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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T•• M••••• F••• S••••

Former SEC-registered adviserOverland Park, KansasCRD 141810SEC 801-67292IAPD
Legal name T•• M••••• F••• S••••••••• L••
Latest filing Apr 1, 2015
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$183M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$183M as of Mar 11, 2015
Mar 29, 2012$99.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 11, 2015
Mar 29, 20120 then
Employees (5.A)5 as of Mar 11, 2015
Mar 25, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+23% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Apr 1, 2015; every figure names its basis
RAUM per advisor
$61.2MderivedRAUM 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
$112,479derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+50%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 individuals, selection of other advisersreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • 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
1,631reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• E•••••• R•••••• · Chief Operating Officercontrol
      since 09/2012 · owns less than 5%
    • B•••• A•••• S••••• · Chairmancontrol
      since 02/2012 · owns less than 5%
    • B•••••• C•••••••• M••••• · Chief Compliance Officercontrol
      since 11/2006 · owns less than 5%
    • B••••• J•••• B•••••• · Chief Executive Officercontrol
      since 02/2012 · owns less than 5%
    • S••••• R••••••• · Chief Financial Officercontrol
      since 09/2014 · owns less than 5%
    Entity owners
    • T••• H•••••••• L•• · Sole Member
      direct · owns 75% or more
    • K••••• C••• 7•• A••••••••• C••••••••• · Member
      indirect · owns 50% to 75% of K••••• C••• 7•• A••••••••• L••
    • K••••• C••• 7•• A••••••••• L•• · Member
      indirect · owns 75% or more of T••• H•••••••• L••
    • W•••••• P••••• P•••••• E••••• X• L••• · Shareholder
      indirect · owns 75% or more of K••••• C••• 7•• A••••••••• C•••••••••
    • W•••••• P••••• X• L••• · General Partner
      indirect · owns F of W•••••• P••••• P•••••• E••••• X• L•••
    Related persons
    Schedule D 7.A
    Advisers that list T•• M••••• F••• S•••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Northville, MI
    • Sterling Heights, MI
    What changed
    consecutive filings, newest first
    • Accounts · 1,462 to 1,631
      Dec 15, 2014 to Mar 11, 2015
    • Advisory employees · 2 to 3
      Dec 15, 2014 to Mar 11, 2015
    • Employees · 4 to 5
      Dec 15, 2014 to Mar 11, 2015
    • State-registered IARs · 2 to 3
      Dec 15, 2014 to Mar 11, 2015
    • Discretionary RAUM · $161M to $183M
      Dec 15, 2014 to Mar 11, 2015
    • RAUM · $161M to $183M
      Dec 15, 2014 to Mar 11, 2015
    • Accounts · 1,317 to 1,462
      Feb 6, 2014 to Mar 13, 2014
    • Discretionary RAUM · $124M to $161M
      Feb 6, 2014 to Mar 13, 2014
    • RAUM · $124M to $161M
      Feb 6, 2014 to Mar 13, 2014
    • Accounts · 1,218 to 1,317
      Jan 2, 2013 to Mar 25, 2013
    • Discretionary RAUM · $99.1M to $124M
      Jan 2, 2013 to Mar 25, 2013
    • RAUM · $99.1M to $124M
      Jan 2, 2013 to Mar 25, 2013
    • Advisory employees · unset to 2.0
      Oct 15, 2012 to Jan 2, 2013
    • Employees · unset to 4.0
      Oct 15, 2012 to Jan 2, 2013
    • State-registered IARs · 0 to 2
      Oct 15, 2012 to Jan 2, 2013
    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