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•••• M••••••••• G••••• I•••

Former SEC-registered adviserVirginia Beach, VirginiaCRD 120640SEC 801-110292IAPD
Latest filing Jun 14, 2021
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$61.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$61.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$61.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$61.6M as of Mar 24, 2021
Mar 28, 2017$132M then
HNW client RAUM$60.7M as of Mar 24, 2021
Mar 31, 2018$133M then
State-registered IARs (5.B.3)1 as of Mar 24, 2021
Mar 28, 20171 then
Employees (5.A)1 as of Mar 24, 2021
Mar 28, 20171 then
Private funds: no history
RAUM -45% over the last fiscal year-23% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jun 14, 2021; every figure names its basis
RAUM per advisor
$61.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$331,144derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-45%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-30%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • High-net-worth individuals$60.7M99%
  • Individuals$888,9741.4%
Individual clients
9reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
186reported
Financial planning clients
1-10reported
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
NameBranchHere sinceIn industryPrior firms
T••• B•••• T••••Virginia Beach, VaFeb 8, 200330 y1
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
  • T••••• T•••• B•••• · President/Chief Compliance Officercontrol
    since 05/2002 · owns 75% or more
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
  • Accounts · 143 to 186
    Oct 23, 2020 to Mar 24, 2021
  • HNW clients · 45 to 26
    Oct 23, 2020 to Mar 24, 2021
  • Individual clients · 5 to 9
    Oct 23, 2020 to Mar 24, 2021
  • Assets in custody · 35880106.0 to unset
    Oct 23, 2020 to Mar 24, 2021
  • Custody of client assets · true to false
    Oct 23, 2020 to Mar 24, 2021
  • Discretionary RAUM · $112M to $61.6M
    Oct 23, 2020 to Mar 24, 2021
  • HNW RAUM · $111M to $60.7M
    Oct 23, 2020 to Mar 24, 2021
  • Individual RAUM · $1.1M to $888,974
    Oct 23, 2020 to Mar 24, 2021
  • RAUM · $112M to $61.6M
    Oct 23, 2020 to Mar 24, 2021
  • Advisory employees · 2 to 1
    Jun 10, 2020 to Sep 29, 2020
  • Employees · 2 to 1
    Jun 10, 2020 to Sep 29, 2020
  • State-registered IARs · 2 to 1
    Jun 10, 2020 to Sep 29, 2020
  • Accounts · 138 to 143
    Apr 1, 2019 to Mar 25, 2020
  • Advisory employees · 1 to 2
    Apr 1, 2019 to Mar 25, 2020
  • HNW clients · 15 to 45
    Apr 1, 2019 to Mar 25, 2020
  • Individual clients · 11 to 5
    Apr 1, 2019 to Mar 25, 2020
  • Assets in custody · unset to 35880106.0
    Apr 1, 2019 to Mar 25, 2020
  • Custody of client assets · false to true
    Apr 1, 2019 to Mar 25, 2020
  • Employees · 1 to 2
    Apr 1, 2019 to Mar 25, 2020
  • State-registered IARs · 1 to 2
    Apr 1, 2019 to Mar 25, 2020
  • Discretionary RAUM · $130M to $112M
    Apr 1, 2019 to Mar 25, 2020
  • HNW RAUM · $129M to $111M
    Apr 1, 2019 to Mar 25, 2020
  • Individual RAUM · $509,622 to $1.1M
    Apr 1, 2019 to Mar 25, 2020
  • RAUM · $130M to $112M
    Apr 1, 2019 to Mar 25, 2020
  • Accounts · 128 to 138
    Mar 31, 2018 to Apr 1, 2019
  • HNW clients · 13 to 15
    Mar 31, 2018 to Apr 1, 2019
  • Discretionary RAUM · $134M to $130M
    Mar 31, 2018 to Apr 1, 2019
  • HNW RAUM · $133M to $129M
    Mar 31, 2018 to Apr 1, 2019
  • Individual RAUM · $549,721 to $509,622
    Mar 31, 2018 to Apr 1, 2019
  • RAUM · $134M to $130M
    Mar 31, 2018 to Apr 1, 2019
  • Accounts · 161 to 128
    Mar 28, 2017 to Mar 31, 2018
  • HNW clients · unset to 13.0
    Mar 28, 2017 to Mar 31, 2018
  • Individual clients · unset to 11.0
    Mar 28, 2017 to Mar 31, 2018
  • Other offices · unset to 0.0
    Mar 28, 2017 to Mar 31, 2018
  • Discretionary RAUM · $132M to $134M
    Mar 28, 2017 to Mar 31, 2018
  • HNW RAUM · unset to 133063590.0
    Mar 28, 2017 to Mar 31, 2018
  • Individual RAUM · unset to 549721.0
    Mar 28, 2017 to Mar 31, 2018
  • RAUM · $132M to $134M
    Mar 28, 2017 to Mar 31, 2018
  • Accounts · 113 to 161
    Aug 10, 2012 to Mar 28, 2017
  • Advisory employees · unset to 1.0
    Aug 10, 2012 to Mar 28, 2017
Signals
1 dated events
  • T•••• A•••• M••••••••• G••••• I••• filed its initial SEC registration (Form ADV)
    Mar 28, 2017 · 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
$61.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026