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•• P••••••••• L••

Former SEC-registered adviserLongwood, FloridaCRD 143806SEC 801-79138IAPD
Latest filing May 9, 2016
First filing on the tape Jan 23, 2014 · 10 filings
RAUM
$6.2M
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$6.2M as of May 9, 2016
Jan 23, 2014$6.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of May 9, 2016
Jan 23, 20143 then
Employees (5.A)5 as of May 9, 2016
Jan 23, 20143 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 9, 2016; every figure names its basis
RAUM per advisor
$1.2MderivedRAUM 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
$771,979derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 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 assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • W••••• J•••••• D•••• · Chief Compliance Officer
    since 12/2015 · owns 10% to 25%
Entity owners
  • T• C•••••• H••••••• I••••••••• T•••• · Managing Member
    indirect · owns 25% to 50% of T•••••••• A•••• M••••••••• L••
  • T•••••••• A•••• M••••••••• L•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HQ city · ORLANDO to LONGWOOD
    Dec 2, 2015 to May 9, 2016
  • Accounts · 33 to 8
    Mar 28, 2014 to Mar 28, 2014
  • Advisory employees · 1 to 5
    Mar 28, 2014 to Mar 28, 2014
  • Employees · 3 to 5
    Mar 28, 2014 to Mar 28, 2014
  • State-registered IARs · 3 to 5
    Mar 28, 2014 to Mar 28, 2014
  • Discretionary RAUM · $6.0M to $6.2M
    Mar 28, 2014 to Mar 28, 2014
  • RAUM · $6.0M to $6.2M
    Mar 28, 2014 to Mar 28, 2014
Signals
1 dated events
  • T•• P••••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 23, 2014 · 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