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•••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 13, 2012 · 31 filings
SEC status approved since Jul 3, 2003
RAUM
$223M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$142M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$223M as of Mar 31, 2026
Mar 13, 2012$1.3B then
HNW client RAUM$135M as of Mar 31, 2026
Mar 8, 2018$60.7M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 21, 20130 then
Employees (5.A)5 as of Mar 31, 2026
Mar 21, 20139 then
Private funds: no history
RAUM -11% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$135M60%
- Pension and profit-sharing plans$40.7M18%
- Corporations and businesses$32.8M15%
- Individuals$7.3M3.3%
- Charitable organizations$7.2M3.2%
- Individual clients
- 31reported
- HNW clients
- 29reported
- Pension plan clients
- 6reported
- Charitable clients
- 3reported
- Accounts
- 72reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
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
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
- B•••••• A•••••• L•• · Chief Operations Officercontrolsince 01/2012 · owns less than 5%
- R••••••••• S••••• R•• · Managing Member, Chief Executive Officer, Chief Investment Officercontrolsince 06/2003 · owns 75% or more
- M••••••••• A•••••• D•••• · Chief Compliance Officersince 09/2020 · owns less than 5%
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 · 63 to 72Mar 26, 2025 to Mar 31, 2026
- Corporate clients · 5 to 3Mar 26, 2025 to Mar 31, 2026
- HNW clients · 30 to 29Mar 26, 2025 to Mar 31, 2026
- Individual clients · 19 to 31Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $251M to $223MMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $137M to $135MMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $5.0M to $7.3MMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $48.4M to $40.7MMar 26, 2025 to Mar 31, 2026
- RAUM · $251M to $223MMar 26, 2025 to Mar 31, 2026
- Charity clients · 4 to 3Mar 13, 2024 to Mar 26, 2025
- Corporate clients · 6 to 5Mar 13, 2024 to Mar 26, 2025
- HNW clients · 29 to 30Mar 13, 2024 to Mar 26, 2025
- Individual clients · 17 to 19Mar 13, 2024 to Mar 26, 2025
- Pension plan clients · 7 to 6Mar 13, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $230M to $251MMar 13, 2024 to Mar 26, 2025
- HNW RAUM · $97.1M to $137MMar 13, 2024 to Mar 26, 2025
- Individual RAUM · $3.0M to $5.0MMar 13, 2024 to Mar 26, 2025
- Pension RAUM · $46.6M to $48.4MMar 13, 2024 to Mar 26, 2025
- RAUM · $230M to $251MMar 13, 2024 to Mar 26, 2025
- Accounts · 52 to 63Jul 19, 2023 to Mar 13, 2024
- HNW clients · 23 to 29Jul 19, 2023 to Mar 13, 2024
- Individual clients · 10 to 17Jul 19, 2023 to Mar 13, 2024
- Pension plan clients · 9 to 7Jul 19, 2023 to Mar 13, 2024
- Discretionary RAUM · $215M to $230MJul 19, 2023 to Mar 13, 2024
- HNW RAUM · $89.4M to $97.1MJul 19, 2023 to Mar 13, 2024
- Individual RAUM · $1.2M to $3.0MJul 19, 2023 to Mar 13, 2024
- Pension RAUM · $44.4M to $46.6MJul 19, 2023 to Mar 13, 2024
- RAUM · $215M to $230MJul 19, 2023 to Mar 13, 2024
- Accounts · 39 to 52Mar 28, 2022 to Mar 28, 2023
- Advisory employees · 5 to 4Mar 28, 2022 to Mar 28, 2023
- Corporate clients · 8 to 6Mar 28, 2022 to Mar 28, 2023
- HNW clients · 18 to 23Mar 28, 2022 to Mar 28, 2023
- Individual clients · unset to 10.0Mar 28, 2022 to Mar 28, 2023
- Employees · 6 to 5Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $233M to $215MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · $56.0M to $89.4MMar 28, 2022 to Mar 28, 2023
- Individual RAUM · unset to 1221026.0Mar 28, 2022 to Mar 28, 2023
- Pension RAUM · $66.7M to $44.4MMar 28, 2022 to Mar 28, 2023
- RAUM · $233M to $215MMar 28, 2022 to Mar 28, 2023
Signals
3 dated events
- T•••• P•••• C•••••• M••••••••• L•• reported RAUM $233.3M, down 62% from $617.9M (2021-10-29 to 2022-01-06)Jan 6, 2022 · RAUM change · derived
- Lynn Kimberly Collins (Chief Compliance Officer) no longer on Schedule A of T•••• P•••• C•••••• M••••••••• L•• (listed 2020-06-26, absent 2020-09-11)Sep 11, 2020 · Control person left · inference
- T•••• P•••• C•••••• M••••••••• L•• reported RAUM $718.8M, down 36% from $1.1B (2018-03-08 to 2019-02-19)Feb 19, 2019 · RAUM change · derived
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
- 303-221-4065reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-221-9480reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 303-221-9493reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T••••P••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-221-9480reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026