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•• H••••• G••••• L••
Latest filing Sep 13, 2024
First filing on the tape Nov 10, 2011 · 13 filings
SEC status approved since Nov 19, 2018
RAUM
$189M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$187M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$174M as of Mar 23, 2024
Jan 6, 2012$54.4M then
HNW client RAUM$142M as of Mar 23, 2024
Mar 18, 2019$75.3M then
State-registered IARs (5.B.3)6 as of Mar 23, 2024
Jan 6, 20120 then
Employees (5.A)6 as of Mar 23, 2024
Mar 18, 20197 then
Private funds: no history
RAUM +40% over the last fiscal year+14% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Sep 13, 2024; every figure names its basis
- RAUM per advisor
- $47.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $294,541derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M79%
- Individuals$37.0M20%
- Corporations and businesses$1.4M0.8%
- Charitable organizations$527,6500.3%
- Individual clients
- 107reported
- HNW clients
- 56reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 640reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- J•••••• M•••• H••••• to E• W••••• A•••••••Apr 8, 2025 · RIA to RIA
- P••••••• P• P••••• to E• W••••• A•••••••Apr 8, 2025 · RIA to RIA
- C•••••• F••• D•••••• to E• W••••• A•••••••Apr 8, 2025 · RIA to RIA
Joined, latest
- C•••••• F••• D•••••• from A••••• A•• P••••••• S•••••••Mar 16, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for E• W••••• A•••••••Apr 8, 2025 · Denver, Co · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••••• F••• · Partnercontrolsince 09/2023 · owns 25% to 50%
- H•••••• J••••••• M•••• · Mananging Partner And Chief Compliance Officercontrolsince 02/2006 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 545 to 640Mar 23, 2024 to Sep 13, 2024
- HNW clients · 61 to 56Mar 23, 2024 to Sep 13, 2024
- Individual clients · 91 to 107Mar 23, 2024 to Sep 13, 2024
- Assets in custody · 570000.0 to unsetMar 23, 2024 to Sep 13, 2024
- Custody of client assets · true to falseMar 23, 2024 to Sep 13, 2024
- Employees · 6 to 4Mar 23, 2024 to Sep 13, 2024
- State-registered IARs · 6 to 4Mar 23, 2024 to Sep 13, 2024
- Discretionary RAUM · $174M to $189MMar 23, 2024 to Sep 13, 2024
- HNW RAUM · $142M to $150MMar 23, 2024 to Sep 13, 2024
- Individual RAUM · $29.5M to $37.0MMar 23, 2024 to Sep 13, 2024
- RAUM · $174M to $189MMar 23, 2024 to Sep 13, 2024
- Accounts · 550 to 545Sep 26, 2023 to Mar 23, 2024
- Charity clients · 0 to 1Sep 26, 2023 to Mar 23, 2024
- Corporate clients · 0 to 1Sep 26, 2023 to Mar 23, 2024
- HNW clients · 50 to 61Sep 26, 2023 to Mar 23, 2024
- Individual clients · 100 to 91Sep 26, 2023 to Mar 23, 2024
- Assets in custody · $1.1M to $570,000Sep 26, 2023 to Mar 23, 2024
- Discretionary RAUM · $155M to $174MSep 26, 2023 to Mar 23, 2024
- HNW RAUM · $100M to $142MSep 26, 2023 to Mar 23, 2024
- Individual RAUM · $55.0M to $29.5MSep 26, 2023 to Mar 23, 2024
- RAUM · $155M to $174MSep 26, 2023 to Mar 23, 2024
- Individual clients · 95 to 100Mar 20, 2023 to Sep 26, 2023
- Assets in custody · $1.2M to $1.1MMar 20, 2023 to Sep 26, 2023
- Discretionary RAUM · $135M to $155MMar 20, 2023 to Sep 26, 2023
- HNW RAUM · $90.0M to $100MMar 20, 2023 to Sep 26, 2023
- Individual RAUM · $45.0M to $55.0MMar 20, 2023 to Sep 26, 2023
- RAUM · $135M to $155MMar 20, 2023 to Sep 26, 2023
- Accounts · 440 to 550Mar 24, 2022 to Mar 20, 2023
- HNW clients · 55 to 50Mar 24, 2022 to Mar 20, 2023
- Assets in custody · $1.4M to $1.2MMar 24, 2022 to Mar 20, 2023
- Insurance-licensed employees · 6 to 0Mar 24, 2022 to Mar 20, 2023
- Discretionary RAUM · $140M to $135MMar 24, 2022 to Mar 20, 2023
- HNW RAUM · $100M to $90.0MMar 24, 2022 to Mar 20, 2023
- Individual RAUM · $40.0M to $45.0MMar 24, 2022 to Mar 20, 2023
- RAUM · $140M to $135MMar 24, 2022 to Mar 20, 2023
- Accounts · 553 to 440Mar 24, 2021 to Mar 24, 2022
- HNW clients · 42 to 55Mar 24, 2021 to Mar 24, 2022
- Assets in custody · $1.8M to $1.4MMar 24, 2021 to Mar 24, 2022
- Employees · 7 to 6Mar 24, 2021 to Mar 24, 2022
- Insurance-licensed employees · 0 to 6Mar 24, 2021 to Mar 24, 2022
Signals
8 dated events
- T•• H••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $188.5M)May 2, 2025 · Left the SEC roster · derived
- P••••••• P• P••••• left T•• H••••• G••••• L•• for E• W••••• A••••••• (registered 2025-03-20)Apr 8, 2025 · Advisor changed firm · fact
- C•••••• F••• D•••••• left T•• H••••• G••••• L•• for E• W••••• A••••••• (registered 2025-03-20)Apr 8, 2025 · Advisor changed firm · fact
- J•••••• M•••• H••••• left T•• H••••• G••••• L•• for E• W••••• A••••••• (registered 2025-03-20)Apr 8, 2025 · Advisor changed firm · fact
- T•• H••••• G••••• L••'s advisors moved to E• W••••• A••••••• (Denver, CO): 3 of 3 registered, on the same dayApr 8, 2025 · Firm absorbed (people side) · derived
- Ford Clinton Demming (Partner) appeared on Schedule A of T•• H••••• G••••• L••Sep 26, 2023 · Control person joined · fact
- Merle William H••••• (Partner Emeritus) no longer on Schedule A of T•• H••••• G••••• L•• (listed 2023-03-20, absent 2023-09-26)Sep 26, 2023 · Control person left · inference
- T•• H••••• G••••• L•• filed its initial SEC registration (Form ADV)Oct 22, 2018 · 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