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•• C••••••••• G••••

Former SEC-registered adviserPortsmouth, New HampshireCRD 115077SEC 801-61337IAPD
Legal name M••••••• W••••• P•••••• C••••• G•••• • S••••• L••
Latest filing Dec 11, 2014
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$105M as of Feb 12, 2014
Mar 28, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 12, 2014
Mar 25, 20131 then
Employees (5.A)4 as of Feb 12, 2014
Mar 25, 20134 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Dec 11, 2014; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • B•••••• E•••••• H•••• · President/Chief Compliance Officercontrol
      since 06/2014 · owns less than 5%
    • K•••••• R••••••• L•••• · Owner Onlycontrol
      since 01/1991 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Boca Raton, FL
    What changed
    consecutive filings, newest first
    • Accounts · 500 to 0
      Sep 12, 2014 to Dec 11, 2014
    • Advisory activities · 6 to 1
      Sep 12, 2014 to Dec 11, 2014
    • Employees · 2 to 3
      Sep 12, 2014 to Dec 11, 2014
    • Organization form · Limited Liability Company to Corporation
      Sep 12, 2014 to Dec 11, 2014
    • Discretionary RAUM · $105M to $0
      Sep 12, 2014 to Dec 11, 2014
    • RAUM · $105M to $0
      Sep 12, 2014 to Dec 11, 2014
    • Business name · M••••••• W••••• P•••••• C••••• G•••• • S••••• L•• to T•• C••••••••• G••••
      Sep 9, 2014 to Sep 10, 2014
    • Accounts · 400 to 500
      Jun 30, 2014 to Sep 5, 2014
    • Business name · T•• C••••••••• G••••• I•• to M••••••• W••••• P•••••• C••••• G•••• • S••••• L••
      Jun 30, 2014 to Sep 5, 2014
    • Legal name · T•• C••••••••• G••••• I•• to M••••••• W••••• P•••••• C••••• G•••• • S••••• L••
      Jun 30, 2014 to Sep 5, 2014
    • Succession · true to false
      Jun 30, 2014 to Sep 5, 2014
    • Advisory employees · 1 to 2
      Feb 12, 2014 to Jun 30, 2014
    • Employees · 4 to 2
      Feb 12, 2014 to Jun 30, 2014
    • Insurance-licensed employees · 0 to 1
      Feb 12, 2014 to Jun 30, 2014
    • HQ city · BOCA RATON to PORTSMOUTH
      Feb 12, 2014 to Jun 30, 2014
    • HQ state · FL to NH
      Feb 12, 2014 to Jun 30, 2014
    • State-registered IARs · 1 to 2
      Feb 12, 2014 to Jun 30, 2014
    • Organization form · Corporation to Limited Liability Company
      Feb 12, 2014 to Jun 30, 2014
    • Related adviser · false to true
      Feb 12, 2014 to Jun 30, 2014
    • Succession · false to true
      Feb 12, 2014 to Jun 30, 2014
    • Accounts · 480 to 400
      Mar 25, 2013 to Feb 12, 2014
    • Accounts · 500 to 480
      Mar 28, 2012 to Mar 25, 2013
    • Advisory employees · unset to 1.0
      Mar 28, 2012 to Mar 25, 2013
    • Employees · unset to 4.0
      Mar 28, 2012 to Mar 25, 2013
    • State-registered IARs · unset to 1.0
      Mar 28, 2012 to Mar 25, 2013
    • Discretionary RAUM · $104M to $105M
      Mar 28, 2012 to Mar 25, 2013
    • RAUM · $104M to $105M
      Mar 28, 2012 to Mar 25, 2013
    Signals
    1 dated events
    • T•• C••••••••• G••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jun 30, 2014 · 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