual clients
- 16,514reported
- HNW clients
- 304reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 16,832reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• M•••••••• M•••• | Nashville, Tn | May 15, 1997 | 35 y | 1 |
| J•••• C••••••••• M•••••••• | Bellevue, Wa | May 15, 1997 | 43 y | 0 |
| A•••• J•••• C••• | Nashville, Tn | Feb 1, 2007 | 29 y | 1 |
| J••••••• M••••••• R••• | Nashville, Tn | Nov 7, 2007 | 24 y | 0 |
| C•••••• M••• K•••••• | Nashville, Tn | Apr 26, 2016 | 27 y | 2 |
| A••• R•••••• H•••••• | Nashville, Tn | Apr 27, 2016 | 11 y | 0 |
| P••••• W•••••• M••••• | Nashville, Tn | Apr 10, 2017 | 10 y | 2 |
| M•••••• R•••••• J•••• | Denver, Co | Apr 11, 2018 | 17 y | 6 |
| R•••••• C•••• O•••• | Nashville, Tn | Jul 11, 2018 | 17 y | 1 |
| J•••• A•• M••••• | State College, Pa | Sep 10, 2018 | 26 y | 5 |
| K•••••• K••••• S•••••• | Bellevue, Wa | Jul 15, 2019 | 27 y | 0 |
| N••• Y•••• N••••••• | Nashville, Tn | Dec 6, 2019 | 30 y | 1 |
| T••••• C•••••••• E••••••• | Nashville, Tn | Dec 12, 2019 | 12 y | 2 |
| A•••••• D•••• R••• | Nashville, Tn | Aug 29, 2025 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 7.1% of current headcount8 left over 36 months
Left, latest
- B•••••• B•••••• to N•••••• A•••••••Apr 17, 2026 · RIA to affiliated broker-dealer or bank
- D•••••• V••••• S•••••••• to A••••••• C•••••• M••••••••• L••Aug 18, 2025 · RIA to RIA
- J••• L•••• C••••••• to A••••••••• I•••Jul 14, 2025 · RIA to affiliated broker-dealer or bank
- J•••• L•• to S••••• G••••• I••••••••• L••Dec 17, 2024 · RIA to RIA
- P•••••• R••••• N•••• to I•••••• A•••••••• I•••May 2, 2024 · Other
- J•••• E••• L•••• to P•••••• F•••••••• G••••• L••Mar 8, 2024 · Other
- N••••• R••••• R•••••• to L•• F•••••••• L••Dec 31, 2023 · RIA to affiliated broker-dealer or bank
- J•••••• K••• O•••• to P•••••••Dec 11, 2023 · Other
- I••••• L••••• K•••• to T• A••••••••• I••••••••• M••••••••• L••Feb 8, 2023 · RIA to RIA
- E••••••••• S•••••• to B•••• W•••••• L••Dec 31, 2022 · RIA to RIA
- E•••••• E•••••• L••••• D• G•••••• to B•••• W•••••• L••Dec 31, 2022 · RIA to RIA
- T••••• G••••• to B•••• W•••••• L••Dec 31, 2022 · RIA to RIA
- E•••• D•••• M••• to B•••• W•••••• L••Dec 31, 2022 · RIA to RIA
- B•••• K•••• M••••••• to B•••• W•••••• L••Dec 31, 2022 · RIA to RIA
- C••••••• A••••• M••••••• to B•••• W•••••• L••Dec 31, 2022 · RIA to RIA
Joined, latest
- B•••••• B•••••• from O•••• P•••••••• S••••••••• L••Aug 15, 2025 · RIA to RIA
- C••••••• A••••• M••••••• from O•••• W•••••• I•••May 27, 2022 · Affiliated broker-dealer or bank to independent RIA
- E•••• D•••• M••• from I••••••••• F•••••••• P•••••••Aug 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••••••••• S•••••• from I••••••••• F•••••••• P•••••••May 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••• J•••• K•••••• from O•••• P•••••••• S••••••••• L••Feb 2, 2021 · RIA to RIA
- J•••• G•••••• from I••••••••• F•••••••• P•••••••Aug 12, 2020 · Affiliated broker-dealer or bank to independent RIA
- B•••• K•••• M••••••• from I••••••••• F•••••••• P•••••••Aug 6, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••••• K••• O•••• from P•••••• F•••••••• G••••• L••Dec 13, 2019 · Other
- T••••• C•••••••• E••••••• from C••••• C••••••• L••Dec 12, 2019 · Other
- N••• Y•••• N••••••• from A•••• C••••••• L•••Dec 6, 2019 · Other
- E••• J•••• K•••• from C•••••••• F••••••••• I•••Jun 20, 2019 · Other
- J•••• E••• L•••• from W••••••• C••••••• I•••May 29, 2019 · RIA to RIA
- J•••• A•• M••••• from A••• W••••• S••••••• I••Sep 10, 2018 · Other
- R•••••• C•••• O•••• from P•••••• F•••••••• G••••• L••Jul 11, 2018 · Other
- M•••••• R•••••• J•••• from A••••••• C•••••• M••••••••• L••Apr 11, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•••• W•••••• L••Dec 31, 2022 · Gainesville, Fl
- 5 left for B•••• W•••••• L••Dec 31, 2022 · Nashville, Tn
- 2 joined from I••••••••• F•••••••• P•••••••Jul 31, 2020 · Weeki Wachee, Fl
- 2 joined from C••••• C••••••• L••Mar 21, 2016 · Denver, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• Y•••••• J••• · Chief Financial Officercontrolsince 12/2008 · owns less than 5%
- H••••• L••••• J••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- L••••• R••••••• R••• · Chief Legal Officer (12/2025) And Chief Compliance Officercontrolsince 12/2025 · owns less than 5%
- M••••• M••••• M•••••••• · Managing Member And Chief Executive Officercontrolsince 03/2024 · owns less than 5%
- M••••• J••••• C•••• · Chief Executive Officercontrolsince 03/2024 · owns less than 5%
- R•••• D••••• L•••••• · Presidentcontrolsince 02/2026 · owns less than 5%
- S•••••• N•••••••• B•••• · Managing Membercontrolsince 03/2024 · owns less than 5%
- M••••• M••••• M•••••••• · Managercontrolsince 09/2017 · owns 50% to 75% of P•••••• H••••••• G••••• L••
Entity owners
- P•••••• H••••••• G••••• L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- P•••••• F•••••••• G••••• L••investment advisernRAUM $4.7B
Advisers that list T•• P•••••• F•••••••• G••••• I••• as a related person
- 143041 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 12 | 0 | 1 | ||
| Bellevue, Wa | 3 | 0 | 0 | ||
| Newport Beach, Ca | 1 | 0 | 0 | ||
| San Ramon, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashville, TN5 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 15, 2026R•••• D••••• L•••••• (PRESIDENT) appeared on Schedule A between the filings of 2024-03-27 and 2026-05-15peers: WEALTH_I•••••••••, $5B to $20B (289)
- control person changedChange between filings · filing May 15, 2026L••••• R••••••• R••• (CHIEF LEGAL OFFICER (12/2025) AND CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-03-27 and 2026-05-15peers: WEALTH_I•••••••••, $5B to $20B (289)
- control person changedChange between filings · filing May 15, 2026S•••••• N•••••••• B•••• (MANAGING MEMBER) left Schedule A between the filings of 2024-03-27 and 2026-05-15peers: WEALTH_I•••••••••, $5B to $20B (289)
- control person changedChange between filings · filing May 15, 2026M••••• J••••• C•••• (CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-05-15peers: WEALTH_I•••••••••, $5B to $20B (289)
- control person changedChange between filings · filing May 15, 2026H••••• L••••• J••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-27 and 2026-05-15peers: WEALTH_I•••••••••, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 18,959 to 16,832Feb 4, 2026 to Mar 31, 2026
- Advisory employees · 21 to 20Feb 4, 2026 to Mar 31, 2026
- Advisory activities · 3 to 2Feb 4, 2026 to Mar 31, 2026
- BD registered reps · 0 to 1Feb 4, 2026 to Mar 31, 2026
- Corporate clients · 8 to 9Feb 4, 2026 to Mar 31, 2026
- HNW clients · 332 to 304Feb 4, 2026 to Mar 31, 2026
- Individual clients · 15,081 to 16,514Feb 4, 2026 to Mar 31, 2026
- Pooled vehicle clients · unset to 0.0Feb 4, 2026 to Mar 31, 2026
- Employees · 66 to 62Feb 4, 2026 to Mar 31, 2026
- State-registered IARs · 16 to 15Feb 4, 2026 to Mar 31, 2026
- Discretionary RAUM · $4.1B to $5.1BFeb 4, 2026 to Mar 31, 2026
- HNW RAUM · $486M to $501MFeb 4, 2026 to Mar 31, 2026
- Individual RAUM · $3.6B to $4.5BFeb 4, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $15.9M to $0Feb 4, 2026 to Mar 31, 2026
- Pension RAUM · $5.4M to $6.2MFeb 4, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 4, 2026 to Mar 31, 2026
- RAUM · $4.1B to $5.1BFeb 4, 2026 to Mar 31, 2026
- Other offices · 1 to 0Jun 12, 2025 to Nov 12, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2025 to Jun 12, 2025
- HQ city · BELLEVUE to NASHVILLEMar 28, 2025 to Jun 12, 2025
- HQ state · WA to TNMar 28, 2025 to Jun 12, 2025
- Accounts · 18,773 to 18,959Oct 25, 2024 to Mar 28, 2025
- Advisory employees · 22 to 21Oct 25, 2024 to Mar 28, 2025
- Corporate clients · 11 to 8Oct 25, 2024 to Mar 28, 2025
- HNW clients · 385 to 332Oct 25, 2024 to Mar 28, 2025
- Individual clients · 14,993 to 15,081Oct 25, 2024 to Mar 28, 2025
- Employees · 67 to 66Oct 25, 2024 to Mar 28, 2025
- Insurance-licensed employees · 2 to 1Oct 25, 2024 to Mar 28, 2025
- State-registered IARs · 21 to 16Oct 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.7B to $4.1BOct 25, 2024 to Mar 28, 2025
- HNW RAUM · $542M to $486MOct 25, 2024 to Mar 28, 2025
- Individual RAUM · $3.2B to $3.6BOct 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $52.9M to $15.9MOct 25, 2024 to Mar 28, 2025
- Pension RAUM · $5.1M to $5.4MOct 25, 2024 to Mar 28, 2025
- RAUM · $3.7B to $4.1BOct 25, 2024 to Mar 28, 2025
- Other offices · 2 to 1Sep 5, 2024 to Oct 25, 2024
- Accounts · 19,568 to 18,773Apr 24, 2023 to Mar 27, 2024
- Advisory employees · 27 to 22Apr 24, 2023 to Mar 27, 2024
- Corporate clients · 12 to 11Apr 24, 2023 to Mar 27, 2024
- HNW clients · 276 to 385Apr 24, 2023 to Mar 27, 2024
Signals
39 dated events
- B•••••• B•••••• left T•• P•••••• F•••••••• G••••• I••• for N•••••• A••••••• (registered 2026-08-25)Apr 17, 2026 · Advisor changed firm · fact
- D•••••• V••••• S•••••••• left T•• P•••••• F•••••••• G••••• I••• for A••••••• C•••••• M••••••••• L•• (registered 2025-08-27)Aug 18, 2025 · Advisor changed firm · fact
- J••• L•••• C••••••• left T•• P•••••• F•••••••• G••••• I••• for A••••••••• I••• (registered 2025-07-25)Jul 14, 2025 · Advisor changed firm · fact
- J•••• L•• left T•• P•••••• F•••••••• G••••• I••• for S••••• G••••• I••••••••• L•• (registered 2025-03-31)Dec 17, 2024 · Advisor changed firm · fact
- P•••••• R••••• N•••• left T•• P•••••• F•••••••• G••••• I••• for I•••••• A•••••••• I••• (registered 2024-05-02)May 2, 2024 · Advisor changed firm · fact
- E••• J•••• Luhan (Chief Compliance Officer) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2023-04-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Reid Richard Lavin (Chief Legal Officer) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2023-04-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- R J•••• Molloy (Deputy Chair) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2023-04-24, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- T•• P•••••• F•••••••• G••••• I••• reported 21 state-registered advisory representatives, down from 37 (2023-04-24 to 2024-03-27)Mar 27, 2024 · Advisor headcount change · derived
- J••• L•••• H•••• (Chief Compliance Officer) appeared on Schedule A of T•• P•••••• F•••••••• G••••• I•••Mar 27, 2024 · Control person joined · fact
- C•••• J•••• M•••• (Chief Executive Officer) appeared on Schedule A of T•• P•••••• F•••••••• G••••• I•••Mar 27, 2024 · Control person joined · fact
- Braun Nicholas S••••• (Managing Member) appeared on Schedule A of T•• P•••••• F•••••••• G••••• I•••Mar 27, 2024 · Control person joined · fact
- J•••• E••• L•••• left T•• P•••••• F•••••••• G••••• I••• for P•••••• F•••••••• G••••• L•• (registered 2019-05-30)Mar 8, 2024 · Advisor changed firm · fact
- N••••• R••••• R•••••• left T•• P•••••• F•••••••• G••••• I••• for L•• F•••••••• L•• (registered 2024-10-18)Dec 31, 2023 · Advisor changed firm · fact
- J•••••• K••• O•••• left T•• P•••••• F•••••••• G••••• I••• for Protools (registered 2022-10-07)Dec 11, 2023 · Advisor changed firm · fact
- P J•••• Brownfield (Chief Operations Officer) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2023-03-27, absent 2023-04-24)Apr 24, 2023 · Control person left · inference
- Braun Nicholas S••••• (Co-Chair) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2022-11-03, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- Carmichael J•••• Mcclendon (Manager) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2022-11-03, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- B•••• F•••••••• S••••• (Manager) no longer on Schedule A of T•• P•••••• F•••••••• G••••• I••• (listed 2022-11-03, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- I••••• L••••• K•••• left T•• P•••••• F•••••••• G••••• I••• for T• A••••••••• I••••••••• M••••••••• L•• (registered 2023-03-14)Feb 8, 2023 · Advisor changed firm · fact
- 3 advisors left T•• P•••••• F•••••••• G••••• I••• (Tampa, FL) for B•••• W•••••• L•• on the same dayDec 31, 2022 · Team lift-out · derived
- J•••• G•••••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-02-03)Dec 31, 2022 · Advisor changed firm · fact
- B•••• K•••• M••••••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-02-09)Dec 31, 2022 · Advisor changed firm · fact
- C••••••• A••••• M••••••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-01-18)Dec 31, 2022 · Advisor changed firm · fact
- T••••• G••••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-01-31)Dec 31, 2022 · Advisor changed firm · fact
- E••••••••• S•••••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-02-03)Dec 31, 2022 · Advisor changed firm · fact
- E•••• D•••• M••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-02-03)Dec 31, 2022 · Advisor changed firm · fact
- 4 advisors left T•• P•••••• F•••••••• G••••• I••• (Nashville, TN) for B•••• W•••••• L•• on the same dayDec 31, 2022 · Team lift-out · derived
- E•••••• E•••••• L••••• D• G•••••• left T•• P•••••• F•••••••• G••••• I••• for B•••• W•••••• L•• (registered 2023-02-03)Dec 31, 2022 · Advisor changed firm · fact
- C••• J•••• K•••••• left T•• P•••••• F•••••••• G••••• I••• for T•••• A•••• M••••••••• (registered 2023-08-25)Dec 13, 2022 · Advisor changed firm · fact
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
- Firm profile
- linkedin.com/company/riskpro%C2%AEreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/the-pacific-financial-group-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- tpfgadvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-451-7722reportedpublic record, Form ADV, May 15, 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
- $362Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026