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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• E••••• P••••••• G••••
Legal name T•• E••••• P••••••• G•••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 15, 2017 · 15 filings
SEC status approved since Mar 8, 2017
RAUM
$422M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$422M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$70.3M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$422M as of Mar 31, 2026
Mar 30, 2018$152M then
HNW client RAUM$358M as of Mar 31, 2026
Mar 30, 2018$90.7M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 30, 20183 then
Employees (5.A)5 as of Mar 31, 2026
Mar 30, 20185 then
Private funds4 as of Mar 28, 2019
Mar 30, 20184 then
RAUM +17% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $70.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$358M85%
- Individuals$63.3M15%
- Charitable organizations$342,0000.1%
- Individual clients
- 167reported
- HNW clients
- 173reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 342reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••• L••••••Certified Financial Planner | Yardley, Pa | Aug 15, 2003 | 26 y | 1 |
| M•••••• R•••••• S••••••• | Yardley, Pa | May 10, 2004 | 28 y | 0 |
| J•••••• M•••••• L•••••• | Naples, Fl | Mar 10, 2016 | 14 y | 0 |
| M•••••• S•••• C•••••••• | Yardley, Pa | Nov 20, 2019 | 34 y | 0 |
| C••••••••• D•••• L•••••• | Yardley, Pa | Aug 28, 2025 | 14 y | 0 |
| K•••• P•••• Y••••••••Certified Financial Planner | Yardley, Pa | Nov 30, 2025 | 12 y | 0 |
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
none on the tape
Joined, latest
- D•••• W•••• L•••••• from F•••••• A•••• M••••••••• I•••Aug 15, 2003 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• D••••••••• G••••• F•••• L•no longer reported | Hedge Fund | $10.1M | 79 | Mar 30, 2018 |
| H••••••• R••• E••••• F••• I•• L••no longer reported | Private Equity Fund | $1.2M | 55 | Mar 30, 2018 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• D••••• W•••• · Chief Compliance Officercontrolsince 01/2002 · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• A•••• A•••••••• L••investment adviserpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Yardley, Pa · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL2 employees
- Fort Collins, CO1 employees
What changed
consecutive filings, newest first
- Accounts · 326 to 342Apr 2, 2025 to Mar 31, 2026
- Charity clients · 1 to 2Apr 2, 2025 to Mar 31, 2026
- HNW clients · 138 to 173Apr 2, 2025 to Mar 31, 2026
- Individual clients · 187 to 167Apr 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $357M to $422MApr 2, 2025 to Mar 31, 2026
- HNW RAUM · $284M to $358MApr 2, 2025 to Mar 31, 2026
- Individual RAUM · $77.3M to $63.3MApr 2, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.2M to $495,000Apr 2, 2025 to Mar 31, 2026
- RAUM · $361M to $422MApr 2, 2025 to Mar 31, 2026
- Accounts · 220 to 326Mar 29, 2024 to Apr 2, 2025
- HNW clients · 88 to 138Mar 29, 2024 to Apr 2, 2025
- Individual clients · 132 to 187Mar 29, 2024 to Apr 2, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Apr 2, 2025
- Discretionary RAUM · $325M to $357MMar 29, 2024 to Apr 2, 2025
- HNW RAUM · $260M to $284MMar 29, 2024 to Apr 2, 2025
- Individual RAUM · $68.9M to $77.3MMar 29, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $3.6M to $4.2MMar 29, 2024 to Apr 2, 2025
- RAUM · $329M to $361MMar 29, 2024 to Apr 2, 2025
- Accounts · 240 to 220Mar 31, 2023 to Mar 29, 2024
- HNW clients · 92 to 88Mar 31, 2023 to Mar 29, 2024
- Individual clients · 133 to 132Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $301M to $325MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $244M to $260MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $60.9M to $68.9MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $4.0M to $3.6MMar 31, 2023 to Mar 29, 2024
- RAUM · $305M to $329MMar 31, 2023 to Mar 29, 2024
- Accounts · 250 to 240Mar 31, 2022 to Mar 31, 2023
- HNW clients · 115 to 92Mar 31, 2022 to Mar 31, 2023
- Individual clients · 119 to 133Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $284M to $301MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $246M to $244MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $41.3M to $60.9MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $3.5M to $4.0MMar 31, 2022 to Mar 31, 2023
- RAUM · $287M to $305MMar 31, 2022 to Mar 31, 2023
- Accounts · 244 to 250Mar 25, 2021 to Mar 31, 2022
- HNW clients · 121 to 115Mar 25, 2021 to Mar 31, 2022
- Individual clients · 117 to 119Mar 25, 2021 to Mar 31, 2022
- Discretionary RAUM · $280M to $284MMar 25, 2021 to Mar 31, 2022
- HNW RAUM · $248M to $246MMar 25, 2021 to Mar 31, 2022
- Individual RAUM · $43.5M to $41.3MMar 25, 2021 to Mar 31, 2022
Signals
2 dated events
- T•• E••••• P••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 31, 2020 · Succession (Item 4) · fact
- T•• E••••• P••••••• G•••• filed its initial SEC registration (Form ADV)Feb 15, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• E••••• P••••••• G•••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- katherine@epgnow.netreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 215-321-4410reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 970-449-6277reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-301-3891reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- EPGNOW.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 215-321-4410reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- epgnow.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- epgnow.net/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $70.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026