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
A•••••••• R••••••••• G••••
Legal name T••••••• A••••••• G••••• L••
Latest filing Nov 30, 2023
First filing on the tape May 9, 2019 · 19 filings
RAUM
$325M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$322M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$325M as of Feb 14, 2023
Mar 27, 2020$174M then
HNW client RAUM$85.1M as of Feb 14, 2023
Mar 27, 2020$31.8M then
State-registered IARs (5.B.3)2 as of Feb 14, 2023
Mar 27, 20201 then
Employees (5.A)6 as of Feb 14, 2023
Mar 27, 20207 then
Private funds: no history
RAUM -9.0% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 30, 2023; every figure names its basis
- RAUM per advisor
- $162MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 236derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $245,243derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$237M73%
- High-net-worth individuals$85.1M26%
- Corporations and businesses$2.5M0.8%
- Individual clients
- 439reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,324reported
- Financial planning clients
- 0reported
- 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
Left, latest
- A••••• M•••••• T••••••• to A•••••••• W••••• P•••••••Mar 28, 2024 · RIA to a newly registered adviser
- D•••• J••••• A•••••••• to A•••••••• W••••• P•••••••Mar 28, 2024 · RIA to a newly registered adviser
- D••••• L•••••• R••• to R••• W••••• A•••••••• L••Jun 18, 2019 · RIA to RIA
- D•••• H••••• L••••• to B••••• • B•••• W••••• M•••••••••Apr 2, 2019 · RIA to a state-registered adviser
- W•••••• H• H•••••• to W••• F•••••••• S•••••••• I•••Oct 17, 2017 · RIA to a state-registered adviser
- E••••• J•• L•••••• to M••••••••• F••••••••Oct 17, 2017 · RIA to RIA
- J•••••• D•••• M••••••••• to M••••••••• F••••••••Mar 7, 2014 · RIA to RIA
Joined, latest
- D••••• L•••••• R••• from S•••••••• I••••••••• I•••May 12, 2015 · Other
- W•••••• H• H•••••• from G••••• F•••••••• P•••••• C••••••• I•••Sep 14, 2011 · Other
- A••••• M•••••• T••••••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 5, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••••• W••••• P•••••••Mar 28, 2024 · Naples, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• A•••••• M•••••• · Managing Member/Chief Compliance Officercontrolsince 01/2011 · owns 75% or more
- T•••••••• A•••••• M•••••• · Ownercontrolsince 10/2023 · owns 75% or more of T••••••• F•••••••• P•••••••• L••
Entity owners
- T••••••• F•••••••• P•••••••• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- N••••••• B•••••• C•••real estaten
Advisers that list A•••••••• R••••••••• G•••• as a related person
- 329635 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Myers, Fl · principal | 0 | 0 | 0 | ||
| Naples, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 1,119 to 1,324Oct 19, 2022 to Feb 14, 2023
- Corporate clients · 0 to 4Oct 19, 2022 to Feb 14, 2023
- HNW clients · 30 to 32Oct 19, 2022 to Feb 14, 2023
- Individual clients · 376 to 439Oct 19, 2022 to Feb 14, 2023
- Discretionary RAUM · $357M to $325MOct 19, 2022 to Feb 14, 2023
- HNW RAUM · $104M to $85.1MOct 19, 2022 to Feb 14, 2023
- Individual RAUM · $252M to $237MOct 19, 2022 to Feb 14, 2023
- RAUM · $357M to $325MOct 19, 2022 to Feb 14, 2023
- Business name · T••••••• A••••••• G••••• L•• to A•••••••• R••••••••• G••••May 26, 2022 to Jun 6, 2022
- Accounts · 871 to 1,119Mar 2, 2022 to Mar 15, 2022
- HNW clients · 17 to 30Mar 2, 2022 to Mar 15, 2022
- Individual clients · 297 to 376Mar 2, 2022 to Mar 15, 2022
- Discretionary RAUM · $234M to $357MMar 2, 2022 to Mar 15, 2022
- HNW RAUM · $61.5M to $104MMar 2, 2022 to Mar 15, 2022
- Individual RAUM · $173M to $252MMar 2, 2022 to Mar 15, 2022
- RAUM · $234M to $357MMar 2, 2022 to Mar 15, 2022
- Accounts · 721 to 871Aug 14, 2020 to Mar 22, 2021
- HNW clients · 18 to 17Aug 14, 2020 to Mar 22, 2021
- Individual clients · 340 to 297Aug 14, 2020 to Mar 22, 2021
- Discretionary RAUM · $174M to $234MAug 14, 2020 to Mar 22, 2021
- HNW RAUM · $31.8M to $61.5MAug 14, 2020 to Mar 22, 2021
- Individual RAUM · $142M to $173MAug 14, 2020 to Mar 22, 2021
- RAUM · $174M to $234MAug 14, 2020 to Mar 22, 2021
- Advisory employees · 1 to 2Jun 18, 2020 to Aug 14, 2020
- Employees · 7 to 6Jun 18, 2020 to Aug 14, 2020
- State-registered IARs · 1 to 2Jun 18, 2020 to Aug 14, 2020
- Accounts · 246 to 721Dec 18, 2019 to Mar 27, 2020
- HNW clients · 35 to 18Dec 18, 2019 to Mar 27, 2020
- Individual clients · 211 to 340Dec 18, 2019 to Mar 27, 2020
- Discretionary RAUM · $139M to $174MDec 18, 2019 to Mar 27, 2020
- HNW RAUM · $60.3M to $31.8MDec 18, 2019 to Mar 27, 2020
- Individual RAUM · $79.1M to $142MDec 18, 2019 to Mar 27, 2020
- RAUM · $139M to $174MDec 18, 2019 to Mar 27, 2020
- Other offices · 3 to 1Jun 28, 2019 to Dec 18, 2019
- Advisory employees · 2 to 1May 13, 2019 to Jun 28, 2019
- Employees · 9 to 7May 13, 2019 to Jun 28, 2019
- State-registered IARs · 2 to 1May 13, 2019 to Jun 28, 2019
Signals
5 dated events
- D•••• J••••• A•••••••• left A•••••••• R••••••••• G•••• for A•••••••• W••••• P••••••• (registered 2024-02-12)Mar 28, 2024 · Advisor changed firm · fact
- A••••• M•••••• T••••••• left A•••••••• R••••••••• G•••• for A•••••••• W••••• P••••••• (registered 2024-02-08)Mar 28, 2024 · Advisor changed firm · fact
- 2 advisors left A•••••••• R••••••••• G•••• (Naples, FL) for A•••••••• W••••• P••••••• on the same dayMar 28, 2024 · Team lift-out · derived
- A•••••••• R••••••••• G•••• reported RAUM $356.7M, up 52% from $234.2M (2022-03-02 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- T••••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 9, 2019 · 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