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•• S•••• F•••••••• G••••
Legal name S•••• • A••••••••• I••
Latest filing Apr 10, 2023
First filing on the tape Mar 7, 2012 · 29 filings
RAUM
$397M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
75%
$296M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$397M as of Mar 10, 2023
Mar 7, 2012$125M then
HNW client RAUM$210M as of Mar 10, 2023
Mar 14, 2018$150M then
State-registered IARs (5.B.3)9 as of Mar 10, 2023
Mar 7, 20120 then
Employees (5.A)21 as of Mar 10, 2023
Feb 11, 20139 then
Private funds: no history
RAUM -12% over the last fiscal year+11% a year over threeIARs 12 to 9
Practice profile
derived from the filing of Apr 10, 2023; every figure names its basis
- RAUM per advisor
- $44.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $3.7M, 24 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$210M57%
- Individuals$85.5M23%
- Corporations and businesses$36.9M10%
- State and municipal entities$34.6M9.4%
- Charitable organizations$300,0000.1%
- Individual clients
- 179reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 299reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $3.7M for 24 clientsreported
- 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
Left, latest
- Z••••• M•••••• G••••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- C•••• P••• L•••••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- E••• S•••• S••••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- C••••• P••••• L•••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- B••••• N•••••• M••••••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- S••••• M•••• G••••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- J•••• P•••• W•••••• to R•••••• J•••• F•••••••• S•••••••• I•••May 11, 2023 · Other
- C•••• A••••• K••••••• to C••• L••May 11, 2023 · RIA to affiliated broker-dealer or bank
- J••••• G•••• D•••••• to M••••• S••••••Jul 21, 2022 · RIA to wirehouse
- M•••• K••• G••••• to O•••• F•• I•••Sep 30, 2020 · RIA to affiliated broker-dealer or bank
- P•••• L•••• S•• M••••• to L•••• F••• A••••••• S•••••••Dec 13, 2017 · Other
- J••••• M••• M••••••• to J••• M••••• S••••••••• L••Jun 4, 2014 · Other
- R••••• A•••••• R•••••• to S•• C•••••• M•••••••••Mar 1, 2010 · Other
Joined, latest
- B••••• N•••••• M••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 24, 2018 · Other
- S••••• M•••• G••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 10, 2018 · Other
- J••••• M••• M••••••• from L•• F•••••••• L••Jan 15, 2013 · Other
- C•••• P••• L•••••• from L•• F•••••••• L••Jun 16, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• Z•••••• M•••••• · Vice Presidentcontrolsince 11/2018 · owns less than 5%
- K•••••••• C••••• A••••• · Sr. Vice Presidentcontrolsince 11/2018 · owns less than 5%
- L••••••• C••••• P••• · Vice Presidentcontrolsince 11/2018 · owns less than 5%
- S••••• E•••••• L•••• · Chairman Of The Boardcontrolsince 06/1983 · owns 75% or more
- W••••••• J••••• P•••• · Chief Compliance Officercontrolsince 09/2016 · owns 10% to 25%
- W••••••• S••••• S•••• · Sr. Vice President/Board Membercontrolsince 02/1998 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 860 to 299Mar 4, 2022 to Mar 10, 2023
- BD registered reps · 12 to 9Mar 4, 2022 to Mar 10, 2023
- HNW clients · 110 to 105Mar 4, 2022 to Mar 10, 2023
- Individual clients · 215 to 179Mar 4, 2022 to Mar 10, 2023
- Assets in custody · $3.5M to $3.7MMar 4, 2022 to Mar 10, 2023
- Employees · 18 to 21Mar 4, 2022 to Mar 10, 2023
- State-registered IARs · 12 to 9Mar 4, 2022 to Mar 10, 2023
- Discretionary RAUM · $355M to $316MMar 4, 2022 to Mar 10, 2023
- HNW RAUM · $278M to $210MMar 4, 2022 to Mar 10, 2023
- Individual RAUM · $90.6M to $85.5MMar 4, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $94.4M to $80.6MMar 4, 2022 to Mar 10, 2023
- RAUM · $449M to $397MMar 4, 2022 to Mar 10, 2023
- Accounts · 730 to 860Jun 14, 2021 to Mar 4, 2022
- BD registered reps · 10 to 12Jun 14, 2021 to Mar 4, 2022
- HNW clients · 90 to 110Jun 14, 2021 to Mar 4, 2022
- Individual clients · 200 to 215Jun 14, 2021 to Mar 4, 2022
- Assets in custody · unset to 3500000.0Jun 14, 2021 to Mar 4, 2022
- Custody of client assets · false to trueJun 14, 2021 to Mar 4, 2022
- Employees · 19 to 18Jun 14, 2021 to Mar 4, 2022
- State-registered IARs · 10 to 12Jun 14, 2021 to Mar 4, 2022
- Discretionary RAUM · $282M to $355MJun 14, 2021 to Mar 4, 2022
- HNW RAUM · $205M to $278MJun 14, 2021 to Mar 4, 2022
- Individual RAUM · $82.4M to $90.6MJun 14, 2021 to Mar 4, 2022
- Non-discretionary RAUM · $69.9M to $94.4MJun 14, 2021 to Mar 4, 2022
- RAUM · $351M to $449MJun 14, 2021 to Mar 4, 2022
- Accounts · 228 to 730Sep 24, 2020 to Feb 23, 2021
- Advisory employees · 11 to 10Sep 24, 2020 to Feb 23, 2021
- BD registered reps · 11 to 10Sep 24, 2020 to Feb 23, 2021
- Corporate clients · 1.0 to unsetSep 24, 2020 to Feb 23, 2021
- HNW clients · 100 to 90Sep 24, 2020 to Feb 23, 2021
- Individual clients · 120 to 200Sep 24, 2020 to Feb 23, 2021
- State-registered IARs · 11 to 10Sep 24, 2020 to Feb 23, 2021
- Other offices · 2 to 3Sep 24, 2020 to Feb 23, 2021
- Discretionary RAUM · $242M to $282MSep 24, 2020 to Feb 23, 2021
- HNW RAUM · $175M to $205MSep 24, 2020 to Feb 23, 2021
- Individual RAUM · $53.0M to $82.4MSep 24, 2020 to Feb 23, 2021
- Non-discretionary RAUM · $46.0M to $69.9MSep 24, 2020 to Feb 23, 2021
- RAUM · $288M to $351MSep 24, 2020 to Feb 23, 2021
- Wrap assets (manager) · unset to 0.0Sep 24, 2020 to Feb 23, 2021
- Wrap assets (sponsor) · unset to 0.0Sep 24, 2020 to Feb 23, 2021
Signals
13 dated events
- E••• S•••• S••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- B••••• N•••••• M••••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- C••••• P••••• L•••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- S••••• M•••• G••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- C•••• A••••• K••••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- Z••••• M•••••• G••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- C•••• P••• L•••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)May 11, 2023 · Advisor changed firm · fact
- J•••• P•••• W•••••• left T•• S•••• F•••••••• G•••• for R•••••• J•••• F•••••••• S•••••••• I••• (registered 2005-06-08)May 11, 2023 · Advisor changed firm · fact
- T•• S•••• F•••••••• G••••'s advisors moved to C••• L•• (Baton Rouge, LA): 6 of 8 registered, on the same dayMay 11, 2023 · Firm absorbed (people side) · derived
- J••••• G•••• D•••••• left T•• S•••• F•••••••• G•••• for M••••• S•••••• (registered 2022-08-05)Jul 21, 2022 · Advisor changed firm · fact
- Andrew Craig Kliebert (Sr. Vice President) appeared on Schedule A of T•• S•••• F•••••••• G••••Mar 4, 2022 · Control person joined · fact
- Paul Corey Luckett (Vice President) appeared on Schedule A of T•• S•••• F•••••••• G••••Mar 4, 2022 · Control person joined · fact
- Murtaza Zainab Gandhi (Vice President) appeared on Schedule A of T•• S•••• F•••••••• G••••Mar 4, 2022 · Control person joined · 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