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••••• M••••••••• L••••••

Former SEC-registered adviserBrisbane, CRD 112061SEC 801-60209IAPD
Latest filing Mar 30, 2023
First filing on the tape Jan 19, 2012 · 16 filings
RAUM
$9.2B
reported, Item 5.F
Discretionary
100%
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
15
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$9.2B as of Mar 30, 2023
Jan 19, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Jan 19, 20120 then
Employees (5.A)15 as of Mar 30, 2023
Jan 22, 20131 then
Private funds: no history
RAUM -53% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$610MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-53%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Pension and profit-sharing plans$4.1B45%
  • Pooled investment vehicles$2.7B29%
  • Insurance companies$2.3B25%
  • Charitable organizations$91.9M1.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
2reported
Accounts
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• S••••••• P•••••• · Directorcontrol
        since 12/2006 · owns less than 5%
      • H••••• P••••• J••• · Chairmancontrol
        since 07/2000 · owns less than 5%
      • G••••• S••••••• P•••••• · Beneficial Ownercontrol
        since 01/2004 · owns 25% to 50% of T•• T••• P•• L•• A•• T•• T••• T••••
      • H••••• P••••• J••• · Beneficial Ownercontrol
        since 01/2004 · owns 50% to 75% of T•• T••• P•• L•• A•• T•• T••• T••••
      • A••••• T•••• · Director
        since 03/2017 · owns less than 5%
      • L•••••• J•• · Director
        since 10/2021 · owns less than 5%
      • M••••••••• M•••••• · Chief Compliance Officer
        since 02/2023 · owns less than 5%
      Entity owners
      • I•• F•••• P•• L•• · Beneficial Owner
        direct · owns 25% to 50%
      • T•• T••• P•• L•• A•• T•• T••• T•••• · Beneficial Owner
        direct · owns 75% or more
      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 · 16 to 15
        Jun 1, 2022 to Mar 30, 2023
      • Advisory employees · 3 to 4
        Jun 1, 2022 to Mar 30, 2023
      • Pension plan clients · 2 to 1
        Jun 1, 2022 to Mar 30, 2023
      • Employees · 13 to 15
        Jun 1, 2022 to Mar 30, 2023
      • Discretionary RAUM · $20B to $9.2B
        Jun 1, 2022 to Mar 30, 2023
      • Pension RAUM · $14B to $4.1B
        Jun 1, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $3.0B to $2.7B
        Jun 1, 2022 to Mar 30, 2023
      • RAUM · $20B to $9.2B
        Jun 1, 2022 to Mar 30, 2023
      • Accounts · 15 to 16
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 0 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Pension plan clients · 3 to 2
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 9 to 11
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 12 to 13
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $21B to $20B
        Mar 31, 2021 to Mar 31, 2022
      • Pension RAUM · $17B to $14B
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.6B to $3.0B
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $21B to $20B
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 14 to 15
        Mar 31, 2020 to Mar 31, 2021
      • Charity clients · 3 to 2
        Mar 31, 2020 to Mar 31, 2021
      • Pension plan clients · 5 to 3
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 6 to 9
        Mar 31, 2020 to Mar 31, 2021
      • Employees · 13 to 12
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $31B to $21B
        Mar 31, 2020 to Mar 31, 2021
      • Pension RAUM · $27B to $17B
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.3B to $2.6B
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $31B to $21B
        Mar 31, 2020 to Mar 31, 2021
      • Accounts · 15 to 14
        Mar 27, 2019 to Mar 31, 2020
      • Charity clients · unset to 3.0
        Mar 27, 2019 to Mar 31, 2020
      • Discretionary RAUM · $28B to $31B
        Mar 27, 2019 to Mar 31, 2020
      • Pension RAUM · $23B to $27B
        Mar 27, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $1.1B to $1.3B
        Mar 27, 2019 to Mar 31, 2020
      • RAUM · $28B to $31B
        Mar 27, 2019 to Mar 31, 2020
      • Accounts · 12 to 15
        Oct 31, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 3 to 6
        Oct 31, 2018 to Mar 27, 2019
      • Employees · 14 to 13
        Oct 31, 2018 to Mar 27, 2019
      • Discretionary RAUM · $26B to $28B
        Oct 31, 2018 to Mar 27, 2019
      • Pension RAUM · $21B to $23B
        Oct 31, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $866M to $1.1B
        Oct 31, 2018 to Mar 27, 2019
      • RAUM · $26B to $28B
        Oct 31, 2018 to Mar 27, 2019
      • Accounts · unset to 12.0
        May 15, 2017 to Apr 11, 2018
      Signals
      3 dated events
      • T••••••• G••••• M••••••••• L•••••• reported RAUM $9.2B, down 53% from $19.6B (2022-06-01 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • T••••••• G••••• M••••••••• L•••••• reported RAUM $21.3B, down 31% from $30.8B (2020-03-31 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • T••••••• G••••• M••••••••• ••• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Apr 7, 2016 · 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