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•••••• A•••••••• I•••

Former SEC-registered adviserCRD 108458SEC 801-56486IAPD
Latest filing Apr 8, 2018
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$107M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
91%
$97.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$107M as of Apr 8, 2018
Mar 29, 2012$260M then
HNW client RAUM: $69.1M
State-registered IARs (5.B.3)2 as of Apr 8, 2018
Apr 1, 20135 then
Employees (5.A)4 as of Apr 8, 2018
Apr 1, 201310 then
Private funds: no history
RAUM +17% over the last fiscal year-3.3% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Apr 8, 2018; every figure names its basis
RAUM per advisor
$53.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
149derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$987,712derivedHNW RAUM over HNW clients
Average account
$138,195derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 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 individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
  • 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
  • High-net-worth individuals$69.1M65%
  • Individuals$28.7M27%
  • Pension and profit-sharing plans$9.3M8.7%
Individual clients
228reported
HNW clients
70reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
775reported
Financial planning clients
26-50reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • T•••••• G•••••• L•••• · Chief Compliance Officercontrol
    since 09/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Scottsdale, AZ1 employees
What changed
consecutive filings, newest first
  • Accounts · 718 to 775
    Apr 1, 2017 to Apr 8, 2018
  • Advisory employees · 4 to 2
    Apr 1, 2017 to Apr 8, 2018
  • BD registered reps · 4 to 2
    Apr 1, 2017 to Apr 8, 2018
  • HNW clients · unset to 70.0
    Apr 1, 2017 to Apr 8, 2018
  • Individual clients · unset to 228.0
    Apr 1, 2017 to Apr 8, 2018
  • Pension plan clients · unset to 5.0
    Apr 1, 2017 to Apr 8, 2018
  • Employees · 6 to 4
    Apr 1, 2017 to Apr 8, 2018
  • State-registered IARs · 3 to 2
    Apr 1, 2017 to Apr 8, 2018
  • Other offices · unset to 1.0
    Apr 1, 2017 to Apr 8, 2018
  • Discretionary RAUM · $71.0M to $82.2M
    Apr 1, 2017 to Apr 8, 2018
  • HNW RAUM · unset to 69139854.0
    Apr 1, 2017 to Apr 8, 2018
  • Individual RAUM · unset to 28663701.0
    Apr 1, 2017 to Apr 8, 2018
  • Non-discretionary RAUM · $20.7M to $24.9M
    Apr 1, 2017 to Apr 8, 2018
  • Pension RAUM · unset to 9297618.0
    Apr 1, 2017 to Apr 8, 2018
  • RAUM · $91.7M to $107M
    Apr 1, 2017 to Apr 8, 2018
  • Related broker-dealer · true to false
    Apr 1, 2017 to Apr 8, 2018
  • Accounts · 300 to 718
    Jan 14, 2016 to Apr 1, 2017
  • BD registered reps · 2 to 4
    Jan 14, 2016 to Apr 1, 2017
  • Employees · 7 to 6
    Jan 14, 2016 to Apr 1, 2017
  • Insurance-licensed employees · 1 to 0
    Jan 14, 2016 to Apr 1, 2017
  • Financial planning clients · 11-25 to 26-50
    Jan 14, 2016 to Apr 1, 2017
  • State-registered IARs · 4 to 3
    Jan 14, 2016 to Apr 1, 2017
  • Discretionary RAUM · $74.0M to $71.0M
    Jan 14, 2016 to Apr 1, 2017
  • Non-discretionary RAUM · $16.0M to $20.7M
    Jan 14, 2016 to Apr 1, 2017
  • RAUM · $90.0M to $91.7M
    Jan 14, 2016 to Apr 1, 2017
  • Related adviser · true to false
    Jan 14, 2016 to Apr 1, 2017
  • Related broker-dealer · false to true
    Jan 14, 2016 to Apr 1, 2017
  • Related insurance company · true to false
    Jan 14, 2016 to Apr 1, 2017
  • Accounts · 915 to 300
    Jan 7, 2016 to Jan 14, 2016
  • Employees · 5 to 7
    Jan 7, 2016 to Jan 14, 2016
  • Insurance-licensed employees · 0 to 1
    Jan 7, 2016 to Jan 14, 2016
  • Discretionary RAUM · $118M to $74.0M
    Jan 7, 2016 to Jan 14, 2016
  • Non-discretionary RAUM · $0 to $16.0M
    Jan 7, 2016 to Jan 14, 2016
  • RAUM · $118M to $90.0M
    Jan 7, 2016 to Jan 14, 2016
  • Related adviser · false to true
    Jan 7, 2016 to Jan 14, 2016
  • Related insurance company · false to true
    Jan 7, 2016 to Jan 14, 2016
  • Accounts · 909 to 915
    Jan 14, 2015 to Apr 10, 2015
  • Advisory activities · 4 to 5
    Jan 14, 2015 to Apr 10, 2015
  • BD registered reps · 3 to 2
    Jan 14, 2015 to Apr 10, 2015
  • Discretionary RAUM · $109M to $118M
    Jan 14, 2015 to Apr 10, 2015
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