DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
G•• F•••• L••
Latest filing May 3, 2012
First filing on the tape Mar 13, 2012 · 4 filings
RAUM
$58.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$29.4M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$58.8M gross assets
History
4 filings and snapshots on the tape
RAUM$58.7M as of May 3, 2012
Mar 13, 2012$58.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 3, 2012
Mar 13, 20120 then
Employees (5.A): no history
Private funds1 as of May 3, 2012
Mar 13, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 3, 2012; every figure names its basis
- RAUM per advisor
- $29.4MderivedRAUM 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
- $58.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, performance-basedreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $58.8M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $58.8M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• S•••• G•••••••• | Hunt Valley, Md | May 17, 2012 | 18 y | 0 |
| T••• K•••• S••••• | Hunt Valley, Md | May 17, 2012 | 31 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• S•••• F••• L••• | Hedge Fund | $58.8M | 90 | Mar 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• D••••• S•••• · Managing Membercontrolsince 06/2008 · owns less than 5%
- S•••••• T•••• K•••• · Managing Member And Chief Compliance Officercontrolsince 06/2008 · owns less than 5%
- L••••• J•••••••• J•• · Trustee, T•• D•••• S• G•••••••• A•• J••• L• G•••••••• 2••• I••••••••• T••••controlsince 03/2007 · owns F of T•• D•••• S• G•••••••• A•• J••• L• G•••••••• 2••• I••••••••• T••••
- L••••• J•••••••• J•• · Trustee, T••• S••••• F••••• T••••controlsince 07/2001 · owns F of T••• S••••• F••••• T••••
- L••••• J•••••••• J•• · Class C Membercontrolsince 07/2008 · owns 25% to 50% of T•• D•••• S• G•••••••• A•• J••• L• G•••••••• 2••• I••••••••• T••••
- L••••• J•••••••• J•• · Trustee, B••••• S••••• F••••• T•••• D•••• J••• 1•• 2•••controlsince 07/2006 · owns F of B••••• S••••• F••••• T•••• D•••• J••• 1•• 2•••
- S•••••• T•••• K•••• · Managercontrolsince 07/2008 · owns 25% to 50% of T••• I••••••••• L••
Entity owners
- T••• I••••••••• L•• · Class C Memberdirect · owns 25% to 50%
- T•• D•••• S• G•••••••• A•• J••• L• G•••••••• 2••• I••••••••• T•••• · Class C Memberdirect · owns 25% to 50%
- B••••• S••••• F••••• T•••• D•••• J••• 1•• 2••• · Memberindirect · owns 50% to 75% of T••• I••••••••• L••
- T••• S••••• F••••• T•••• · Memberindirect · owns 75% or more of W••••••• T••••••• L••
- W••••••• T••••••• L•• · Memberindirect · owns 25% to 50% of T••• I••••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Hunt Valley, Md · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
No event on the tape.
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
- $29.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026