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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Former SEC-registered adviser
R••••• J• O•••••••• • A•••••••••
Legal name T• G•••• P••••• • A••••••••• I•••
Latest filing Mar 16, 2015
First filing on the tape Feb 8, 2012 · 5 filings
RAUM
$123M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$123M as of Mar 16, 2015
Feb 8, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2015
Feb 8, 20120 then
Employees (5.A)6 as of Mar 16, 2015
Feb 14, 20136 then
Private funds: no history
RAUM +2.0% over the last fiscal year+6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2015; every figure names its basis
- 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
- $382,999derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%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
- +2.0%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, commissionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 320reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
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
- J••••• S•••• C•••••• to S•••••••• F••••••••• I•••Dec 18, 2015 · Other
- J•••• M•••••• F•••••• to T••••• F•••••••• P••••••• G•••• I•••Dec 18, 2015 · Other
Joined, latest
- J••••• S•••• C•••••• from S••••••••• S••••••••• I•••Apr 11, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• T••••• · Ownercontrolsince 11/1992 · owns 75% or more
- C••••••• J•••••• S•••• · Financial Plannersince 09/2004 · owns less than 5%
- F••••••• J••••• M•••••• · Chief Compliance Officersince 11/2000 · owns 5% to 10%
Related persons
Schedule D 7.A
- C•••• M• F••••••investment advisery
- J•••• M•••••• F••••••investment advisery
- J••••• C••••••investment advisery
- S•••••••• F••••••••• I•••broker-dealerinvestment advisercustodiannRAUM $16B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 300 to 320Mar 4, 2014 to Mar 16, 2015
- Non-discretionary RAUM · $120M to $123MMar 4, 2014 to Mar 16, 2015
- RAUM · $120M to $123MMar 4, 2014 to Mar 16, 2015
- Accounts · 322 to 300Feb 14, 2013 to Mar 4, 2014
- BD registered reps · 3 to 4Feb 14, 2013 to Mar 4, 2014
- Non-discretionary RAUM · $106M to $120MFeb 14, 2013 to Mar 4, 2014
- RAUM · $106M to $120MFeb 14, 2013 to Mar 4, 2014
- Accounts · 340 to 322Feb 16, 2012 to Feb 14, 2013
- Advisory employees · unset to 4.0Feb 16, 2012 to Feb 14, 2013
- Advisory activities · 3 to 2Feb 16, 2012 to Feb 14, 2013
- BD registered reps · unset to 3.0Feb 16, 2012 to Feb 14, 2013
- Employees · unset to 6.0Feb 16, 2012 to Feb 14, 2013
- Non-discretionary RAUM · $101M to $106MFeb 16, 2012 to Feb 14, 2013
- RAUM · $101M to $106MFeb 16, 2012 to Feb 14, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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