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•• G•••••• G••••
Legal name D••••• G• G••••••
Latest filing Jan 27, 2021
First filing on the tape Jun 29, 2015 · 10 filings
RAUM
$368M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$368M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$368M as of Jan 27, 2021
Mar 24, 2016$152M then
HNW client RAUM$293M as of Jan 27, 2021
Mar 29, 2018$183M then
State-registered IARs (5.B.3)2 as of Jan 27, 2021
Mar 24, 20162 then
Employees (5.A)7 as of Jan 27, 2021
Mar 24, 20162 then
Private funds: no history
RAUM +11% over the last fiscal year+9.4% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Jan 27, 2021; every figure names its basis
- RAUM per advisor
- $184MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 174derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $471,167derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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$293M80%
- Individuals$74.1M20%
- Individual clients
- 213reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 780reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- D••••• G••••• G•••••• to W••••• E••••••••• A••••••• S•••••••• L••Jan 13, 2022 · RIA to affiliated broker-dealer or bank
- C••• M•••••• F•••••• to O•••• C•••••• M••••••••• L••Jan 7, 2022 · RIA to RIA
- A••••• H••••• M••••••• to D•••••• • Y•••••• L••Jul 14, 2020 · RIA to RIA
- J•••••••• J••••• R•••••••• to O•••• C•••••• M••••••••• L••Mar 18, 2019 · RIA to RIA
- K•••• L••• B••••• to P••• F•••••••• A•••••••• L••Jul 13, 2010 · Other
- M•••••• B•••• P•••••• to C••••••••• F•••••••• N••••••Feb 4, 2010 · Other
- G••• W•••• S••••••• to C••••••••• F•••••••• N••••••Jun 20, 2008 · Other
Joined, latest
- D••••• G••••• G•••••• from L•• F•••••••• L••Feb 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••• M•••••• F•••••• from L•• F•••••••• L••Jul 27, 2018 · RIA to RIA
- A••••• H••••• M••••••• from F•••••••• A••••••• S•••••••• L••Jul 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- M•••••• B•••• P•••••• from L•• F•••••••• L••Feb 22, 2008 · Other
- K•••• L••• B••••• from L•• F•••••••• L••Nov 22, 2006 · Other
- G••• W•••• S••••••• from L•• F•••••••• L••Nov 22, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D•••••• G••••• · Ccocontrolsince 11/1995 · owns 75% or more
- P••••• L••••••• I•••• · Membersince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 737 to 780Jul 1, 2020 to Jan 27, 2021
- Advisory employees · 4 to 2Jul 1, 2020 to Jan 27, 2021
- BD registered reps · 4 to 3Jul 1, 2020 to Jan 27, 2021
- HNW clients · 115 to 134Jul 1, 2020 to Jan 27, 2021
- Individual clients · 243 to 213Jul 1, 2020 to Jan 27, 2021
- Employees · 5 to 7Jul 1, 2020 to Jan 27, 2021
- State-registered IARs · 4 to 2Jul 1, 2020 to Jan 27, 2021
- Organization form · Sole Proprietorship to Limited Liability CompanyJul 1, 2020 to Jan 27, 2021
- Discretionary RAUM · $331M to $368MJul 1, 2020 to Jan 27, 2021
- HNW RAUM · $251M to $293MJul 1, 2020 to Jan 27, 2021
- Individual RAUM · $79.9M to $74.1MJul 1, 2020 to Jan 27, 2021
- RAUM · $331M to $368MJul 1, 2020 to Jan 27, 2021
- Succession · false to trueJul 1, 2020 to Jan 27, 2021
- Accounts · 744 to 737Mar 28, 2019 to Mar 27, 2020
- HNW clients · 108 to 115Mar 28, 2019 to Mar 27, 2020
- Individual clients · 258 to 243Mar 28, 2019 to Mar 27, 2020
- Financial planning clients · 51-100 to 101-250Mar 28, 2019 to Mar 27, 2020
- Other offices · 1 to 0Mar 28, 2019 to Mar 27, 2020
- Discretionary RAUM · $279M to $331MMar 28, 2019 to Mar 27, 2020
- HNW RAUM · $181M to $251MMar 28, 2019 to Mar 27, 2020
- Individual RAUM · $97.6M to $79.9MMar 28, 2019 to Mar 27, 2020
- RAUM · $279M to $331MMar 28, 2019 to Mar 27, 2020
- Accounts · 704 to 744Mar 29, 2018 to Mar 28, 2019
- Advisory employees · 2 to 4Mar 29, 2018 to Mar 28, 2019
- HNW clients · 92 to 108Mar 29, 2018 to Mar 28, 2019
- Individual clients · 242 to 258Mar 29, 2018 to Mar 28, 2019
- Employees · 4 to 5Mar 29, 2018 to Mar 28, 2019
- State-registered IARs · 2 to 4Mar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $281M to $279MMar 29, 2018 to Mar 28, 2019
- HNW RAUM · $183M to $181MMar 29, 2018 to Mar 28, 2019
- Individual RAUM · $98.2M to $97.6MMar 29, 2018 to Mar 28, 2019
- RAUM · $281M to $279MMar 29, 2018 to Mar 28, 2019
- Wrap assets (manager) · 0.0 to unsetMar 29, 2018 to Mar 28, 2019
- Wrap assets (sponsor) · 0.0 to unsetMar 29, 2018 to Mar 28, 2019
- Accounts · 725 to 704Mar 29, 2017 to Mar 29, 2018
- Advisory employees · 3 to 2Mar 29, 2017 to Mar 29, 2018
- HNW clients · unset to 92.0Mar 29, 2017 to Mar 29, 2018
- Individual clients · unset to 242.0Mar 29, 2017 to Mar 29, 2018
- State-registered IARs · 3 to 2Mar 29, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 29, 2018
Signals
4 dated events
- D••••• G••••• G•••••• left T•• G•••••• G•••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-01-03)Jan 13, 2022 · Advisor changed firm · fact
- C••• M•••••• F•••••• left T•• G•••••• G•••• for O•••• C•••••• M••••••••• L•• (registered 2022-01-14)Jan 7, 2022 · Advisor changed firm · fact
- T•• G•••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 27, 2021 · Succession (Item 4) · fact
- T•• G•••••• G•••• filed its initial SEC registration (Form ADV)Jun 29, 2015 · First SEC registration · 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