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••••••• L••
Latest filing Jun 17, 2014
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$249M
reported, Item 5.F
Discretionary
95%
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
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$3.2M gross assets
History
5 filings and snapshots on the tape
RAUM$253M as of Mar 31, 2014
Mar 30, 2012$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 31, 2014
Mar 27, 201310 then
Employees (5.A)13 as of Mar 31, 2014
Mar 27, 201310 then
Private funds3 as of Mar 31, 2014
Mar 30, 20123 then
RAUM +15% over the last fiscal yearIARs 10 to 10
Practice profile
derived from the filing of Jun 17, 2014; every figure names its basis
- RAUM per advisor
- $24.9MderivedRAUM 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
- $251,081derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
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
- 991reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- J••••• R••• D••••• to S•• I••••••••• A•••••••• I•••Dec 31, 2014 · Other
- B•••• G•••• J•••• to A••••••• P••••••• A•••••••• L••Oct 15, 2014 · Other
- B•••• A••• L•••••• to S•• I••••••••• A•••••••• I•••Aug 19, 2014 · Other
- L••••• R••••• R••••••••• to S•• I••••••••• A•••••••• I•••Aug 7, 2014 · Other
- K••• J••••• G•••••• to S•• I••••••••• A•••••••• I•••Jul 7, 2014 · Other
- R•••••• C••••••• F••• to W•• A•••••••• L•Jun 13, 2014 · Other
- B•••• G•••• J•••• to F•••• F•••••••• E••••• C•••••••••Dec 31, 2006 · Other
Joined, latest
- J••••• R••• D••••• from W•• A•••••••• L•Jun 7, 2013 · Other
- K••• J••••• G•••••• from M•• I•••••••• S•••••••• L••Jan 28, 2013 · Other
- R•••••• C••••••• F••• from F•••• D••••• S••••••••• I•••Jan 7, 2013 · Other
- L••••• R••••• R••••••••• from M•• I•••••••• S•••••••• L••Apr 29, 2011 · Other
- B•••• G•••• J•••• from V•• A••••••• S•••••••Jan 31, 2007 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T• • K• L••••••• C•••••• • | Private Equity Fund | $1.7M | 1 | Mar 31, 2014 |
| P•••••• V•••••• M••••••••• N•• V••no longer reported | Other Private Fund | $1.3M | 12 | Mar 30, 2012 |
| A••••••• I••••••••• L•• F•• S••••••• I••••••••• L•• | Other Private Fund | $1.2M | 5 | Mar 30, 2012 |
| P•••••• V•••••• M••••••••• N•• V• | Other Private Fund | $250,000 | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- J••••• B••••• G•••• · President/Chief Compliance Officercontrolsince 07/2002 · owns less than 5%
- J••••• B••••• G•••• · Ownercontrolsince 11/1988 · owns 75% or more of T•••• F•••••••• R••••••••• L•
Entity owners
- T•••• F•••••••• R••••••••• L• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•••• F•••••••• R••••••••• L•real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 995 to 991Mar 31, 2014 to Jun 17, 2014
- BD registered reps · 6 to 0Mar 31, 2014 to Jun 17, 2014
- Employees · 13 to 10Mar 31, 2014 to Jun 17, 2014
- Insurance-licensed employees · 0 to 3Mar 31, 2014 to Jun 17, 2014
- State-registered IARs · 8 to 10Mar 31, 2014 to Jun 17, 2014
- Non-discretionary RAUM · $16.3M to $12.3MMar 31, 2014 to Jun 17, 2014
- RAUM · $253M to $249MMar 31, 2014 to Jun 17, 2014
- Accounts · 958 to 995Mar 27, 2013 to Mar 31, 2014
- Advisory employees · 10 to 3Mar 27, 2013 to Mar 31, 2014
- Employees · 10 to 13Mar 27, 2013 to Mar 31, 2014
- State-registered IARs · 10 to 8Mar 27, 2013 to Mar 31, 2014
- Discretionary RAUM · $198M to $236MMar 27, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $18.9M to $16.3MMar 27, 2013 to Mar 31, 2014
- RAUM · $217M to $253MMar 27, 2013 to Mar 31, 2014
- Accounts · 417 to 958Nov 9, 2012 to Mar 27, 2013
- Advisory employees · 4 to 10Nov 9, 2012 to Mar 27, 2013
- BD registered reps · 2 to 6Nov 9, 2012 to Mar 27, 2013
- Employees · 4 to 10Nov 9, 2012 to Mar 27, 2013
- State-registered IARs · 4 to 10Nov 9, 2012 to Mar 27, 2013
- Discretionary RAUM · $180M to $198MNov 9, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $0 to $18.9MNov 9, 2012 to Mar 27, 2013
- RAUM · $180M to $217MNov 9, 2012 to Mar 27, 2013
- Advisory employees · unset to 4.0Mar 30, 2012 to Nov 9, 2012
- BD registered reps · unset to 2.0Mar 30, 2012 to Nov 9, 2012
- Employees · unset to 4.0Mar 30, 2012 to Nov 9, 2012
- State-registered IARs · unset to 4.0Mar 30, 2012 to Nov 9, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- T•• A••••••• L•• · Private Equityshared crd · organization
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