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.
Former SEC-registered adviser
T•• H•••••••• G••••
Legal name T•• H•••••••• G••••• L••
Latest filing Feb 16, 2024
First filing on the tape Mar 23, 2012 · 17 filings
SEC status approved since Sep 10, 2004
RAUM
$284M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$267M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$284M as of Feb 16, 2024
Mar 23, 2012$126M then
HNW client RAUM$254M as of Feb 16, 2024
Mar 12, 2018$153M then
State-registered IARs (5.B.3)3 as of Feb 16, 2024
Mar 23, 20120 then
Employees (5.A)6 as of Feb 16, 2024
Jan 31, 20133 then
Private funds: no history
RAUM +12% over the last fiscal year+6.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 16, 2024; every figure names its basis
- RAUM per advisor
- $94.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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 individualsreportedItem 5.G
- Custody
- $4.0M, 7 clientsreportedItem 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$254M89%
- Individuals$12.8M4.5%
- Pension and profit-sharing plans$11.6M4.1%
- Charitable organizations$5.4M1.9%
- Individual clients
- 47reported
- HNW clients
- 69reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 121reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.0M for 7 clientsreported
- 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
- D•••• S•••• B••••• to T•••••••• W••••• A•••••••Jan 16, 2025 · RIA to RIA
- A••••• W•••••• O•••• to T•••••••• W••••• A•••••••Jan 16, 2025 · RIA to RIA
- H••••• E•••••••• K•••• to T•••••••• W••••• A•••••••Jan 16, 2025 · RIA to RIA
Joined, latest
- H••••• E•••••••• K•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 3, 2020 · Wirehouse to independent RIA
- D•••• S•••• B••••• from H•••••••• H•••••••• G••••Mar 1, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for T•••••••• W••••• A•••••••Jan 16, 2025 · San Francisco, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• D••••• S•••• · President/Chief Compliance Officercontrolsince 07/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 63 to 69Mar 15, 2023 to Feb 16, 2024
- Individual clients · 53 to 47Mar 15, 2023 to Feb 16, 2024
- Assets in custody · $4.0M to $4.0MMar 15, 2023 to Feb 16, 2024
- Discretionary RAUM · $252M to $284MMar 15, 2023 to Feb 16, 2024
- HNW RAUM · $222M to $254MMar 15, 2023 to Feb 16, 2024
- Individual RAUM · $15.5M to $12.8MMar 15, 2023 to Feb 16, 2024
- Pension RAUM · $9.2M to $11.6MMar 15, 2023 to Feb 16, 2024
- RAUM · $252M to $284MMar 15, 2023 to Feb 16, 2024
- Accounts · 119 to 121Jun 28, 2022 to Mar 15, 2023
- HNW clients · 70 to 63Jun 28, 2022 to Mar 15, 2023
- Individual clients · 46 to 53Jun 28, 2022 to Mar 15, 2023
- Pension plan clients · 1 to 3Jun 28, 2022 to Mar 15, 2023
- Assets in custody · $5.9M to $4.0MJun 28, 2022 to Mar 15, 2023
- Employees · 5 to 6Jun 28, 2022 to Mar 15, 2023
- Discretionary RAUM · $291M to $252MJun 28, 2022 to Mar 15, 2023
- HNW RAUM · $265M to $222MJun 28, 2022 to Mar 15, 2023
- Individual RAUM · $12.5M to $15.5MJun 28, 2022 to Mar 15, 2023
- Pension RAUM · $6.5M to $9.2MJun 28, 2022 to Mar 15, 2023
- RAUM · $291M to $252MJun 28, 2022 to Mar 15, 2023
- Accounts · 116 to 119Mar 10, 2021 to Feb 16, 2022
- HNW clients · 63 to 70Mar 10, 2021 to Feb 16, 2022
- Individual clients · 50 to 46Mar 10, 2021 to Feb 16, 2022
- Assets in custody · $4.8M to $5.9MMar 10, 2021 to Feb 16, 2022
- Discretionary RAUM · $236M to $291MMar 10, 2021 to Feb 16, 2022
- HNW RAUM · $210M to $265MMar 10, 2021 to Feb 16, 2022
- Individual RAUM · $14.1M to $12.5MMar 10, 2021 to Feb 16, 2022
- Pension RAUM · $5.5M to $6.5MMar 10, 2021 to Feb 16, 2022
- RAUM · $236M to $291MMar 10, 2021 to Feb 16, 2022
- Accounts · 115 to 116Jun 24, 2020 to Mar 10, 2021
- HNW clients · 66 to 63Jun 24, 2020 to Mar 10, 2021
- Individual clients · 49 to 50Jun 24, 2020 to Mar 10, 2021
- Assets in custody · $134M to $4.8MJun 24, 2020 to Mar 10, 2021
- Discretionary RAUM · $224M to $236MJun 24, 2020 to Mar 10, 2021
- HNW RAUM · $200M to $210MJun 24, 2020 to Mar 10, 2021
- Individual RAUM · $12.5M to $14.1MJun 24, 2020 to Mar 10, 2021
- Pension RAUM · $4.9M to $5.5MJun 24, 2020 to Mar 10, 2021
- RAUM · $224M to $236MJun 24, 2020 to Mar 10, 2021
- Accounts · 113 to 115Feb 5, 2019 to Mar 9, 2020
- Advisory employees · 2 to 3Feb 5, 2019 to Mar 9, 2020
- HNW clients · 59 to 66Feb 5, 2019 to Mar 9, 2020
Signals
5 dated events
- T•• H•••••••• G•••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $283.6M)Feb 3, 2025 · Left the SEC roster · derived
- D•••• S•••• B••••• left T•• H•••••••• G•••• for T•••••••• W••••• A••••••• (registered 2025-02-05)Jan 16, 2025 · Advisor changed firm · fact
- H••••• E•••••••• K•••• left T•• H•••••••• G•••• for T•••••••• W••••• A••••••• (registered 2025-02-05)Jan 16, 2025 · Advisor changed firm · fact
- T•• H•••••••• G••••'s advisors moved to T•••••••• W••••• A••••••• (San Francisco, CA): 3 of 3 registered, on the same dayJan 16, 2025 · Firm absorbed (people side) · derived
- A••••• W•••••• O•••• left T•• H•••••••• G•••• for T•••••••• W••••• A••••••• (registered 2025-02-05)Jan 16, 2025 · Advisor changed firm · fact
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