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

V•••• W••••• M••••••••• L••

Former SEC-registered adviserWest Des Moines, IowaCRD 147115SEC 801-69158IAPD
Legal name T••••••• C•••••• M••••••••• L••
Latest filing Jun 10, 2020
First filing on the tape Apr 2, 2012 · 12 filings
RAUM
$75.9M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
100%
$75.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$86.1M as of Mar 13, 2020
Apr 2, 2012$96.6M then
HNW client RAUM$66.1M as of Mar 13, 2020
Mar 20, 2018$75.1M then
State-registered IARs (5.B.3)2 as of Mar 13, 2020
Apr 2, 20120 then
Employees (5.A)4 as of Mar 13, 2020
Mar 14, 20134 then
Private funds: no history
RAUM -16% over the last fiscal year-11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 10, 2020; every figure names its basis
RAUM per advisor
$37.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$214,954derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.1%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$56.3M74%
  • Individuals$19.6M26%
Individual clients
41reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
353reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Joined, latest
none on the tape
    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
      • T•••••••• J••••• W•••••• · Chief Compliance Officer; Advisor; Managercontrol
        since 04/2008 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      West Des Moines, Ia · principal0021
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 344 to 353
        Mar 13, 2020 to Jun 10, 2020
      • HNW clients · 32 to 29
        Mar 13, 2020 to Jun 10, 2020
      • Individual clients · 39 to 41
        Mar 13, 2020 to Jun 10, 2020
      • Discretionary RAUM · $72.8M to $59.1M
        Mar 13, 2020 to Jun 10, 2020
      • HNW RAUM · $66.1M to $56.3M
        Mar 13, 2020 to Jun 10, 2020
      • Individual RAUM · $20.0M to $19.6M
        Mar 13, 2020 to Jun 10, 2020
      • Non-discretionary RAUM · $13.4M to $16.8M
        Mar 13, 2020 to Jun 10, 2020
      • RAUM · $86.1M to $75.9M
        Mar 13, 2020 to Jun 10, 2020
      • Accounts · 365 to 344
        Mar 7, 2019 to Mar 13, 2020
      • HNW clients · 35 to 32
        Mar 7, 2019 to Mar 13, 2020
      • Discretionary RAUM · $72.4M to $72.8M
        Mar 7, 2019 to Mar 13, 2020
      • HNW RAUM · $63.9M to $66.1M
        Mar 7, 2019 to Mar 13, 2020
      • Individual RAUM · $26.7M to $20.0M
        Mar 7, 2019 to Mar 13, 2020
      • Non-discretionary RAUM · $18.2M to $13.4M
        Mar 7, 2019 to Mar 13, 2020
      • RAUM · $90.6M to $86.1M
        Mar 7, 2019 to Mar 13, 2020
      • HNW clients · 39 to 35
        Mar 20, 2018 to Mar 7, 2019
      • Individual clients · 33 to 39
        Mar 20, 2018 to Mar 7, 2019
      • Discretionary RAUM · $81.9M to $72.4M
        Mar 20, 2018 to Mar 7, 2019
      • HNW RAUM · $75.1M to $63.9M
        Mar 20, 2018 to Mar 7, 2019
      • Individual RAUM · $25.5M to $26.7M
        Mar 20, 2018 to Mar 7, 2019
      • Non-discretionary RAUM · $18.7M to $18.2M
        Mar 20, 2018 to Mar 7, 2019
      • RAUM · $101M to $90.6M
        Mar 20, 2018 to Mar 7, 2019
      • Accounts · 422 to 365
        Mar 21, 2017 to Mar 20, 2018
      • HNW clients · unset to 39.0
        Mar 21, 2017 to Mar 20, 2018
      • Individual clients · unset to 33.0
        Mar 21, 2017 to Mar 20, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 20, 2018
      • Discretionary RAUM · $70.2M to $81.9M
        Mar 21, 2017 to Mar 20, 2018
      • HNW RAUM · unset to 75077515.0
        Mar 21, 2017 to Mar 20, 2018
      • Individual RAUM · unset to 25459387.0
        Mar 21, 2017 to Mar 20, 2018
      • Non-discretionary RAUM · $36.0M to $18.7M
        Mar 21, 2017 to Mar 20, 2018
      • RAUM · $106M to $101M
        Mar 21, 2017 to Mar 20, 2018
      • Accounts · 412 to 422
        Mar 14, 2016 to Mar 21, 2017
      • Discretionary RAUM · $63.9M to $70.2M
        Mar 14, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $34.9M to $36.0M
        Mar 14, 2016 to Mar 21, 2017
      • RAUM · $98.8M to $106M
        Mar 14, 2016 to Mar 21, 2017
      • Accounts · 390 to 412
        Mar 27, 2015 to Mar 14, 2016
      • Discretionary RAUM · $63.6M to $63.9M
        Mar 27, 2015 to Mar 14, 2016
      • Non-discretionary RAUM · $37.8M to $34.9M
        Mar 27, 2015 to Mar 14, 2016
      • RAUM · $101M to $98.8M
        Mar 27, 2015 to Mar 14, 2016
      • Accounts · 361 to 390
        Apr 23, 2014 to Mar 24, 2015
      Signals
      3 dated events
      • J••• M•••••• H••••• left V•••• W••••• M••••••••• L•• for F•••••• (registered 2025-12-04)
        Mar 31, 2026 · Advisor changed firm · fact
      • J•••• W•••••• T••••••• left V•••• W••••• M••••••••• L•• for F•••••• (registered 2025-12-08)
        Mar 31, 2026 · Advisor changed firm · fact
      • 2 advisors left V•••• W••••• M••••••••• L•• (West Des Moines, IA) for F•••••• on the same day
        Mar 31, 2026 · Team lift-out · derived
      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