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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SEC-registered adviser
T•• P••••••••• P•••••
Legal name T•• W••••• A••••••• T•••• L••
Latest filing Feb 2, 2026
First filing on the tape Mar 10, 2022 · 18 filings
SEC status approved since Apr 8, 2022
RAUM
$147M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$138M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.8M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$147M as of Feb 2, 2026
Jan 25, 2023$110M then
HNW client RAUM$91.0M as of Feb 2, 2026
Jan 25, 2023$56.4M then
State-registered IARs (5.B.3)4 as of Feb 2, 2026
Jan 25, 20233 then
Employees (5.A)6 as of Feb 2, 2026
Jan 25, 20233 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 2, 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
- RAUM per advisor
- $36.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $275,797derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 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)
- 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$91.0M62%
- Individuals$46.7M32%
- Charitable organizations$9.3M6.3%
- Individual clients
- 128reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 533reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• M••••• M••••••Personal Financial Specialist | Bellevue, Ky | Mar 5, 2003 | 29 y | 0 |
| J••• P• N•••• | Bellevue, Ky | Jan 23, 2025 | 14 y | 0 |
| A••••• B•••• | Bellevue, Ky | Jul 9, 2025 | 22 y | 0 |
| A••••• J•••• P•••••••Certified Financial Planner | Bellevue, Ky | Jan 6, 2026 | 22 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• A••••• L•••••• to F••••••• P••••••• A•• W•••••••• A•••••••Sep 20, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- A••••• J•••• P••••••• from O•••• F•• I•••Jan 6, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M•••••• M••••• · President/Ceo/Cco/Managing Membercontrolsince 01/2003 · owns 75% or more
- P•••••••• A•••••• J•••• · Director Of P••••••• Servicessince 01/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•• A••••••• T•••• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellevue, Ky · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 520 to 533Feb 5, 2025 to Feb 2, 2026
- Advisory employees · 3 to 4Feb 5, 2025 to Feb 2, 2026
- HNW clients · 34 to 41Feb 5, 2025 to Feb 2, 2026
- Individual clients · 129 to 128Feb 5, 2025 to Feb 2, 2026
- Employees · 5 to 6Feb 5, 2025 to Feb 2, 2026
- State-registered IARs · 3 to 4Feb 5, 2025 to Feb 2, 2026
- Discretionary RAUM · $129M to $145MFeb 5, 2025 to Feb 2, 2026
- HNW RAUM · $74.8M to $91.0MFeb 5, 2025 to Feb 2, 2026
- Individual RAUM · $47.3M to $46.7MFeb 5, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $1.3M to $1.9MFeb 5, 2025 to Feb 2, 2026
- RAUM · $131M to $147MFeb 5, 2025 to Feb 2, 2026
- Accounts · 491 to 520May 23, 2024 to Feb 5, 2025
- Individual clients · 130 to 129May 23, 2024 to Feb 5, 2025
- Financial planning clients · 101-250 to 101-250May 23, 2024 to Feb 5, 2025
- Discretionary RAUM · $127M to $129MMay 23, 2024 to Feb 5, 2025
- HNW RAUM · $72.1M to $74.8MMay 23, 2024 to Feb 5, 2025
- Individual RAUM · $45.0M to $47.3MMay 23, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $0 to $1.3MMay 23, 2024 to Feb 5, 2025
- RAUM · $127M to $131MMay 23, 2024 to Feb 5, 2025
- Advisory employees · 1 to 3Mar 28, 2024 to May 23, 2024
- Charity clients · 0 to 1Mar 28, 2024 to May 23, 2024
- Employees · 1 to 5Mar 28, 2024 to May 23, 2024
- State-registered IARs · 1 to 3Mar 28, 2024 to May 23, 2024
- Charity clients · 1 to 0Feb 20, 2024 to Mar 28, 2024
- Accounts · 503 to 491Mar 28, 2024 to Mar 28, 2024
- Discretionary RAUM · $119M to $127MMar 28, 2024 to Mar 28, 2024
- HNW RAUM · $68.8M to $72.1MMar 28, 2024 to Mar 28, 2024
- Individual RAUM · $41.7M to $45.0MMar 28, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $1.2M to $0Mar 28, 2024 to Mar 28, 2024
- RAUM · $120M to $127MMar 28, 2024 to Mar 28, 2024
- Advisory employees · 2 to 1Feb 19, 2024 to Feb 20, 2024
- Employees · 2 to 1Feb 19, 2024 to Feb 20, 2024
- State-registered IARs · 2 to 1Feb 19, 2024 to Feb 20, 2024
- Accounts · 506 to 503Feb 9, 2024 to Feb 19, 2024
- HNW clients · 27 to 34Feb 9, 2024 to Feb 19, 2024
- Individual clients · 137 to 130Feb 9, 2024 to Feb 19, 2024
- Discretionary RAUM · $109M to $119MFeb 9, 2024 to Feb 19, 2024
- HNW RAUM · $56.4M to $68.8MFeb 9, 2024 to Feb 19, 2024
- Individual RAUM · $45.8M to $41.7MFeb 9, 2024 to Feb 19, 2024
- Non-discretionary RAUM · $1.1M to $1.2MFeb 9, 2024 to Feb 19, 2024
Signals
1 dated events
- T•• P••••••••• P••••• filed its initial SEC registration (Form ADV)Mar 10, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 859-331-7755reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- THEP•••••••••P•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 859-331-7755reportedpublic record, Form ADV, Feb 2, 2026
- t••• profile url
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $36.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026