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••• P•••••• W••••• M••••••••• L••

Former SEC-registered adviserBaton Rouge, LouisianaCRD 117222SEC 801-66991IAPD
Latest filing Jun 6, 2012
First filing on the tape Jan 30, 2012 · 4 filings
RAUM
$71.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$14.2M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$71.1M as of Jun 6, 2012
Jan 30, 2012$71.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 6, 2012
Jan 30, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 6, 2012; every figure names its basis
RAUM per advisor
$14.2MderivedRAUM 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
$135,230derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 institutions, pension consulting, selection of other advisers, otherreportedItem 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
  • 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)
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
526reported
Financial planning clients
0reported
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
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• G••• U•••••Certified Financial Planner, Personal Financial SpecialistBaton Rouge, LaNov 27, 200740 y0
S••• M••••••• D••••••Baton Rouge, LaJul 9, 200835 y0
L••• C••••• O•••Baton Rouge, LaOct 23, 201521 y0
L•••• G•••••Baton Rouge, LaJan 29, 201929 y0
D•••• J••••••Certified Financial PlannerBaton Rouge, LaJun 4, 202415 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • U•••••• K••••• G••• · Managing Member & Chief Compliance Officercontrol
    since 03/2006 · owns less than 5%
  • B•••••••• J•• W•••••• G••••• · Membercontrol
    since 09/2000 · owns F of T••• R••••••• M••••••••• L••
  • B••••• D••• W•••••• · Membercontrol
    since 09/2000 · owns F of T••• R••••••• M••••••••• L••
  • S••••••• W•••••• L•••• · Membercontrol
    since 09/2000 · owns F of T••• R••••••• Management, LLC
  • U•••••• K••••• G••• · Managing Member & Ccocontrol
    since 09/2000 · owns F of T••• R••••••• M••••••••• L••
  • W•••••• S••••••• W•••••• · Membercontrol
    since 09/2000 · owns F of T••• Resorce Management LLC
Entity owners
  • T••• R••••••• M••••••••• L•• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Baton Rouge, La · principal500
Offices
Schedule D 1.F, the 25 largest
  • Baton Rouge, LA
What changed
consecutive filings, newest first
  • Advisory activities · 5 to 6
    Mar 29, 2012 to Mar 29, 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.
How to reach
public business contact points only, each with its source
Website
twru.comreportedpublic record, Form ADV, Sep 19, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$14.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026