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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Former SEC-registered adviser
T•• M••••• F••• S••••
Legal name S••••••• F•••••••• G••••• L••
Latest filing Mar 5, 2014
First filing on the tape Feb 8, 2012 · 9 filings
RAUM
$212M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$212M as of Feb 6, 2014
Feb 8, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 6, 2014
Feb 8, 20120 then
Employees (5.A)5 as of Feb 6, 2014
Feb 22, 20135 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 5, 2014; every figure names its basis
- RAUM per advisor
- $52.9MderivedRAUM 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
- $109,061derivedRAUM 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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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, portfolio management for businesses and institutionsreportedItem 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
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
- 1,942reported
- Financial planning clients
- 0reported
- 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
- S•••• D•••• K••••• to F•••••••• E•••••• A•••••• C•••••• L••Jul 2, 2014 · Other
- E••• M•••• S••••••• to F•••••••• E•••••• A•••••• C•••••• L••Jul 2, 2014 · Other
- T••••• A••••• N•••• to F•••••••• E•••••• A•••••• C•••••• L••Jul 2, 2014 · Other
Joined, latest
- S•••• D•••• K••••• from C•••• I••••••••• S••••••• C••••Nov 19, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• T•••••• M•••••• · Presidentcontrolsince 01/2004 · owns 75% or more
- K•••••• S••••• D•••• · Chief Compliance Officer And Managing Partnersince 10/2007 · owns less than 5%
Related persons
Schedule D 7.A
- T•• M••••• F••• S••••investment advisernRAUM $55.4M
Advisers that list T•• M••••• F••• S•••• as a related person
- 144710 n
Offices
Schedule D 1.F, the 25 largest
- Florence, KY
What changed
consecutive filings, newest first
- Accounts · 1,875 to 1,942Sep 23, 2013 to Feb 6, 2014
- Advisory employees · 3 to 4Sep 23, 2013 to Feb 6, 2014
- Employees · 4 to 5Sep 23, 2013 to Feb 6, 2014
- State-registered IARs · 3 to 4Sep 23, 2013 to Feb 6, 2014
- Discretionary RAUM · $182M to $212MSep 23, 2013 to Feb 6, 2014
- RAUM · $182M to $212MSep 23, 2013 to Feb 6, 2014
- Accounts · 1,860 to 1,875Apr 1, 2013 to Sep 23, 2013
- Advisory employees · 4 to 3Apr 1, 2013 to Sep 23, 2013
- Employees · 5 to 4Apr 1, 2013 to Sep 23, 2013
- State-registered IARs · 4 to 3Apr 1, 2013 to Sep 23, 2013
- Discretionary RAUM · $168M to $182MApr 1, 2013 to Sep 23, 2013
- RAUM · $168M to $182MApr 1, 2013 to Sep 23, 2013
- Accounts · 1,825 to 1,860Jun 25, 2012 to Feb 22, 2013
- Advisory employees · unset to 4.0Jun 25, 2012 to Feb 22, 2013
- Employees · unset to 5.0Jun 25, 2012 to Feb 22, 2013
- State-registered IARs · 0 to 4Jun 25, 2012 to Feb 22, 2013
- Discretionary RAUM · $158M to $168MJun 25, 2012 to Feb 22, 2013
- RAUM · $158M to $168MJun 25, 2012 to Feb 22, 2013
- Accounts · 1,778 to 1,825Mar 27, 2012 to May 16, 2012
- Insurance-licensed employees · 0 to 1Mar 27, 2012 to May 16, 2012
- Discretionary RAUM · $148M to $158MMar 27, 2012 to May 16, 2012
- RAUM · $148M to $158MMar 27, 2012 to May 16, 2012
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