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 adviserMaumee, OhioCRD 138244SEC 801-79839IAPD
Legal name T••••••••• L••
Latest filing Mar 10, 2016
First filing on the tape Feb 13, 2012 · 10 filings
RAUM
$118M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$118M as of Mar 10, 2016
Feb 13, 2012$60.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 10, 2016
Feb 13, 20120 then
Employees (5.A)2 as of Mar 10, 2016
Mar 19, 20152 then
Private funds: no history
RAUM +0.4% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2016; every figure names its basis
RAUM per advisor
$59.0MderivedRAUM 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
$136,325derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.4%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 individualsreportedItem 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
865reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• D•••••• W••••• · Managing Member, Investment A••••••control
      since 09/2005 · owns 50% to 75%
    • R••••• P••••••• J••• · Managing Member, Investment A••••••, Chief Compliance Officercontrol
      since 09/2005 · owns 50% to 75%
    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 · 831 to 865
      Oct 27, 2015 to Mar 10, 2016
    • Discretionary RAUM · $117M to $118M
      Oct 27, 2015 to Mar 10, 2016
    • RAUM · $117M to $118M
      Oct 27, 2015 to Mar 10, 2016
    • Accounts · 346 to 831
      Jan 5, 2015 to Mar 19, 2015
    • Discretionary RAUM · $110M to $117M
      Jan 5, 2015 to Mar 19, 2015
    • RAUM · $110M to $117M
      Jan 5, 2015 to Mar 19, 2015
    • Accounts · 288 to 346
      Mar 5, 2012 to May 23, 2014
    • Advisory employees · unset to 2.0
      Mar 5, 2012 to May 23, 2014
    • Advisory activities · 1 to 2
      Mar 5, 2012 to May 23, 2014
    • Employees · unset to 2.0
      Mar 5, 2012 to May 23, 2014
    • State-registered IARs · 0 to 2
      Mar 5, 2012 to May 23, 2014
    • Discretionary RAUM · $60.7M to $110M
      Mar 5, 2012 to May 23, 2014
    • RAUM · $60.7M to $110M
      Mar 5, 2012 to May 23, 2014
    • Advisory activities · 2 to 1
      Mar 5, 2012 to Mar 5, 2012
    Signals
    1 dated events
    • T•• M••••• F••• S•••• filed its initial SEC registration (Form ADV)
      May 23, 2014 · 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.
    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