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••••

Former SEC-registered adviserAlbuquerque, New MexicoCRD 133233SEC 801-66678IAPD
Legal name T••••••••• L••
Latest filing Mar 10, 2015
First filing on the tape Nov 29, 2011 · 8 filings
RAUM
$171M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$171M as of Mar 10, 2015
Feb 14, 2012$97.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 10, 2015
Feb 14, 20120 then
Employees (5.A)3 as of Mar 10, 2015
Mar 12, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2015; every figure names its basis
RAUM per advisor
$85.4MderivedRAUM 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
$249,988derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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, hourlyreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
683reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• D••••••• D••••• · Vice President-Investments/Chief Compliance Officercontrol
    since 01/2011 · owns less than 5%
  • C•••••••• R••••• L••• · Presidentcontrol
    since 10/2011 · owns less than 5%
  • C•••••••• R••••• L••• · Trusteecontrol
    since 10/2011 · owns 75% or more of R•••• L••• C••••••• Trust U/A 11/15/2007
Entity owners
  • R•••• L••• C••••••• T•••• U•• D•• 1••••••••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Santa Fe, NM
What changed
consecutive filings, newest first
  • Accounts · 1,255 to 683
    Nov 18, 2014 to Mar 10, 2015
  • Advisory employees · 3 to 2
    Nov 18, 2014 to Mar 10, 2015
  • Discretionary RAUM · $149M to $171M
    Nov 18, 2014 to Mar 10, 2015
  • RAUM · $149M to $171M
    Nov 18, 2014 to Mar 10, 2015
  • Accounts · 1,114 to 1,255
    Mar 12, 2013 to Mar 25, 2014
  • Discretionary RAUM · $114M to $149M
    Mar 12, 2013 to Mar 25, 2014
  • RAUM · $114M to $149M
    Mar 12, 2013 to Mar 25, 2014
  • Accounts · 523 to 1,114
    Jul 19, 2012 to Mar 12, 2013
  • Advisory employees · unset to 3.0
    Jul 19, 2012 to Mar 12, 2013
  • Employees · unset to 3.0
    Jul 19, 2012 to Mar 12, 2013
  • State-registered IARs · 0 to 2
    Jul 19, 2012 to Mar 12, 2013
  • Discretionary RAUM · $97.0M to $114M
    Jul 19, 2012 to Mar 12, 2013
  • RAUM · $97.0M to $114M
    Jul 19, 2012 to Mar 12, 2013
  • Accounts · 931 to 523
    Nov 29, 2011 to Feb 14, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 29, 2011 to Feb 14, 2012
  • Discretionary RAUM · $92.1M to $97.0M
    Nov 29, 2011 to Feb 14, 2012
  • RAUM · $92.1M to $97.0M
    Nov 29, 2011 to Feb 14, 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