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••• F•••••••• M•••••••

Former SEC-registered adviserHarrisburg, PennsylvaniaCRD 115130SEC 801-61069IAPD
Legal name T••• F•••••••• M•••••••• I•••
Latest filing Sep 27, 2013
First filing on the tape Dec 12, 2011 · 5 filings
RAUM
$175M
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$175M as of Feb 27, 2013
Mar 17, 2012$179M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Feb 27, 2013
Mar 17, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM -2.5% over the last fiscal yearIARs 0 to 6
Practice profile
derived from the filing of Sep 27, 2013; every figure names its basis
RAUM per advisor
$29.1MderivedRAUM 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
$195,716derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
892reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
    • D•••••• J••••• L•••• · Chief Market Strategistcontrol
      since 01/2005 · owns 25% to 50%
    • L••••••••• S•••••• S•••••• · President/Chief Compliance Officercontrol
      since 08/1994 · owns 50% to 75%
    • J••••••• C••••••••• J••••• · Chief Investment Officer
      since 03/2012 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list T••• F•••••••• M••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Shippensburg, PA
    What changed
    consecutive filings, newest first
    • Accounts · 808 to 892
      May 25, 2012 to Feb 27, 2013
    • Advisory employees · unset to 6.0
      May 25, 2012 to Feb 27, 2013
    • Employees · unset to 6.0
      May 25, 2012 to Feb 27, 2013
    • State-registered IARs · 0 to 6
      May 25, 2012 to Feb 27, 2013
    • Discretionary RAUM · $179M to $175M
      May 25, 2012 to Feb 27, 2013
    • RAUM · $179M to $175M
      May 25, 2012 to Feb 27, 2013
    • Accounts · 661 to 808
      Dec 12, 2011 to Mar 17, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 12, 2011 to Mar 17, 2012
    • Discretionary RAUM · $175M to $179M
      Dec 12, 2011 to Mar 17, 2012
    • RAUM · $175M to $179M
      Dec 12, 2011 to Mar 17, 2012
    Signals
    No event on the tape.
    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