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.

Former SEC-registered adviser

Tuttle Wealth Management, LLC

Former SEC-registered adviserCRD 123767SEC 801-69443IAPD
Latest filing May 26, 2017
First filing on the tape Mar 29, 2012 · 34 filings
RAUM
$44.2M
reported, Item 5.F
Discretionary
100%
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
13
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$44.2M as of Mar 31, 2017
Mar 29, 2012$69.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 31, 2017
Mar 12, 201314 then
Employees (5.A)13 as of Mar 31, 2017
Mar 12, 201319 then
Private funds: no history
RAUM -40% over the last fiscal year-24% a year over threeIARs 12 to 10
Practice profile
derived from the filing of May 26, 2017; every figure names its basis
RAUM per advisor
$4.4MderivedRAUM 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
$64,320derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.5derived20 offices incl. principal (1.F.5)
RAUM growth, one year
-40%derivedbetween the last two annual amendments
Advisor growth, one year
-17%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 individuals, 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)
  • 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
687reported
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
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
    • Ann Kimberley Raimondo · Chief Compliance Officer/General Counselcontrol
      since 03/2017 · owns less than 5%
    • Benjamin Matthew Tuttle · Managing Membercontrol
      since 07/2005 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Charleston, SC
    • Cincinatti, OH
    • Cincinatti, OH
    • Circle Oak Hill, VA
    • Dodge City, KS
    • Franklin, TN
    • Greenwich, CT
    • Jamul, CA
    • Mckinney, TX
    • Palm Beach Gardens, FL
    • Raliegh, NC
    • Reno, NV
    • Stamford, CT
    • Superior, WI
    • White Plains, NY
    • ,
    What changed
    consecutive filings, newest first
    • HQ city · RIVERSIDE to unset
      Mar 31, 2017 to May 26, 2017
    • HQ state · CT to unset
      Mar 31, 2017 to May 26, 2017
    • Accounts · 850 to 687
      Nov 22, 2016 to Mar 31, 2017
    • Advisory employees · 11 to 10
      Nov 22, 2016 to Mar 31, 2017
    • Employees · 14 to 13
      Nov 22, 2016 to Mar 31, 2017
    • Financial planning clients · More than 500 to 1-10
      Nov 22, 2016 to Mar 31, 2017
    • State-registered IARs · 11 to 10
      Nov 22, 2016 to Mar 31, 2017
    • Discretionary RAUM · $73.3M to $44.2M
      Nov 22, 2016 to Mar 31, 2017
    • RAUM · $73.3M to $44.2M
      Nov 22, 2016 to Mar 31, 2017
    • Advisory employees · 12 to 11
      Mar 31, 2016 to Nov 21, 2016
    • BD registered reps · 1 to 0
      Mar 31, 2016 to Nov 21, 2016
    • Employees · 19 to 14
      Mar 31, 2016 to Nov 21, 2016
    • State-registered IARs · 12 to 11
      Mar 31, 2016 to Nov 21, 2016
    • Accounts · 966 to 850
      Jan 14, 2016 to Mar 31, 2016
    • Advisory employees · 19 to 12
      Jan 14, 2016 to Mar 31, 2016
    • Employees · 22 to 19
      Jan 14, 2016 to Mar 31, 2016
    • Insurance-licensed employees · 8 to 6
      Jan 14, 2016 to Mar 31, 2016
    • HQ city · GREENWICH to RIVERSIDE
      Jan 14, 2016 to Mar 31, 2016
    • State-registered IARs · 19 to 12
      Jan 14, 2016 to Mar 31, 2016
    • Discretionary RAUM · $122M to $73.3M
      Jan 14, 2016 to Mar 31, 2016
    • Non-discretionary RAUM · $1.2M to $0
      Jan 14, 2016 to Mar 31, 2016
    • RAUM · $123M to $73.3M
      Jan 14, 2016 to Mar 31, 2016
    • HQ city · RIVERSIDE to GREENWICH
      May 12, 2015 to Jan 14, 2016
    • Insurance-licensed employees · 7 to 8
      Mar 31, 2015 to May 12, 2015
    • Accounts · 1,370 to 966
      Jan 28, 2015 to Mar 31, 2015
    • Financial planning clients · 0 to More than 500
      Jan 28, 2015 to Mar 31, 2015
    • Discretionary RAUM · $101M to $122M
      Jan 28, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $0 to $1.2M
      Jan 28, 2015 to Mar 31, 2015
    • RAUM · $101M to $123M
      Jan 28, 2015 to Mar 31, 2015
    • Insurance-licensed employees · 0 to 7
      Aug 19, 2014 to Jan 28, 2015
    • Advisory employees · 20 to 19
      Jun 25, 2014 to Aug 19, 2014
    • Employees · 23 to 22
      Jun 25, 2014 to Aug 19, 2014
    • State-registered IARs · 20 to 19
      Jun 25, 2014 to Aug 19, 2014
    • HQ city · STAMFORD to RIVERSIDE
      May 13, 2014 to May 23, 2014
    • Advisory employees · 19 to 20
      Apr 15, 2014 to Apr 23, 2014
    • Employees · 22 to 23
      Apr 15, 2014 to Apr 23, 2014
    • State-registered IARs · 19 to 20
      Apr 15, 2014 to Apr 23, 2014
    • Advisory employees · 18 to 19
      Mar 27, 2014 to Apr 15, 2014
    • Employees · 21 to 22
      Mar 27, 2014 to Apr 15, 2014
    • State-registered IARs · 18 to 19
      Mar 27, 2014 to Apr 15, 2014
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026