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
F• W••••• M•••••••••
Legal name T•• F•••• G•••• A•••••••• L••
Latest filing Jun 20, 2014
First filing on the tape Mar 26, 2012 · 11 filings
RAUM
$1.2M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$1.2M
derived; firm RAUM over IAPD count
Employees
3
3 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$1.2M as of Mar 28, 2014
Mar 26, 2012$95.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 28, 2014
Mar 26, 20120 then
Employees (5.A)3 as of Mar 28, 2014
Mar 15, 20133 then
Private funds: no history
RAUM -99% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jun 20, 2014; every figure names its basis
- RAUM per advisor
- $1.2MderivedRAUM 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
- $15,585derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%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
- 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
- 79reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A••••• V••• | Tulsa, Ok | Feb 22, 2005 | 27 y | 3 |
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
Left, latest
- J•• A••••• N•••••• to S••••••••• A•••••• A•••••••• I•••Dec 31, 2018 · Other
- A••••• E•••• O•••• to S••••••••• A•••••• A•••••••• I•••Dec 7, 2009 · Other
Joined, latest
- A••••• E•••• O•••• from B••••• • Y•••• A•••••••• I•••Jun 11, 2008 · Other
- J•• A••••• N•••••• from B••••• • Y•••• A•••••••• I•••Feb 22, 2005 · Other
- D••••• A••••• V••• from B••••• • Y•••• A•••••••• I•••Feb 22, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R•••••• C•••••• · Managing Member / Chief Compliance Officercontrolsince 09/2010 · owns 10% to 25%
- N••••••• J••• A••••• · Managing Membercontrolsince 11/2003 · owns 50% to 75%
- V•••• D•••••• A••••• · Managing Membercontrolsince 11/2003 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 477 to 79Dec 4, 2013 to Mar 28, 2014
- Insurance-licensed employees · 3 to 1Dec 4, 2013 to Mar 28, 2014
- Discretionary RAUM · $94.2M to $998,156Dec 4, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $886,319 to $233,086Dec 4, 2013 to Mar 28, 2014
- RAUM · $95.1M to $1.2MDec 4, 2013 to Mar 28, 2014
- Business name · T•• F•••• G•••• A••••••• to F• W••••• M•••••••••Nov 27, 2013 to Dec 4, 2013
- Accounts · 525 to 477Sep 14, 2012 to Mar 15, 2013
- Advisory employees · unset to 3.0Sep 14, 2012 to Mar 15, 2013
- BD registered reps · unset to 0.0Sep 14, 2012 to Mar 15, 2013
- Employees · unset to 3.0Sep 14, 2012 to Mar 15, 2013
- Insurance-licensed employees · 0 to 3Sep 14, 2012 to Mar 15, 2013
- Financial planning clients · 1-10 to 11-25Sep 14, 2012 to Mar 15, 2013
- State-registered IARs · 0 to 3Sep 14, 2012 to Mar 15, 2013
- Discretionary RAUM · $93.5M to $94.2MSep 14, 2012 to Mar 15, 2013
- Non-discretionary RAUM · $1.6M to $886,319Sep 14, 2012 to Mar 15, 2013
- RAUM · $95.2M to $95.1MSep 14, 2012 to Mar 15, 2013
- Advisory activities · 3 to 4Jun 1, 2012 to Aug 6, 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
- $1.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026