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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SEC-registered adviser
T••• F•••••••• G••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Feb 7, 2012 · 25 filings
SEC status approved since Jan 23, 2003
RAUM
$367M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$356M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$73.4M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$367M as of Mar 18, 2026
Feb 7, 2012$108M then
HNW client RAUM$265M as of Mar 18, 2026
Mar 28, 2018$121M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Feb 7, 20120 then
Employees (5.A)9 as of Mar 18, 2026
May 6, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $73.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $367,087derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $195M, 222 clientsreportedItem 9.A
- 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 persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M72%
- Individuals$91.1M25%
- Corporations and businesses$10.7M2.9%
- Pension and profit-sharing plans$749,5360.2%
- Individual clients
- 181reported
- HNW clients
- 111reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 1,000reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $195M for 222 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• W•••• T•••Certified Financial Planner | Chesapeake, Va | Feb 13, 2003 | 41 y | 0 |
| W•••••• A••••• O•••••• | Chesapeake, Va | Feb 27, 2020 | 13 y | 1 |
| P••••• L••••• T••• | Chesapeake, Va | Sep 11, 2020 | 10 y | 0 |
| L•••• E••••• F•••••• | Chesapeake, Va | May 29, 2026 | 11 y | 0 |
| I•••• H•• | Chesapeake, Va | Jul 31, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E•••• W••••••• A••••••• to C••••••••• C••••••••• A••••••• S••••••••Jun 20, 2023 · RIA to RIA
- T•••• L•• C••••••• to P•••••• P••••••• G••••• L••Jul 30, 2018 · RIA to RIA
- K•••••• L••• H••• to E••• W••••• M••••••••• L•••••Jul 9, 2018 · RIA to RIA
- D••••• J••••• L•••••••• to M••••• S••••••Oct 16, 2017 · Other
Joined, latest
- W•••••• A••••• O•••••• from B•••• A•••••••Feb 27, 2020 · RIA to RIA
- E•••• W••••••• A••••••• from W•••••••• S•••• • T••••• A•••• M••••••••• L••Oct 17, 2017 · Other
- D••••• J••••• L•••••••• from U•• F•••••••• S••••••• I•••Apr 11, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• C••••• C••••••• · Director; Secretarycontrolsince 02/1989 · owns 50% to 75%
- T•••• R•••••• W•••• · President/Chief Compliance Officercontrolsince 02/1989 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chesapeake, Va · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,018 to 1,000Mar 6, 2025 to Mar 18, 2026
- Advisory employees · 4 to 5Mar 6, 2025 to Mar 18, 2026
- Charity clients · 1.0 to unsetMar 6, 2025 to Mar 18, 2026
- Corporate clients · 2 to 1Mar 6, 2025 to Mar 18, 2026
- HNW clients · 102 to 111Mar 6, 2025 to Mar 18, 2026
- Individual clients · 193 to 181Mar 6, 2025 to Mar 18, 2026
- Pension plan clients · 3 to 2Mar 6, 2025 to Mar 18, 2026
- Assets in custody · $181M to $195MMar 6, 2025 to Mar 18, 2026
- State-registered IARs · 4 to 3Mar 6, 2025 to Mar 18, 2026
- Discretionary RAUM · $305M to $364MMar 6, 2025 to Mar 18, 2026
- HNW RAUM · $222M to $265MMar 6, 2025 to Mar 18, 2026
- Individual RAUM · $79.7M to $91.1MMar 6, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $6.8M to $3.1MMar 6, 2025 to Mar 18, 2026
- Pension RAUM · $624,332 to $749,536Mar 6, 2025 to Mar 18, 2026
- RAUM · $312M to $367MMar 6, 2025 to Mar 18, 2026
- Accounts · 985 to 1,018Mar 14, 2024 to Mar 6, 2025
- Corporate clients · 5 to 2Mar 14, 2024 to Mar 6, 2025
- HNW clients · 92 to 102Mar 14, 2024 to Mar 6, 2025
- Individual clients · 194 to 193Mar 14, 2024 to Mar 6, 2025
- Assets in custody · $63.1M to $181MMar 14, 2024 to Mar 6, 2025
- Financial planning clients · 51-100 to 51-100Mar 14, 2024 to Mar 6, 2025
- Discretionary RAUM · $275M to $305MMar 14, 2024 to Mar 6, 2025
- HNW RAUM · $190M to $222MMar 14, 2024 to Mar 6, 2025
- Individual RAUM · $82.0M to $79.7MMar 14, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $6.2M to $6.8MMar 14, 2024 to Mar 6, 2025
- Pension RAUM · $493,818 to $624,332Mar 14, 2024 to Mar 6, 2025
- RAUM · $281M to $312MMar 14, 2024 to Mar 6, 2025
- Accounts · 943 to 985Jun 23, 2023 to Mar 11, 2024
- HNW clients · 89 to 92Jun 23, 2023 to Mar 11, 2024
- Individual clients · 185 to 194Jun 23, 2023 to Mar 11, 2024
- Assets in custody · unset to 63083034.0Jun 23, 2023 to Mar 11, 2024
- Custody of client assets · false to trueJun 23, 2023 to Mar 11, 2024
- Discretionary RAUM · $235M to $275MJun 23, 2023 to Mar 11, 2024
- HNW RAUM · $162M to $190MJun 23, 2023 to Mar 11, 2024
- Individual RAUM · $68.3M to $82.0MJun 23, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $3.6M to $6.2MJun 23, 2023 to Mar 11, 2024
- Pension RAUM · $357,730 to $493,818Jun 23, 2023 to Mar 11, 2024
- RAUM · $239M to $281MJun 23, 2023 to Mar 11, 2024
- Accounts · 925 to 943Mar 11, 2022 to Mar 17, 2023
- Charity clients · unset to 1.0Mar 11, 2022 to Mar 17, 2023
Signals
1 dated events
- E•••• W••••••• A••••••• left T••• F•••••••• G••••• I••• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2024-10-13)Jun 20, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 757-436-1122reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 757-436-1803reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-296-7526reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/T•••FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- T•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (757)436-1122reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- tullfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- tullfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026