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•••• S•••• I••••••••• G••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 29, 2012 · 15 filings
SEC status approved since Oct 17, 2006
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$0 as of Mar 24, 2026
Mar 29, 2012$0 then
HNW client RAUM$0 as of Mar 24, 2026
Mar 17, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 24, 2026
Mar 28, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• R•••••• G••••• · Chairman, Ciocontrolsince 11/2007 · owns 50% to 75%
- M•••••• M•••• E••••• · Chief Compliance Officer, Coo, Managing Membercontrolsince 09/2006 · owns 5% to 10%
- W••••••• J••••••• M••••••• · Ceocontrolsince 08/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
- M••••••• P•••••• A•••••••• L••investment adviserbanknRAUM $484M
Advisers that list T•••• S•••• I••••••••• G••••• L•• as a related person
- 151666 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Corporate clients · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- HNW clients · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Individual clients · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Pension plan clients · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Pooled vehicle clients · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 17, 2025
- HNW RAUM · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Individual RAUM · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Pension RAUM · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 25, 2024 to Mar 17, 2025
- Other offices · 1 to 0Mar 28, 2019 to Mar 31, 2020
- Other offices · unset to 1.0Mar 30, 2017 to Mar 29, 2018
- Advisory employees · 3 to 2Mar 26, 2014 to Mar 28, 2015
- Employees · 4 to 3Mar 26, 2014 to Mar 28, 2015
- Related bank · false to trueMar 28, 2013 to Mar 26, 2014
- Advisory employees · unset to 3.0Mar 29, 2012 to Mar 28, 2013
- Employees · unset to 4.0Mar 29, 2012 to Mar 28, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 425-284-7200reportedpublic record, Form ADV, Mar 24, 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
- No RAUM reportedderiveda 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