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•• G•••• I••

Former SEC-registered adviserNorth Oaks, MinnesotaCRD 112087SEC 801-49315IAPD
Legal name T• I• S• G•••• I••
Latest filing Apr 1, 2021
First filing on the tape Apr 2, 2012 · 17 filings
RAUM
$185M
reported, Item 5.F
Discretionary
11%
of RAUM
Private clients
11%
$19.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$185M as of Mar 31, 2021
Apr 2, 2012$131M then
HNW client RAUM$10.5M as of Mar 31, 2021
Mar 30, 2018$26.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 26, 20130 then
Employees (5.A)3 as of Mar 31, 2021
Mar 26, 20135 then
Private funds: no history
RAUM +3.1% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2021; 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
$1.3MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
11%derivedof RAUM
Institutional
89%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
+3.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+1.6%derived
Compensation
percentage of assets, fixed fees, subscription, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 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
  • 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 non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$165M89%
  • High-net-worth individuals$10.5M5.7%
  • Individuals$9.1M4.9%
Individual clients
56reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
110reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      • J•••••••• L••••• E••••• · Managing Director/Ciocontrol
        since 05/1995 · owns 75% or more
      • J••••• D••••• D•••• · Chief Compliance Officercontrol
        since 01/2008 · owns less than 5%
      • L•••• D•••••• P•••••• · Chief Operating Officer
        since 09/2016 · 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 · 64 to 110
        Jun 30, 2020 to Mar 31, 2021
      • Advisory activities · 4 to 3
        Jun 30, 2020 to Mar 31, 2021
      • Individual clients · 55 to 56
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $17.8M to $19.5M
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $8.1M to $10.5M
        Jun 30, 2020 to Mar 31, 2021
      • Individual RAUM · $9.7M to $9.1M
        Jun 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $161M to $165M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $179M to $185M
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 117 to 64
        Apr 1, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 2
        Apr 1, 2019 to Mar 30, 2020
      • HNW clients · 6 to 8
        Apr 1, 2019 to Mar 30, 2020
      • Individual clients · 65 to 55
        Apr 1, 2019 to Mar 30, 2020
      • Pension plan clients · 1 to 0
        Apr 1, 2019 to Mar 30, 2020
      • Employees · 4 to 3
        Apr 1, 2019 to Mar 30, 2020
      • Discretionary RAUM · $14.6M to $17.8M
        Apr 1, 2019 to Mar 30, 2020
      • HNW RAUM · $5.1M to $8.1M
        Apr 1, 2019 to Mar 30, 2020
      • Individual RAUM · $9.5M to $9.7M
        Apr 1, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $107M to $161M
        Apr 1, 2019 to Mar 30, 2020
      • Pension RAUM · 1800000.0 to unset
        Apr 1, 2019 to Mar 30, 2020
      • RAUM · $121M to $179M
        Apr 1, 2019 to Mar 30, 2020
      • Accounts · 134 to 117
        May 11, 2018 to Apr 1, 2019
      • HNW clients · 8 to 6
        May 11, 2018 to Apr 1, 2019
      • Individual clients · 75 to 65
        May 11, 2018 to Apr 1, 2019
      • Discretionary RAUM · $17.0M to $14.6M
        May 11, 2018 to Apr 1, 2019
      • HNW RAUM · $26.0M to $5.1M
        May 11, 2018 to Apr 1, 2019
      • Individual RAUM · $11.0M to $9.5M
        May 11, 2018 to Apr 1, 2019
      • Non-discretionary RAUM · $162M to $107M
        May 11, 2018 to Apr 1, 2019
      • Pension RAUM · $2.0M to $1.8M
        May 11, 2018 to Apr 1, 2019
      • RAUM · $179M to $121M
        May 11, 2018 to Apr 1, 2019
      • Accounts · 136 to 134
        Jul 14, 2017 to Mar 30, 2018
      • Advisory activities · 2 to 4
        Jul 14, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Jul 14, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Jul 14, 2017 to Mar 30, 2018
      • HNW clients · unset to 8.0
        Jul 14, 2017 to Mar 30, 2018
      • Individual clients · unset to 75.0
        Jul 14, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 1.0
        Jul 14, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 14, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 14, 2017 to Mar 30, 2018
      • Discretionary RAUM · $38.3M to $17.0M
        Jul 14, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 26000000.0
        Jul 14, 2017 to Mar 30, 2018
      Signals
      1 dated events
      • Alan Robert Lepley (Managing Director) no longer on Schedule A of T•• G•••• I•• (listed 2019-04-01, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      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