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••••••• G••••••• I••••••••• M•••••••••
Legal name T••••••• G••••••• L••
Latest filing Jul 31, 2025
First filing on the tape Apr 2, 2012 · 32 filings
SEC status approved since Apr 1, 2015
RAUM
$93.6M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
100%
$93.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$46.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$93.6M as of Jul 31, 2025
Apr 2, 2012$59.1M then
HNW client RAUM$76.7M as of Jul 31, 2025
Mar 22, 2018$73.6M then
State-registered IARs (5.B.3)2 as of Jul 31, 2025
Apr 2, 20120 then
Employees (5.A)2 as of Jul 31, 2025
Mar 16, 20163 then
Private funds: no history
RAUM -23% over the last fiscal year-11% a year over threeIARs 4 to 2offices 2 to 1
Practice profile
derived from the filing of Jul 31, 2025; every figure names its basis
- RAUM per advisor
- $46.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $345,303derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +65%derived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.7M82%
- Individuals$16.8M18%
- Individual clients
- 73reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 271reported
- Financial planning clients
- 11-25reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• •• T••••••• | Sonora, Ca | Jun 1, 2010 | 42 y | 0 |
| P•••• G•••• K•••••• | Sonora, Ca | Sep 20, 2018 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K••• W•••••• K••••• to B•••••• F••••••••Jun 15, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• P••••• G•••• · Membercontrolsince 10/2024 · owns 50% to 75%
- T•••••••• J•••••• •• · Member, Chief Compliance Officercontrolsince 08/2006 · 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 |
|---|---|---|---|---|---|
| Sonora, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 220 to 271Mar 13, 2025 to Jul 31, 2025
- HNW clients · 120 to 43Mar 13, 2025 to Jul 31, 2025
- Individual clients · 100 to 73Mar 13, 2025 to Jul 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 13, 2025 to Jul 31, 2025
- Discretionary RAUM · $43.9M to $44.9MMar 13, 2025 to Jul 31, 2025
- HNW RAUM · $75.4M to $76.7MMar 13, 2025 to Jul 31, 2025
- Individual RAUM · $18.5M to $16.8MMar 13, 2025 to Jul 31, 2025
- Non-discretionary RAUM · $49.9M to $48.7MMar 13, 2025 to Jul 31, 2025
- RAUM · $93.8M to $93.6MMar 13, 2025 to Jul 31, 2025
- Accounts · 327 to 220Nov 6, 2024 to Mar 13, 2025
- HNW clients · 52 to 120Nov 6, 2024 to Mar 13, 2025
- Individual clients · 88 to 100Nov 6, 2024 to Mar 13, 2025
- Pension plan clients · 7.0 to unsetNov 6, 2024 to Mar 13, 2025
- HQ city · unset to Nov 6, 2024 to Mar 13, 2025
- HQ state · unset to Nov 6, 2024 to Mar 13, 2025
- Discretionary RAUM · $78.5M to $43.9MNov 6, 2024 to Mar 13, 2025
- HNW RAUM · $102M to $75.4MNov 6, 2024 to Mar 13, 2025
- Individual RAUM · $25.6M to $18.5MNov 6, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $52.2M to $49.9MNov 6, 2024 to Mar 13, 2025
- Pension RAUM · 2800000.0 to unsetNov 6, 2024 to Mar 13, 2025
- RAUM · $131M to $93.8MNov 6, 2024 to Mar 13, 2025
- Accounts · 321 to 327Mar 12, 2024 to Nov 6, 2024
- Advisory employees · 4 to 2Mar 12, 2024 to Nov 6, 2024
- HNW clients · 49 to 52Mar 12, 2024 to Nov 6, 2024
- Individual clients · 84 to 88Mar 12, 2024 to Nov 6, 2024
- Pension plan clients · 8 to 7Mar 12, 2024 to Nov 6, 2024
- Employees · 4 to 2Mar 12, 2024 to Nov 6, 2024
- State-registered IARs · 4 to 2Mar 12, 2024 to Nov 6, 2024
- Other offices · 2 to 1Mar 12, 2024 to Nov 6, 2024
- Discretionary RAUM · $77.2M to $78.5MMar 12, 2024 to Nov 6, 2024
- HNW RAUM · $93.3M to $102MMar 12, 2024 to Nov 6, 2024
- Individual RAUM · $24.8M to $25.6MMar 12, 2024 to Nov 6, 2024
- Non-discretionary RAUM · $44.2M to $52.2MMar 12, 2024 to Nov 6, 2024
- Pension RAUM · $3.2M to $2.8MMar 12, 2024 to Nov 6, 2024
- RAUM · $121M to $131MMar 12, 2024 to Nov 6, 2024
- Accounts · 180 to 321May 25, 2023 to Mar 12, 2024
- HNW clients · 91 to 49May 25, 2023 to Mar 12, 2024
- Individual clients · 89 to 84May 25, 2023 to Mar 12, 2024
- Pension plan clients · unset to 8.0May 25, 2023 to Mar 12, 2024
- Financial planning clients · 1-10 to 11-25May 25, 2023 to Mar 12, 2024
Signals
4 dated events
- T••••••• G••••••• I••••••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $93.6M)Dec 20, 2025 · Left the SEC roster · derived
- Gibbs Peter Kendall (Member) appeared on Schedule A of T••••••• G••••••• I••••••••• M•••••••••Nov 6, 2024 · Control person joined · fact
- Tobias Steven Goldberg (Member) no longer on Schedule A of T••••••• G••••••• I••••••••• M••••••••• (listed 2024-03-12, absent 2024-11-06)Nov 6, 2024 · Control person left · inference
- T••••••• G••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 19, 2015 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $46.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026