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•• A•••••• S•••••• I•••
Latest filing Dec 22, 2014
First filing on the tape Mar 24, 2012 · 12 filings
RAUM
$73.0M
reported, Item 5.F
Discretionary
34%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$73.0M as of Feb 28, 2014
Mar 24, 2012$56.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 28, 2014
Feb 14, 20132 then
Employees (5.A)2 as of Feb 28, 2014
Feb 14, 20132 then
Private funds: no history
RAUM -31% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Dec 22, 2014; every figure names its basis
- RAUM per advisor
- $18.3MderivedRAUM 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
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -31%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
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
- 68reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- K••••• G••• to W••• I••Dec 15, 2014 · Other
- M••• A•••• B••••••• to W••• I••Dec 5, 2014 · Other
Joined, latest
- M••• A•••• B••••••• from I•• A•••• M••••••••• I••Jun 3, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• C••••••••• D• · Membercontrolsince 08/2001 · owns 50% to 75%
- D•••• K••••• M•••••• · Chief Compliance Officer And Membercontrolsince 08/2001 · owns 50% to 75%
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
- Advisory employees · 2 to 4Feb 28, 2014 to May 21, 2014
- Commission compensation · true to falseFeb 28, 2014 to May 21, 2014
- Employees · 2 to 4Feb 28, 2014 to May 21, 2014
- State-registered IARs · 2 to 4Feb 28, 2014 to May 21, 2014
- Business name · T•• A•••••• S••••• to T•• A•••••• S•••••• I•••Feb 26, 2014 to Feb 28, 2014
- Legal name · NORTHWEST CASH FLOW SOLUTIONS to T•• A•••••• S•••••• I•••Feb 26, 2014 to Feb 28, 2014
- Accounts · 97 to 68Feb 14, 2013 to Feb 26, 2014
- Organization form · Limited Liability Company to CorporationFeb 14, 2013 to Feb 26, 2014
- Discretionary RAUM · $32.4M to $25.0MFeb 14, 2013 to Feb 26, 2014
- Non-discretionary RAUM · $73.4M to $48.0MFeb 14, 2013 to Feb 26, 2014
- RAUM · $106M to $73.0MFeb 14, 2013 to Feb 26, 2014
- Accounts · 112 to 97Jun 8, 2012 to Nov 14, 2012
- Advisory employees · unset to 2.0Jun 8, 2012 to Nov 14, 2012
- Employees · unset to 2.0Jun 8, 2012 to Nov 14, 2012
- State-registered IARs · unset to 2.0Jun 8, 2012 to Nov 14, 2012
- Discretionary RAUM · $0 to $32.4MJun 8, 2012 to Nov 14, 2012
- Non-discretionary RAUM · $56.9M to $73.4MJun 8, 2012 to Nov 14, 2012
- RAUM · $56.9M to $106MJun 8, 2012 to Nov 14, 2012
- Legal name · NORTHWEST CASHFLOW SOLUTIONS LLC to NORTHWEST CASH FLOW SOLUTIONSJun 6, 2012 to Jun 7, 2012
- Advisory activities · 3 to 4May 22, 2012 to Jun 6, 2012
Signals
1 dated events
- T•• A•••••• S••••• filed its initial SEC registration (Form ADV)Nov 14, 2012 · First SEC registration · 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