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
T•••••••• F•••••••• S•••••••• L••
Latest filing Dec 16, 2022
First filing on the tape Apr 2, 2012 · 30 filings
RAUM
$2.4B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
97%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
46
32 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$40.9M gross assets
History
30 filings and snapshots on the tape
RAUM$2.4B as of Mar 29, 2022
Apr 2, 2012$895M then
HNW client RAUM$1.9B as of Mar 29, 2022
Mar 29, 2018$925M then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 27, 201330 then
Employees (5.A)46 as of Mar 29, 2022
Mar 27, 201351 then
Private funds: no history
RAUM +24% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 16, 2022; 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
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $306,014derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 2.4%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
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 2,000reportedItem 5.H
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B78%
- Individuals$462M19%
- Charitable organizations$56.7M2.4%
- Pooled investment vehicles$3.3M0.1%
- Corporations and businesses$785,0580.0%
- Individual clients
- 1,500reported
- HNW clients
- 595reported
- Pension plan clients
- 0reported
- Charitable clients
- 16reported
- Accounts
- 7,758reported
- Financial planning clients
- 2,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- P••••• J••• R••••••• to R••••••• P•••••••Oct 8, 2021 · RIA to a state-registered adviser
- N••••• K••••••• H••••• to F•••••••• H•••••• W••••• A•••••••Feb 28, 2019 · RIA to RIA
- J••••• F• P••••• to H•••• W••••• A•••••••• L••Nov 29, 2018 · RIA to RIA
- B•••• J•• K••• to G•••••••• C•••••• M•••••••••Apr 6, 2018 · RIA to RIA
- R••••• O••• W••••• to C•••••• C••••••• L••Nov 6, 2017 · Other
- B•••• D••••• J•••••• to C••••••••• W•••••• L••Jun 21, 2017 · Other
- F•••••••• E•••••••• C•••••• to H••••• P••••••• • M••••••••• L••Oct 4, 2016 · Other
- M••• D••••• R••••••• to C••••••••• F•••••••• N••••••Mar 13, 2015 · Other
- J•••• L•••• L•••• to C••••••••• F•••••••• N••••••Mar 13, 2015 · Other
- T•••• B••••• W••• to R••••••• A•••••••Aug 5, 2013 · Other
- D•••• A•••• R••••• to S••Sep 21, 2012 · Other
- J•••• F•••••• M••••• to K••• P•••• A•••••••• L••Jun 15, 2011 · Other
- L•••• E•••• G••••••••• to A••••••• P••••••••• A•••••••• I••Dec 31, 2009 · Other
- W•••••• C•••••• P•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 19, 2008 · Other
- J•••• L•• M••••• to M••••• S••••••Feb 16, 2005 · Other
Joined, latest
- H•••• B••• H••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- W••• B•••••• from P•••••••• W••••• M••••••••• L••Dec 22, 2021 · RIA to RIA
- C••• T••••• M••••••• from L•• F•••••••• L••Sep 11, 2020 · Affiliated broker-dealer or bank to independent RIA
- D•••• S••••• from J••••• H•••••••• W••• L••••• L••Apr 17, 2019 · RIA to RIA
- M•••••• F•••• B•••• from E••••••• W••••• P•••••••Dec 2, 2013 · Other
- R••••• B•••••• C••••••• from ••••••••Mar 15, 2012 · Other
- F•••••••• E•••••••• C•••••• from E•• F•••••••• A•••••••Nov 16, 2010 · Other
- R••••• O••• W••••• from A••••••• P•••••••• L••Jul 12, 2010 · Other
- B•••••• L•••• B••••• from M••••• K••••• • C••••••• L••Mar 3, 2009 · Other
- D•••• A•••• R••••• from F•••••••• P••••••• C•••••••••Jan 6, 2009 · Other
- L•••• E•••• G••••••••• from A••••••• P••••••••• A•••••••• I••Feb 1, 2006 · Other
- J••••• F• P••••• from A•••••• I••••••••• M••••••••• C•••••• L••Jan 10, 2006 · Other
- T•••• B••••• W••• from N•• E•••••• S••••••••• C•••••••••Jan 31, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• F•••••••• N••••••Mar 13, 2015 · Brentwood, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• J••• G•••• H••••• · Vice President, Partnercontrolsince 12/2017 · owns less than 5%
- E••••••• D•••••• L••• · Director, Chairman Of The Boardcontrolsince 12/2017 · owns less than 5%
- J•••••• M•••••• W••••• · Directorcontrolsince 12/2017 · owns less than 5%
- M•••••••• L••••• G•• · Chief Compliance Officer, Partnercontrolsince 01/2021 · owns less than 5%
- R•••• W••••••• C•••• · Presidentcontrolsince 12/2017 · owns less than 5%
- S•••••••• B••••• W••••••••• · Directorcontrolsince 12/2017 · owns less than 5%
- D•••• G•••• H••••• · Ceo (T•••••••• L••), Partner (T••••••••, LLC) Vice-President (T•••••••• Financial Services LLC)controlsince 12/2017 · owns F of T•••••••• L••
- E••••••• D•••••• L••• · Director, Chairman Of The Boardcontrolsince 12/2017 · owns F of T•••••••• L••
- J•••••• M•••••• W••••• · Directorcontrolsince 12/2017 · owns F of T•••••••• L••
- M•••••••• L••••• G•• · Chief Compliance Officer, Partnercontrolsince 01/2021 · owns F of T•••••••• L••
- R•••• W••••••• C•••• · Director (T•••••••• L••), President (T•••••••• Financial Services LLC)controlsince 12/2017 · owns F of T•••••••• L••
- S•••••••• B••••• W••••••••• · Directorcontrolsince 12/2017 · owns F of T•••••••• L••
- A•••••• J••••••••• C•••••• · Partnersince 03/2018 · owns less than 5%
- B••••• M••••••• F•••• · Partnersince 01/2020 · owns less than 5%
- C•••••••• R•••••• B•••••• · Partnersince 03/2018 · owns less than 5%
- J•••••• M•••••• A•••• · Partnersince 03/2018 · owns less than 5%
- L••• R••••••• S•••• · Partnersince 03/2018 · owns less than 5%
- M••••••••• M•••••••• J••• · Partnersince 03/2018 · owns less than 5%
- M••••• E•••• C••••• · Partnersince 03/2018 · owns less than 5%
- M•••••••• K••••• A••••• · Partnersince 01/2020 · owns less than 5%
- S•••••••• M••••••• T•••• · Partnersince 03/2018 · owns less than 5%
- T•••••• C••••••• R•••••• · Partnersince 03/2018 · owns less than 5%
- A•••••• J••••••••• C•••••• · Partnersince 03/2018 · owns F of T•••••••• L••
- B••••• M••••••• F•••• · Partnersince 01/2020 · owns F of T•••••••• L••
- C•••••••• R•••••• B•••••• · Partnersince 03/2018 · owns F of T•••••••• L••
- J•••••• M•••••• A•••• · Partnersince 12/2017 · owns F of T•••••••• L••
- L••• R••••••• S•••• · Partnersince 03/2018 · owns F of T•••••••• L••
- M••••••••• M•••••••• J••• · Partnersince 03/2018 · owns F of T•••••••• L••
- M••••• E•••• C••••• · Partnersince 03/2018 · owns F of T•••••••• L••
- M•••••••• K••••• A••••• · Partnersince 01/2020 · owns F of T•••••••• L••
Entity owners
- T•••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••••investment advisernRAUM $1237B
- C••••••• Financial Advisorsbroker-dealernRAUM $116B
- T•••••••• I•••••••• A•••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueNov 22, 2022 to Dec 16, 2022
- Related broker-dealer · false to trueNov 22, 2022 to Dec 16, 2022
- Private funds · unset to 1Mar 29, 2022 to Apr 14, 2022
- Accounts · 7,047 to 7,758Jan 27, 2022 to Mar 29, 2022
- Advisory activities · 5 to 6Jan 27, 2022 to Mar 29, 2022
- Charity clients · 8 to 16Jan 27, 2022 to Mar 29, 2022
- Corporate clients · 9 to 1Jan 27, 2022 to Mar 29, 2022
- HNW clients · 576 to 595Jan 27, 2022 to Mar 29, 2022
- Individual clients · 1,426 to 1,500Jan 27, 2022 to Mar 29, 2022
- Pooled vehicle clients · 0 to 1Jan 27, 2022 to Mar 29, 2022
- Assets in custody · unset to 692000000.0Jan 27, 2022 to Mar 29, 2022
- Discretionary RAUM · $1.8B to $2.2BJan 27, 2022 to Mar 29, 2022
- HNW RAUM · $1.5B to $1.9BJan 27, 2022 to Mar 29, 2022
- Individual RAUM · $369M to $462MJan 27, 2022 to Mar 29, 2022
- Non-discretionary RAUM · $155M to $205MJan 27, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $0 to $3.3MJan 27, 2022 to Mar 29, 2022
- RAUM · $1.9B to $2.4BJan 27, 2022 to Mar 29, 2022
- Accounts · 6,639 to 7,047Oct 16, 2020 to Feb 1, 2021
- Advisory employees · 24 to 32Oct 16, 2020 to Feb 1, 2021
- BD registered reps · 33 to 0Oct 16, 2020 to Feb 1, 2021
- Charity clients · 9 to 8Oct 16, 2020 to Feb 1, 2021
- Corporate clients · 6 to 9Oct 16, 2020 to Feb 1, 2021
- HNW clients · 427 to 576Oct 16, 2020 to Feb 1, 2021
- Individual clients · 1,485 to 1,426Oct 16, 2020 to Feb 1, 2021
- Employees · 44 to 46Oct 16, 2020 to Feb 1, 2021
- Other offices · 1 to 0Oct 16, 2020 to Feb 1, 2021
- Discretionary RAUM · $1.5B to $1.8BOct 16, 2020 to Feb 1, 2021
- HNW RAUM · $1.1B to $1.5BOct 16, 2020 to Feb 1, 2021
- Individual RAUM · $430M to $369MOct 16, 2020 to Feb 1, 2021
- Non-discretionary RAUM · $157M to $155MOct 16, 2020 to Feb 1, 2021
- RAUM · $1.6B to $1.9BOct 16, 2020 to Feb 1, 2021
- Related broker-dealer · true to falseOct 16, 2020 to Feb 1, 2021
- Accounts · 6,035 to 6,639Jan 29, 2020 to Mar 21, 2020
- Advisory employees · 27 to 24Jan 29, 2020 to Mar 21, 2020
- BD registered reps · 35 to 33Jan 29, 2020 to Mar 21, 2020
- Charity clients · 4 to 9Jan 29, 2020 to Mar 21, 2020
- Corporate clients · 7 to 6Jan 29, 2020 to Mar 21, 2020
- HNW clients · 417 to 427Jan 29, 2020 to Mar 21, 2020
- Individual clients · 1,325 to 1,485Jan 29, 2020 to Mar 21, 2020
- Employees · 42 to 44Jan 29, 2020 to Mar 21, 2020
Signals
3 dated events
- T•••••••• F•••••••• S•••••••• L•• reported RAUM $1.6B, up 29% from $1.3B (2020-01-29 to 2020-03-21)Mar 21, 2020 · RAUM change · derived
- T•••••••• F•••••••• S•••••••• L•• reported 0 state-registered advisory representatives, down from 30 (2018-01-29 to 2018-03-29)Mar 29, 2018 · Advisor headcount change · derived
- T•••••••• F•••••••• S•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 29, 2018 · Succession (Item 4) · fact
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