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•• F•••••••• A•••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Sep 27, 2019 · 10 filings
SEC status approved since Oct 25, 2019
RAUM
$171M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$171M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
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
10 filings and snapshots on the tape
RAUM$171M as of Feb 19, 2026
Mar 2, 2020$121M then
HNW client RAUM$147M as of Feb 19, 2026
Mar 2, 2020$99.5M then
State-registered IARs (5.B.3)1 as of Feb 19, 2026
Mar 2, 20201 then
Employees (5.A)1 as of Feb 19, 2026
Mar 2, 20203 then
Private funds: no history
RAUM -4.2% over the last fiscal year+4.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- -4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%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 consultingreportedItem 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
- High-net-worth individuals$147M86%
- Individuals$24.6M14%
- Pension and profit-sharing plans$24,6780.0%
- Charitable organizations$5,3570.0%
- Individual clients
- 52reported
- HNW clients
- 37reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 92reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L•••• M•••••Certified Financial Planner | Annapolis, Md | Jan 1, 2026 | 23 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• L•••• · President And Ccocontrolsince 05/2003 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 19, 2026accounts (Item 5.F.2.f) moved from 348.0 to 92.0 (-74.0%) between the annual amendments of 2025-03-31 and 2026-02-19; the peer median change was +5.0% (3686 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 0.7% percentile
What changed
consecutive filings, newest first
- Accounts · 348 to 92Mar 31, 2025 to Feb 19, 2026
- Pension plan clients · unset to 2.0Mar 31, 2025 to Feb 19, 2026
- Employees · 3 to 1Mar 31, 2025 to Feb 19, 2026
- Discretionary RAUM · $169M to $162MMar 31, 2025 to Feb 19, 2026
- HNW RAUM · $145M to $147MMar 31, 2025 to Feb 19, 2026
- Pension RAUM · $9.5M to $24,678Mar 31, 2025 to Feb 19, 2026
- RAUM · $179M to $171MMar 31, 2025 to Feb 19, 2026
- Accounts · 351 to 348Mar 18, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Mar 18, 2024 to Mar 31, 2025
- HQ city · unset to Mar 18, 2024 to Mar 31, 2025
- HQ state · unset to Mar 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $156M to $169MMar 18, 2024 to Mar 31, 2025
- HNW RAUM · $134M to $145MMar 18, 2024 to Mar 31, 2025
- Individual RAUM · $22.1M to $24.6MMar 18, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $9.7M to $9.7MMar 18, 2024 to Mar 31, 2025
- RAUM · $166M to $179MMar 18, 2024 to Mar 31, 2025
- Accounts · 342 to 351Mar 28, 2023 to Mar 18, 2024
- HNW clients · 40 to 37Mar 28, 2023 to Mar 18, 2024
- Individual clients · 47 to 52Mar 28, 2023 to Mar 18, 2024
- Discretionary RAUM · $140M to $156MMar 28, 2023 to Mar 18, 2024
- HNW RAUM · $125M to $134MMar 28, 2023 to Mar 18, 2024
- Individual RAUM · $15.3M to $22.1MMar 28, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $8.1M to $9.7MMar 28, 2023 to Mar 18, 2024
- Pension RAUM · $8.1M to $9.5MMar 28, 2023 to Mar 18, 2024
- RAUM · $148M to $166MMar 28, 2023 to Mar 18, 2024
- Accounts · 361 to 342Mar 16, 2022 to Mar 28, 2023
- HNW clients · 42 to 40Mar 16, 2022 to Mar 28, 2023
- Discretionary RAUM · $161M to $140MMar 16, 2022 to Mar 28, 2023
- HNW RAUM · $142M to $125MMar 16, 2022 to Mar 28, 2023
- Individual RAUM · $18.5M to $15.3MMar 16, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $9.4M to $8.1MMar 16, 2022 to Mar 28, 2023
- Pension RAUM · $9.3M to $8.1MMar 16, 2022 to Mar 28, 2023
- RAUM · $170M to $148MMar 16, 2022 to Mar 28, 2023
- Accounts · 349 to 361Mar 23, 2021 to Mar 16, 2022
- HNW clients · 41 to 42Mar 23, 2021 to Mar 16, 2022
- Individual clients · 41 to 47Mar 23, 2021 to Mar 16, 2022
- Discretionary RAUM · $133M to $161MMar 23, 2021 to Mar 16, 2022
- HNW RAUM · $15.1M to $142MMar 23, 2021 to Mar 16, 2022
- Individual RAUM · $118M to $18.5MMar 23, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $7.4M to $9.4MMar 23, 2021 to Mar 16, 2022
Signals
1 dated events
- T•• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 27, 2019 · 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
- Website
- TAMFINANCIAL.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 4103494484reportedpublic record, Form ADV, Feb 19, 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026