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.
Former SEC-registered adviser
T•••• C•••••• M••••••••• I••
Latest filing Mar 21, 2025
First filing on the tape Mar 21, 2012 · 22 filings
SEC status approved since Jul 7, 1989
RAUM
$141M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
50%
$70.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$141M as of Mar 21, 2025
Mar 21, 2012$127M then
HNW client RAUM$41.2M as of Mar 21, 2025
Mar 21, 2018$43.7M then
State-registered IARs (5.B.3)1 as of Mar 21, 2025
Mar 18, 20130 then
Employees (5.A)4 as of Mar 21, 2025
Mar 18, 20138 then
Private funds1 as of Mar 21, 2025
Mar 21, 20122 then
RAUM -19% over the last fiscal year-9.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
- RAUM per advisor
- $141MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $577,304derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $66.9M, 130 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$65.3M47%
- High-net-worth individuals$41.2M30%
- Individuals$28.9M21%
- Corporations and businesses$1.8M1.3%
- Pooled investment vehicles$1.7M1.2%
- Individual clients
- 84reported
- HNW clients
- 25reported
- Pension plan clients
- 26reported
- Charitable clients
- n/areported
- Accounts
- 244reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.9M for 130 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- R••••• V••••• M•• to J•••• T•••••• I••••••••• P•••••••• L••May 27, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3• T••• P•••• L•• | Private Equity Fund | $2.3M | 34 | Mar 25, 2014 |
| T•••• T••••••••• F••• L•••no longer reported | Other Private Fund | $480,535 | 9 | Mar 21, 2012 |
| C•••••••• L•••••• P•••••••••no longer reported | Other Private Fund | $461,096 | 6 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••• I••• J•••• · Director Of Corporate Development, Vice President, Secretary, Treasurercontrolsince 12/1987 · owns 25% to 50%
- M•••••• A••• · Chief Compliance Officer, Operations Managercontrolsince 12/2023 · owns less than 5%
- M••• R•••••• V••••• · Cio, Cfo, Vice President, Asst. Secretarycontrolsince 06/1990 · owns 25% to 50%
- T••••••• W••••••• C•••••• · Director Of Retirement Plan Assets, Presidentcontrolsince 07/2006 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Greensboro, Nc · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 302 to 244Dec 6, 2024 to Mar 21, 2025
- Advisory employees · 3 to 1Dec 6, 2024 to Mar 21, 2025
- HNW clients · 34 to 25Dec 6, 2024 to Mar 21, 2025
- Individual clients · 105 to 84Dec 6, 2024 to Mar 21, 2025
- Pension plan clients · 22 to 26Dec 6, 2024 to Mar 21, 2025
- Assets in custody · $75.5M to $66.9MDec 6, 2024 to Mar 21, 2025
- Employees · 6 to 4Dec 6, 2024 to Mar 21, 2025
- Discretionary RAUM · $117M to $79.9MDec 6, 2024 to Mar 21, 2025
- HNW RAUM · $71.2M to $41.2MDec 6, 2024 to Mar 21, 2025
- Individual RAUM · $35.7M to $28.9MDec 6, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $57.1M to $61.0MDec 6, 2024 to Mar 21, 2025
- Pension RAUM · $61.7M to $65.3MDec 6, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $2.3M to $1.7MDec 6, 2024 to Mar 21, 2025
- RAUM · $175M to $141MDec 6, 2024 to Mar 21, 2025
- Accounts · 311 to 302Dec 15, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Dec 15, 2023 to Mar 28, 2024
- HNW clients · 41 to 34Dec 15, 2023 to Mar 28, 2024
- Individual clients · 122 to 105Dec 15, 2023 to Mar 28, 2024
- Pension plan clients · 23 to 22Dec 15, 2023 to Mar 28, 2024
- Assets in custody · $2.7M to $75.5MDec 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $108M to $117MDec 15, 2023 to Mar 28, 2024
- HNW RAUM · $63.2M to $71.2MDec 15, 2023 to Mar 28, 2024
- Individual RAUM · $37.5M to $35.7MDec 15, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $51.5M to $57.1MDec 15, 2023 to Mar 28, 2024
- Pension RAUM · $54.5M to $61.7MDec 15, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.7M to $2.3MDec 15, 2023 to Mar 28, 2024
- RAUM · $160M to $175MDec 15, 2023 to Mar 28, 2024
- Accounts · 290 to 311Mar 29, 2022 to Mar 27, 2023
- Advisory activities · 2 to 3Mar 29, 2022 to Mar 27, 2023
- HNW clients · 32 to 41Mar 29, 2022 to Mar 27, 2023
- Individual clients · 112 to 122Mar 29, 2022 to Mar 27, 2023
- Pension plan clients · 28 to 23Mar 29, 2022 to Mar 27, 2023
- Assets in custody · $3.7M to $2.7MMar 29, 2022 to Mar 27, 2023
- State-registered IARs · 0 to 1Mar 29, 2022 to Mar 27, 2023
- Other offices · 1 to 0Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $117M to $108MMar 29, 2022 to Mar 27, 2023
- HNW RAUM · $66.8M to $63.2MMar 29, 2022 to Mar 27, 2023
- Individual RAUM · $39.3M to $37.5MMar 29, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $74.0M to $51.5MMar 29, 2022 to Mar 27, 2023
- Pension RAUM · $78.7M to $54.5MMar 29, 2022 to Mar 27, 2023
Signals
4 dated events
- T•••• C•••••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $140.9M)Jun 2, 2025 · Left the SEC roster · derived
- R••••• V••••• M•• left T•••• C•••••• M••••••••• I•• for J•••• T•••••• I••••••••• P•••••••• L•• (registered 2025-07-23)May 27, 2025 · Advisor changed firm · fact
- Michael David Labiak (President, Cfo, Cio & Chief Compliance Officer) no longer on Schedule A of T•••• C•••••• M••••••••• I•• (listed 2023-05-16, absent 2023-12-15)Dec 15, 2023 · Control person left · inference
- Anna Massey (Chief Compliance Officer, Operations Manager) appeared on Schedule A of T•••• C•••••• M••••••••• I••Dec 15, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- T•••• C•••••• M••••••••• I•• · Private Equityshared crd · organization
- Trent Capital Management, Inc. · Venture Capitalshared crd · org
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