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•• E•••••• G••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 26, 2012 · 19 filings
SEC status approved since Mar 14, 2006
RAUM
$158M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
94%
$148M 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
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$158M as of Mar 16, 2026
Mar 26, 2012$533M then
HNW client RAUM$148M as of Mar 16, 2026
Mar 30, 2018$167M then
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 26, 20120 then
Employees (5.A)3 as of Mar 16, 2026
Mar 25, 20138 then
Private funds2 as of Mar 16, 2026
Mar 17, 202115 then
RAUM -13% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $946,966derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 4.2%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
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $90.3M, 19 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M94%
- Pension and profit-sharing plans$6.7M4.2%
- Pooled investment vehicles$3.0M1.9%
- Individual clients
- n/areported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 167reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.3M for 19 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.02 institutional_share=0.04 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
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A• | Other Private Fund | $58.9M | 2 | Mar 17, 2021 |
| A• | Other Private Fund | $31.8M | 2 | Mar 17, 2021 |
| A• | Other Private Fund | $20.2M | 3 | Mar 17, 2021 |
| V• | Venture Capital Fund | $3.4M | 18 | Mar 17, 2021 |
| A• | Other Private Fund | $3.1M | 2 | Mar 17, 2021 |
| A• | Other Private Fund | $1.7M | 2 | Mar 17, 2021 |
| A• | Other Private Fund | $1.2M | 2 | Mar 17, 2021 |
| V• | Venture Capital Fund | $1.2M | 16 | Mar 17, 2021 |
| A• | Other Private Fund | $866,738 | 2 | Mar 17, 2021 |
| V•no longer reported | Venture Capital Fund | $81,329 | 10 | Mar 17, 2021 |
| V•no longer reported | Venture Capital Fund | $40,096 | 13 | Mar 17, 2021 |
| V•no longer reported | Venture Capital Fund | $33,494 | 22 | Mar 17, 2021 |
| V•no longer reported | Venture Capital Fund | $18,257 | 25 | Mar 17, 2021 |
| V• | Venture Capital Fund | $11,151 | 4 | Mar 17, 2021 |
| V• | Venture Capital Fund | $1,002 | 21 | Mar 17, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••• P••• · Member/Chief Investment Officer/Chief Compliance Officercontrolsince 01/2006 · owns 25% to 50%
- R••••••• R•••••• L•••• · Managing Member, Chief Executive Officercontrolsince 01/2006 · owns less than 5%
- R••••••• R•••••• L•••• · Managing Membercontrolsince 09/2004 · owns 75% or more of R•••••• A•••• M•••• L••
Entity owners
- R•••••• A•••• M•••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- R•••••• A•••• M••••••••• L••pooled vehicle sponsorn
- R••••• L• R••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 189 to 167Mar 21, 2025 to Mar 16, 2026
- HNW clients · 20 to 25Mar 21, 2025 to Mar 16, 2026
- Pooled vehicle clients · 3 to 2Mar 21, 2025 to Mar 16, 2026
- Assets in custody · $89.0M to $90.3MMar 21, 2025 to Mar 16, 2026
- Employees · 4 to 3Mar 21, 2025 to Mar 16, 2026
- Private funds · 3 to 2Mar 21, 2025 to Mar 16, 2026
- Discretionary RAUM · $89.0M to $90.3MMar 21, 2025 to Mar 16, 2026
- HNW RAUM · $163M to $148MMar 21, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $91.9M to $67.8MMar 21, 2025 to Mar 16, 2026
- Pension RAUM · $6.1M to $6.7MMar 21, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $11.5M to $3.0MMar 21, 2025 to Mar 16, 2026
- RAUM · $181M to $158MMar 21, 2025 to Mar 16, 2026
- Accounts · 280 to 189Mar 15, 2024 to Mar 21, 2025
- Advisory employees · 3 to 2Mar 15, 2024 to Mar 21, 2025
- HNW clients · 30 to 20Mar 15, 2024 to Mar 21, 2025
- Pooled vehicle clients · 9 to 3Mar 15, 2024 to Mar 21, 2025
- Assets in custody · $194M to $89.0MMar 15, 2024 to Mar 21, 2025
- Employees · 6 to 4Mar 15, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 21, 2025
- Private funds · 9 to 3Mar 15, 2024 to Mar 21, 2025
- Discretionary RAUM · $194M to $89.0MMar 15, 2024 to Mar 21, 2025
- HNW RAUM · $156M to $163MMar 15, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $79.4M to $91.9MMar 15, 2024 to Mar 21, 2025
- Pension RAUM · $3.8M to $6.1MMar 15, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $114M to $11.5MMar 15, 2024 to Mar 21, 2025
- RAUM · $274M to $181MMar 15, 2024 to Mar 21, 2025
- Accounts · 299 to 280Oct 3, 2023 to Mar 15, 2024
- Advisory employees · 4 to 3Oct 3, 2023 to Mar 15, 2024
- Advisory activities · 3 to 4Oct 3, 2023 to Mar 15, 2024
- Pooled vehicle clients · 11 to 9Oct 3, 2023 to Mar 15, 2024
- Assets in custody · $233M to $194MOct 3, 2023 to Mar 15, 2024
- Private funds · 11 to 9Oct 3, 2023 to Mar 15, 2024
- Discretionary RAUM · $192M to $194MOct 3, 2023 to Mar 15, 2024
- HNW RAUM · $153M to $156MOct 3, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $71.3M to $79.4MOct 3, 2023 to Mar 15, 2024
- Pension RAUM · $2.8M to $3.8MOct 3, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $107M to $114MOct 3, 2023 to Mar 15, 2024
- RAUM · $263M to $274MOct 3, 2023 to Mar 15, 2024
- Accounts · 280 to 299Apr 20, 2022 to Mar 22, 2023
- Employees · 7 to 6Apr 20, 2022 to Mar 22, 2023
Signals
2 dated events
- Don Kevin Gaboriault (Chief Compliance Officer) no longer on Schedule A of T•• E•••••• G••••• L•• (listed 2022-04-20, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- T•• E•••••• G••••• L•• reported RAUM $332.1M, down 32% from $486.5M (2020-10-15 to 2021-03-17)Mar 17, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T•• E•••••• G••••• L•• · Private Equityshared crd · intermediary
- T•• E•••••• G••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 603-471-9909reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 603-471-9909reportedpublic record, Form ADV, Mar 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