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•• J••••• G•••• C•••••• M•••••••••

Former SEC-registered adviserColumbus, OhioCRD 109496SEC 801-57911IAPD
Legal name T•• J••••• G••••• L••
Latest filing Jan 18, 2013
First filing on the tape Mar 23, 2012 · 5 filings
RAUM
$283M
reported, Item 5.F
Discretionary
83%
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
9
8 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$283M as of Jan 18, 2013
Mar 23, 2012$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Jan 18, 2013
Nov 29, 20125 then
Employees (5.A)9 as of Jan 18, 2013
Nov 29, 20129 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 18, 2013; every figure names its basis
RAUM per advisor
$56.5MderivedRAUM 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
$734,171derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • controlled by a public reporting company (10.A)
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
385reported
Financial planning clients
251-500reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• M•••• J••••• · Chief Executive Officer / Chief Compliance Officercontrol
    since 02/1996 · owns less than 5%
  • P•••••• M••••••• D•••• · Presidentcontrol
    since 02/1996 · owns less than 5%
  • P•••••• M•••• J••••• · Partnercontrol
    since 01/1999 · owns 50% to 75% of T•• J••••• G••••• I•••
  • P•••••• M••••••• D•••• · Partnercontrol
    since 01/1999 · owns 50% to 75% of T•• J••••• G••••• I•••
  • U••••• R•••••• T••••• · Coo
    since 04/2012 · owns less than 5%
Entity owners
  • T•• J••••• G••••• I••• · Corporation
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Organization form · Limited Liability Company to Corporation
    Nov 29, 2012 to Jan 18, 2013
  • Advisory employees · unset to 8.0
    Jun 8, 2012 to Nov 29, 2012
  • Employees · unset to 9.0
    Jun 8, 2012 to Nov 29, 2012
  • State-registered IARs · unset to 5.0
    Jun 8, 2012 to Nov 29, 2012
  • Related adviser · false to true
    Jun 8, 2012 to Nov 29, 2012
  • Legal name · T•• J••••• G••••• I••• to T•• J••••• G••••• L••
    May 25, 2012 to Jun 8, 2012
  • Succession · true to false
    May 25, 2012 to Jun 8, 2012
  • Organization form · Corporation to Limited Liability Company
    Mar 23, 2012 to May 25, 2012
  • Succession · false to true
    Mar 23, 2012 to May 25, 2012
Signals
1 dated events
  • T•• J••••• G•••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    May 25, 2012 · 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