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•••••••

Former SEC-registered adviserCenterville, OhioCRD 117295SEC 801-60709IAPD
Legal name T••••••••• A•••••••• L••
Latest filing Feb 23, 2022
First filing on the tape Feb 6, 2012 · 23 filings
RAUM
$270M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
90%
$243M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$270M as of Feb 23, 2022
Feb 6, 2012$119M then
HNW client RAUM$209M as of Feb 23, 2022
Feb 13, 2018$146M then
State-registered IARs (5.B.3)3 as of Feb 23, 2022
Feb 1, 20134 then
Employees (5.A)4 as of Feb 23, 2022
Feb 1, 20135 then
Private funds: no history
RAUM +21% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 23, 2022; every figure names its basis
RAUM per advisor
$89.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$550,102derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.9%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, 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
  • 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
  • High-net-worth individuals$209M77%
  • Individuals$34.1M13%
  • Pension and profit-sharing plans$21.9M8.1%
  • Charitable organizations$2.9M1.1%
  • Corporations and businesses$1.8M0.7%
Individual clients
129reported
HNW clients
107reported
Pension plan clients
11reported
Charitable clients
5reported
Accounts
490reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••••• T••••••• M•••••• · Vice President, Director Of Operationscontrol
      since 02/2005 · owns 10% to 25%
    • T•••••• J••••• G••••• · Member / Chief Compliance Officercontrol
      since 10/2001 · owns 25% to 50%
    • W•••••••• S••••••• A••••• · Member, Director Of Marketingcontrol
      since 10/2001 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Cincinnati, OH1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 472 to 490
      Feb 9, 2021 to Feb 23, 2022
    • Charity clients · unset to 5.0
      Feb 9, 2021 to Feb 23, 2022
    • HNW clients · 75 to 107
      Feb 9, 2021 to Feb 23, 2022
    • Individual clients · 159 to 129
      Feb 9, 2021 to Feb 23, 2022
    • Pension plan clients · 5 to 11
      Feb 9, 2021 to Feb 23, 2022
    • Discretionary RAUM · $205M to $239M
      Feb 9, 2021 to Feb 23, 2022
    • HNW RAUM · $150M to $209M
      Feb 9, 2021 to Feb 23, 2022
    • Individual RAUM · $58.4M to $34.1M
      Feb 9, 2021 to Feb 23, 2022
    • Non-discretionary RAUM · $17.2M to $30.9M
      Feb 9, 2021 to Feb 23, 2022
    • Pension RAUM · $7.6M to $21.9M
      Feb 9, 2021 to Feb 23, 2022
    • RAUM · $222M to $270M
      Feb 9, 2021 to Feb 23, 2022
    • Accounts · 425 to 472
      Oct 15, 2020 to Feb 9, 2021
    • HNW clients · 77 to 75
      Oct 15, 2020 to Feb 9, 2021
    • Individual clients · 146 to 159
      Oct 15, 2020 to Feb 9, 2021
    • Discretionary RAUM · $180M to $205M
      Oct 15, 2020 to Feb 9, 2021
    • HNW RAUM · $139M to $150M
      Oct 15, 2020 to Feb 9, 2021
    • Individual RAUM · $45.1M to $58.4M
      Oct 15, 2020 to Feb 9, 2021
    • Non-discretionary RAUM · $15.9M to $17.2M
      Oct 15, 2020 to Feb 9, 2021
    • Pension RAUM · $7.2M to $7.6M
      Oct 15, 2020 to Feb 9, 2021
    • RAUM · $196M to $222M
      Oct 15, 2020 to Feb 9, 2021
    • Accounts · 432 to 425
      May 30, 2019 to Feb 18, 2020
    • HNW clients · 82 to 77
      May 30, 2019 to Feb 18, 2020
    • Individual clients · 158 to 146
      May 30, 2019 to Feb 18, 2020
    • Discretionary RAUM · $165M to $180M
      May 30, 2019 to Feb 18, 2020
    • HNW RAUM · $126M to $139M
      May 30, 2019 to Feb 18, 2020
    • Individual RAUM · $43.6M to $45.1M
      May 30, 2019 to Feb 18, 2020
    • Non-discretionary RAUM · $15.8M to $15.9M
      May 30, 2019 to Feb 18, 2020
    • Pension RAUM · $6.5M to $7.2M
      May 30, 2019 to Feb 18, 2020
    • RAUM · $181M to $196M
      May 30, 2019 to Feb 18, 2020
    • Accounts · 470 to 432
      Jan 11, 2019 to Jan 22, 2019
    • Charity clients · 5.0 to unset
      Jan 11, 2019 to Jan 22, 2019
    • HNW clients · 89 to 82
      Jan 11, 2019 to Jan 22, 2019
    • Individual clients · 163 to 158
      Jan 11, 2019 to Jan 22, 2019
    • Discretionary RAUM · $198M to $165M
      Jan 11, 2019 to Jan 22, 2019
    • HNW RAUM · $146M to $126M
      Jan 11, 2019 to Jan 22, 2019
    • Individual RAUM · $53.9M to $43.6M
      Jan 11, 2019 to Jan 22, 2019
    • Non-discretionary RAUM · $14.3M to $15.8M
      Jan 11, 2019 to Jan 22, 2019
    • Pension RAUM · $6.0M to $6.5M
      Jan 11, 2019 to Jan 22, 2019
    • RAUM · $212M to $181M
      Jan 11, 2019 to Jan 22, 2019
    • Wrap assets (manager) · 2338000.0 to unset
      Jan 11, 2019 to Jan 22, 2019
    Signals
    4 dated events
    • P••••••• A•• K•••• left T• A••••••• for J•••••• A••••••• G••••• L•• (registered 2023-01-05)
      Jan 5, 2023 · Advisor changed firm · fact
    • S•••••• A••••• W••••••• left T• A••••••• for J•••••• A••••••• G••••• L•• (registered 2023-01-05)
      Jan 5, 2023 · Advisor changed firm · fact
    • J•••• G••••• T••••• left T• A••••••• for J•••••• A••••••• G••••• L•• (registered 2023-01-05)
      Jan 5, 2023 · Advisor changed firm · fact
    • T• A•••••••'s advisors moved to J•••••• A••••••• G••••• L•• (Centerville, OH): 3 of 3 registered, on the same day
      Jan 5, 2023 · Firm absorbed (people side) · derived
    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