DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T••••• C•••••• M•••••••••

Independent wealth managerCRD 147445SEC 801-124720IAPD

Legal name T•• A•••••••• L••

Latest filing Mar 31, 2026

First filing on the tape Mar 23, 2022 · 6 filings

SEC status approved since Apr 22, 2022

RAUM

$143M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

94%

$135M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$143M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$143M as of Mar 31, 2026

Mar 30, 2023$112M then

HNW client RAUM$80.7M as of Mar 31, 2026

Mar 30, 2023$60.5M then

State-registered IARs (5.B.3)1 as of Mar 31, 2026

Mar 30, 20231 then

Employees (5.A)1 as of Mar 31, 2026

Mar 30, 20231 then

Private funds: no history

RAUM +4.6% over the last fiscal year+8.4% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $143MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 207derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $667,697derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +4.6%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -5.5%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program: $286MreportedItem 5.I
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$80.7M56%
Individuals$54.2M38%
Pension and profit-sharing plans$6.7M4.7%
Charitable organizations$1.1M0.7%
Corporations and businesses$216,3880.2%

Individual clients: 176reported
HNW clients: 31reported
Pension plan clients: 5reported
Charitable clients: n/areported
Accounts: 214reported
Financial planning clients: reported
Wrap fee programs: $143M sponsored, $143M managedreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
T•••••• J••••• T•••••	Martinsburg, Wv	Aug 26, 2008	26 y	1

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

none on the tape

Joined, latest

T•••••• J••••• T••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 26, 2008 · Wirehouse to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••• T••••••• J••••• · Managing Member And Chief Compliance Officercontrol
since 08/2008 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Martinsburg, WV1 employees

What changed

consecutive filings, newest first

Accounts · 229 to 214
Apr 11, 2025 to Mar 31, 2026
HNW clients · 33 to 31
Apr 11, 2025 to Mar 31, 2026
Individual clients · 186 to 176
Apr 11, 2025 to Mar 31, 2026
Pension plan clients · 8 to 5
Apr 11, 2025 to Mar 31, 2026
Discretionary RAUM · $137M to $143M
Apr 11, 2025 to Mar 31, 2026
HNW RAUM · $78.3M to $80.7M
Apr 11, 2025 to Mar 31, 2026
Individual RAUM · $51.0M to $54.2M
Apr 11, 2025 to Mar 31, 2026
Pension RAUM · $6.0M to $6.7M
Apr 11, 2025 to Mar 31, 2026
RAUM · $137M to $143M
Apr 11, 2025 to Mar 31, 2026
Wrap assets (manager) · $137M to $143M
Apr 11, 2025 to Mar 31, 2026
Wrap assets (sponsor) · $137M to $143M
Apr 11, 2025 to Mar 31, 2026
Accounts · 210 to 229
Oct 23, 2024 to Apr 11, 2025
Charity clients · 1.0 to unset
Oct 23, 2024 to Apr 11, 2025
HNW clients · 32 to 33
Oct 23, 2024 to Apr 11, 2025
Individual clients · 168 to 186
Oct 23, 2024 to Apr 11, 2025
Financial planning clients · unset to
Oct 23, 2024 to Apr 11, 2025
HQ city · unset to
Oct 23, 2024 to Apr 11, 2025
HQ state · unset to
Oct 23, 2024 to Apr 11, 2025
Discretionary RAUM · $119M to $137M
Oct 23, 2024 to Apr 11, 2025
HNW RAUM · $69.3M to $78.3M
Oct 23, 2024 to Apr 11, 2025
Individual RAUM · $41.8M to $51.0M
Oct 23, 2024 to Apr 11, 2025
Pension RAUM · $5.4M to $6.0M
Oct 23, 2024 to Apr 11, 2025
RAUM · $119M to $137M
Oct 23, 2024 to Apr 11, 2025
Wrap assets (manager) · $104M to $137M
Oct 23, 2024 to Apr 11, 2025
Wrap assets (sponsor) · $104M to $137M
Oct 23, 2024 to Apr 11, 2025
Discretionary RAUM · $109M to $119M
Mar 30, 2023 to Mar 26, 2024
HNW RAUM · $60.5M to $69.3M
Mar 30, 2023 to Mar 26, 2024
Individual RAUM · $46.0M to $41.8M
Mar 30, 2023 to Mar 26, 2024
Non-discretionary RAUM · $3.1M to $0
Mar 30, 2023 to Mar 26, 2024
Pension RAUM · $3.8M to $5.4M
Mar 30, 2023 to Mar 26, 2024
RAUM · $112M to $119M
Mar 30, 2023 to Mar 26, 2024
Wrap assets (manager) · $109M to $104M
Mar 30, 2023 to Mar 26, 2024
Wrap assets (sponsor) · $109M to $104M
Mar 30, 2023 to Mar 26, 2024
Accounts · 408 to 210
Mar 30, 2023 to Mar 26, 2024
Corporate clients · 1.0 to unset
Mar 30, 2023 to Mar 26, 2024
HNW clients · 29 to 32
Mar 30, 2023 to Mar 26, 2024
Individual clients · 114 to 168
Mar 30, 2023 to Mar 26, 2024
Pension plan clients · 4 to 8
Mar 30, 2023 to Mar 26, 2024
Accounts · 379 to 408
Mar 23, 2022 to Mar 30, 2023
HNW clients · 47 to 29
Mar 23, 2022 to Mar 30, 2023

Signals

1 dated events

T••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
Mar 23, 2022 · 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.

How to reach

public business contact points only, each with its source

Principal office phone: 304-260-0078reportedpublic record, Form ADV, Mar 31, 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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $143Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026