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••••• F••••• C•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 6, 2012 · 39 filings
SEC status approved since Feb 5, 2007
RAUM
$233M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
26%
$60.1M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$38.8M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$233M as of Mar 24, 2026
Mar 6, 2012$91.0M then
HNW client RAUM$60.1M as of Mar 24, 2026
Mar 28, 2018$110M then
State-registered IARs (5.B.3)8 as of Mar 24, 2026
Mar 6, 20120 then
Employees (5.A)11 as of Mar 24, 2026
Mar 13, 20135 then
Private funds2 as of Mar 24, 2026
Mar 6, 20121 then
RAUM -22% over the last fiscal year-4.2% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $38.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $613,229derivedHNW RAUM over HNW clients
- Average account
- $493,903derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publicationsreportedItem 5.G
- Custody
- $115M, 2 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)
- 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
- Pooled investment vehicles$115M49%
- High-net-worth individuals$60.1M26%
- Investment companies$32.6M14%
- Pension and profit-sharing plans$24.4M10%
- Corporations and businesses$579,3020.2%
- Charitable organizations$56,3350.0%
- Individual clients
- n/areported
- HNW clients
- 98reported
- Pension plan clients
- 7reported
- Charitable clients
- 10reported
- Accounts
- 471reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.26 fund_share=0.63 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• J••••• F••••• | Scottsdale, Az | Feb 5, 2007 | 39 y | 1 |
| J••• F•••••• | Meridian, Id | Jun 9, 2009 | 18 y | 0 |
| J••••••• O••• H••• | Templeton, Ca | Apr 29, 2021 | 13 y | 0 |
| D•••••• E• C••••••• | Scottsdale, Az | Apr 27, 2022 | 13 y | 4 |
| K•••••• A•••••• G•••••• | Scottsdale, Az | Nov 18, 2022 | 11 y | 0 |
| M•••••• G••••• F••••• | Scottsdale, Az | Sep 24, 2024 | 13 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
- J•••• M•••••• M•••••••• to T••••• F••••• F••••• O•••••• L••May 8, 2023 · RIA to a newly registered adviser
- L•••• T••••• S••••• to W••••• W••••• P•••••••• L••Dec 18, 2018 · RIA to RIA
Joined, latest
- D•••••• E• C••••••• from C•••••• S••••• • C••• I•••Apr 27, 2022 · Affiliated broker-dealer or bank to independent RIA
- G••••• J••••• F••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 5, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••• F••••• C•••••• P•••••••• L••• | Other Private Fund | $75.4M | 89 | Mar 6, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D••••••• E• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- F•••••• G•••••• J••••• · Managing Member / Chief Investment Officercontrolsince 11/2006 · owns less than 5%
- F•••••• K••••• T••••• · Chief Operations Officer / Membercontrolsince 07/2013 · owns 50% to 75%
- F•••••• G•••••• J••••• · Co Trusteecontrolsince 06/2009 · owns 50% to 75% of F••••• F••••• T••••
- F•••••• K••••• T••••• · Co Trusteecontrolsince 06/2009 · owns 50% to 75% of F••••• F••••• T••••
Entity owners
- F••••• F••••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- T••••• F••••• F••••• O•••••• L••investment advisernRAUM $20.0M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 493 to 471Mar 25, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6Mar 25, 2025 to Mar 24, 2026
- Advisory activities · 5 to 6Mar 25, 2025 to Mar 24, 2026
- Corporate clients · 6 to 3Mar 25, 2025 to Mar 24, 2026
- HNW clients · 127 to 98Mar 25, 2025 to Mar 24, 2026
- Pension plan clients · 8 to 7Mar 25, 2025 to Mar 24, 2026
- Assets in custody · $75.3M to $115MMar 25, 2025 to Mar 24, 2026
- Private funds · 1 to 2Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $296M to $228MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $114M to $60.1MMar 25, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $3.4M to $4.3MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · $25.7M to $24.4MMar 25, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $121M to $115MMar 25, 2025 to Mar 24, 2026
- RAUM · $299M to $233MMar 25, 2025 to Mar 24, 2026
- Accounts · 540 to 493Jul 25, 2024 to Mar 25, 2025
- Charity clients · unset to 10.0Jul 25, 2024 to Mar 25, 2025
- HNW clients · 145 to 127Jul 25, 2024 to Mar 25, 2025
- Pooled vehicle clients · 1 to 2Jul 25, 2024 to Mar 25, 2025
- Assets in custody · $75.4M to $75.3MJul 25, 2024 to Mar 25, 2025
- Insurance-licensed employees · 7 to 8Jul 25, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Jul 25, 2024 to Mar 25, 2025
- State-registered IARs · 7 to 8Jul 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $298M to $296MJul 25, 2024 to Mar 25, 2025
- HNW RAUM · $158M to $114MJul 25, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $3.8M to $3.4MJul 25, 2024 to Mar 25, 2025
- Pension RAUM · $27.6M to $25.7MJul 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $75.4M to $121MJul 25, 2024 to Mar 25, 2025
- RAUM · $301M to $299MJul 25, 2024 to Mar 25, 2025
- Assets in custody · unset to 75399608.0Jul 19, 2024 to Jul 25, 2024
- Custody of client assets · false to trueJul 19, 2024 to Jul 25, 2024
- Accounts · 132 to 540Jan 2, 2024 to Mar 21, 2024
- Advisory employees · 7 to 5Jan 2, 2024 to Mar 21, 2024
- HNW clients · 114 to 145Jan 2, 2024 to Mar 21, 2024
- Assets in custody · 57752169.0 to unsetJan 2, 2024 to Mar 21, 2024
- Custody of client assets · true to falseJan 2, 2024 to Mar 21, 2024
- Employees · 13 to 11Jan 2, 2024 to Mar 21, 2024
- Insurance-licensed employees · 9 to 7Jan 2, 2024 to Mar 21, 2024
- State-registered IARs · 9 to 7Jan 2, 2024 to Mar 21, 2024
- Other offices · 3 to 1Jan 2, 2024 to Mar 21, 2024
- Discretionary RAUM · $264M to $298MJan 2, 2024 to Mar 21, 2024
Signals
5 dated events
- O••• J••••••• H••• (Chief Compliance Officer) no longer on Schedule A of T••••• F••••• C•••••• M••••••••• L•• (listed 2024-01-02, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- E Douglas Connolly (Chief Compliance Officer) appeared on Schedule A of T••••• F••••• C•••••• M••••••••• L••Mar 21, 2024 · Control person joined · fact
- J•••• M•••••• M•••••••• left T••••• F••••• C•••••• M••••••••• L•• for T••••• F••••• F••••• O•••••• L•• (registered 2023-01-16)May 8, 2023 · Advisor changed firm · fact
- T••••• F••••• C•••••• M••••••••• L•• reported RAUM $264.5M, down 37% from $419.1M (2023-01-17 to 2023-03-09)Mar 9, 2023 · RAUM change · derived
- T••••• F••••• C•••••• M••••••••• L•• reported RAUM $377.9M, up 71% from $220.4M (2020-09-18 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T••••• F••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- tffamilyoffice.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-226-0280reportedpublic 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $38.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026