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.
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SEC-registered adviser
T•• E•••• L•••• C••••••
Latest filing Mar 13, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since Jul 28, 1983
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$20.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.4B as of Mar 13, 2026
Mar 29, 2012$1.3B then
HNW client RAUM$15.2M as of Mar 31, 2023
Mar 28, 2018$18.8M then
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 13, 2026
Mar 28, 20138 then
Private funds: no history
RAUM -14% over the last fiscal year-6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $39.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$770M54%
- Pension and profit-sharing plans$402M28%
- Investment companies$102M7.2%
- Corporations and businesses$72.5M5.1%
- Charitable organizations$56.9M4.0%
- Individuals$20.6M1.4%
- Individual clients
- 7reported
- HNW clients
- n/areported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 36reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.07 institutional_share=0.86 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• R••••••• R•••• · President, Directorcontrolsince 03/1983 · owns 50% to 75%
- K••••••• M••••••• A•••• · Directorcontrolsince 01/1991 · owns 10% to 25%
- M•••••• T•••••• B••••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 08/2001 · owns less than 5%
- A•••••• C••••••••• W•••••• · Directorsince 05/2023 · owns less than 5%
- E••• I••• M•••••• C•••• · Treasurersince 03/2021 · owns less than 5%
- E•••• J••• M•••••• C•••• · Directorsince 06/1988 · owns less than 5%
- F••••••••• F••••••• O••••• · Directorsince 06/1988 · owns less than 5%
- M••••••• R••••••• S•••• · Directorsince 06/1988 · owns 5% to 10%
- S••••••••• D•••• L••••• · Directorsince 05/2003 · owns less than 5%
Related persons
Schedule D 7.A
- R•••••• R• E•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 37 to 36Mar 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $1.7B to $1.4BMar 18, 2025 to Mar 13, 2026
- Individual RAUM · $18.1M to $20.6MMar 18, 2025 to Mar 13, 2026
- Pension RAUM · $356M to $402MMar 18, 2025 to Mar 13, 2026
- RAUM · $1.7B to $1.4BMar 18, 2025 to Mar 13, 2026
- Accounts · 39 to 37Sep 10, 2024 to Mar 18, 2025
- Corporate clients · 6 to 5Sep 10, 2024 to Mar 18, 2025
- Employees · 9 to 8Sep 10, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Sep 10, 2024 to Mar 18, 2025
- Discretionary RAUM · $1.7B to $1.7BSep 10, 2024 to Mar 18, 2025
- Individual RAUM · $16.3M to $18.1MSep 10, 2024 to Mar 18, 2025
- Pension RAUM · $401M to $356MSep 10, 2024 to Mar 18, 2025
- RAUM · $1.7B to $1.7BSep 10, 2024 to Mar 18, 2025
- Accounts · 41 to 39Mar 31, 2023 to Mar 19, 2024
- Advisory employees · 6 to 7Mar 31, 2023 to Mar 19, 2024
- Charity clients · unset to 5.0Mar 31, 2023 to Mar 19, 2024
- Corporate clients · 7 to 6Mar 31, 2023 to Mar 19, 2024
- HNW clients · 7.0 to unsetMar 31, 2023 to Mar 19, 2024
- Individual clients · 0 to 7Mar 31, 2023 to Mar 19, 2024
- Pension plan clients · 6 to 5Mar 31, 2023 to Mar 19, 2024
- Employees · 6 to 9Mar 31, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.8B to $1.7BMar 31, 2023 to Mar 19, 2024
- HNW RAUM · 15205857.0 to unsetMar 31, 2023 to Mar 19, 2024
- Individual RAUM · $0 to $16.3MMar 31, 2023 to Mar 19, 2024
- Pension RAUM · $388M to $401MMar 31, 2023 to Mar 19, 2024
- RAUM · $1.8B to $1.7BMar 31, 2023 to Mar 19, 2024
- Accounts · 40 to 41Mar 31, 2022 to Mar 31, 2023
- Employees · 8 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.8B to $1.8BMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $16.0M to $15.2MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $394M to $388MMar 31, 2022 to Mar 31, 2023
- RAUM · $1.8B to $1.8BMar 31, 2022 to Mar 31, 2023
- Accounts · 42 to 40Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Pension plan clients · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Employees · 7 to 8Mar 31, 2021 to Mar 31, 2022
- Financial planning clients · unset to 0Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.6B to $1.8BMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $25.4M to $16.0MMar 31, 2021 to Mar 31, 2022
- Pension RAUM · $339M to $394MMar 31, 2021 to Mar 31, 2022
Signals
1 dated events
- Andrew Phillip Titzer (Vp Of Investment Operations) no longer on Schedule A of T•• E•••• L•••• C•••••• (listed 2019-03-31, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
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
- Website
- E••••L••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 703-719-0026reportedpublic record, Form ADV, Mar 13, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026