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•• F•••••••• A•••••••
Legal name P••••••••• F•••••••• A••••••• I••
Latest filing Mar 3, 2026
First filing on the tape Mar 27, 2012 · 40 filings
SEC status approved since Jun 7, 1991
RAUM
$426M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$426M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$71.0M
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$426M as of Mar 3, 2026
Mar 27, 2012$222M then
HNW client RAUM$368M as of Mar 3, 2026
Feb 17, 2018$240M then
State-registered IARs (5.B.3)7 as of Mar 3, 2026
Mar 27, 20120 then
Employees (5.A)13 as of Mar 3, 2026
Mar 7, 201320 then
Private funds: no history
RAUM +19% over the last fiscal year+11% a year over threeIARs 8 to 7offices 1 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $71.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $348,598derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $421MreportedItem 5.I
- Custody
- $33.2M, 88 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$368M86%
- Individuals$58.4M14%
- Individual clients
- 159reported
- HNW clients
- 100reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,222reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $33.2M for 88 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• S•••••• H•••••••Certified Financial Planner, Chartered Financial Consultant | Radnor, Pa | Jan 20, 2005 | 42 y | 1 |
| T••••• A••• R••••Certified Financial Planner | Radnor, Pa | May 8, 2009 | 17 y | 0 |
| A••••• L•••••Certified Financial Planner | Radnor, Pa | Aug 5, 2011 | 15 y | 0 |
| M••••• L•• B•••••Certified Financial Planner | Radnor, Pa | Sep 14, 2022 | 23 y | 2 |
| Y••••• M••••••• M•••• A••••••Certified Financial Planner | Radnor, Pa | Dec 20, 2024 | 13 y | 0 |
| C••••••• R••• K•••• | Radnor, Pa | May 27, 2025 | 12 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 17% of current headcount2 left over 36 months
Left, latest
- M•••••• H••••••• L•••• to K••••••• C•••••• M••••••••• L••Mar 4, 2026 · RIA to RIA
- R••••• T••••• D••• to B••••••• W••••• M•••••••••Oct 30, 2023 · RIA to a state-registered adviser
- V•••••• R•• B•••••• to N•••••••• W••••• M•••••••••Sep 30, 2013 · Other
Joined, latest
- R••••• T••••• D••• from H••••• F•••••••• A•••••••• I•••May 6, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D••••• M• · Directorcontrolsince 11/2014 · owns less than 5%
- H•••••••• J••••• S•••••• · Principalcontrolsince 02/1990 · owns 75% or more
- R••••• T•••••• A••• · Directorcontrolsince 06/2014 · owns less than 5%
- M••• P•••• · Chief Compliance Officersince 05/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Radnor, Pa · principal | 6 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,125 to 1,222Nov 4, 2025 to Mar 1, 2026
- HNW clients · 90 to 100Nov 4, 2025 to Mar 1, 2026
- Individual clients · 163 to 159Nov 4, 2025 to Mar 1, 2026
- Assets in custody · $74.4M to $33.2MNov 4, 2025 to Mar 1, 2026
- Employees · 14 to 13Nov 4, 2025 to Mar 1, 2026
- State-registered IARs · 8 to 7Nov 4, 2025 to Mar 1, 2026
- Discretionary RAUM · $359M to $421MNov 4, 2025 to Mar 1, 2026
- HNW RAUM · $308M to $368MNov 4, 2025 to Mar 1, 2026
- Individual RAUM · $51.6M to $58.4MNov 4, 2025 to Mar 1, 2026
- Non-discretionary RAUM · $0 to $4.7MNov 4, 2025 to Mar 1, 2026
- RAUM · $359M to $426MNov 4, 2025 to Mar 1, 2026
- Other offices · 1 to 0Mar 22, 2025 to Nov 4, 2025
- Accounts · 1,190 to 1,125Oct 31, 2024 to Mar 22, 2025
- Advisory employees · 5 to 7Oct 31, 2024 to Mar 22, 2025
- HNW clients · 89 to 90Oct 31, 2024 to Mar 22, 2025
- Assets in custody · $69.3M to $74.4MOct 31, 2024 to Mar 22, 2025
- Financial planning clients · 101-250 to 101-250Oct 31, 2024 to Mar 22, 2025
- State-registered IARs · 5 to 8Oct 31, 2024 to Mar 22, 2025
- Discretionary RAUM · $336M to $359MOct 31, 2024 to Mar 22, 2025
- HNW RAUM · $287M to $308MOct 31, 2024 to Mar 22, 2025
- Individual RAUM · $52.6M to $51.6MOct 31, 2024 to Mar 22, 2025
- Non-discretionary RAUM · $3.5M to $0Oct 31, 2024 to Mar 22, 2025
- RAUM · $340M to $359MOct 31, 2024 to Mar 22, 2025
- Accounts · 1,133 to 1,190Nov 1, 2023 to Mar 24, 2024
- Advisory employees · 7 to 5Nov 1, 2023 to Mar 24, 2024
- HNW clients · 83 to 89Nov 1, 2023 to Mar 24, 2024
- Individual clients · 160 to 163Nov 1, 2023 to Mar 24, 2024
- Assets in custody · $50.0M to $69.3MNov 1, 2023 to Mar 24, 2024
- Employees · 9 to 14Nov 1, 2023 to Mar 24, 2024
- State-registered IARs · 7 to 5Nov 1, 2023 to Mar 24, 2024
- Discretionary RAUM · $296M to $336MNov 1, 2023 to Mar 24, 2024
- HNW RAUM · $261M to $287MNov 1, 2023 to Mar 24, 2024
- Individual RAUM · $51.6M to $52.6MNov 1, 2023 to Mar 24, 2024
- Non-discretionary RAUM · $15.7M to $3.5MNov 1, 2023 to Mar 24, 2024
- RAUM · $312M to $340MNov 1, 2023 to Mar 24, 2024
- Accounts · 1,126 to 1,133Oct 11, 2022 to Mar 31, 2023
- Advisory employees · 6 to 7Oct 11, 2022 to Mar 31, 2023
- HNW clients · 10 to 83Oct 11, 2022 to Mar 31, 2023
- Individual clients · 236 to 160Oct 11, 2022 to Mar 31, 2023
- Assets in custody · $54.0M to $50.0MOct 11, 2022 to Mar 31, 2023
Signals
6 dated events
- M•••••• H••••••• L•••• left T•• F•••••••• A••••••• for K••••••• C•••••• M••••••••• L•• (registered 2026-03-09)Mar 4, 2026 · Advisor changed firm · fact
- R••••• T••••• D••• left T•• F•••••••• A••••••• for B••••••• W••••• M••••••••• (registered 2023-06-29)Oct 30, 2023 · Advisor changed firm · fact
- Curran Terence Mcpeak (Chief Compliance Officer) no longer on Schedule A of T•• F•••••••• A••••••• (listed 2022-10-11, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Allen David Burd (Principal, Chief Compliance Officer) no longer on Schedule A of T•• F•••••••• A••••••• (listed 2020-06-30, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Curran Terence Mcpeak (Chief Compliance Officer) appeared on Schedule A of T•• F•••••••• A•••••••Mar 30, 2021 · Control person joined · fact
- James Phillip Deerwester (Chief Compliance Officer) no longer on Schedule A of T•• F•••••••• A••••••• (listed 2019-05-24, absent 2019-07-01)Jul 1, 2019 · 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
- Business phone
- 610-892-9900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-525-4075reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tgs-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/triagemdreportedpublic record, Form ADV, Sep 18, 2026
- Website
- TGSFIN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-892-9900reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- tgsfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $71.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026