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••••••• F••••••••

Former SEC-registered adviserEl Segundo, CaliforniaCRD 148450SEC 801-78485IAPD
Legal name T••••••• F•••••••• S••••••• L••
Latest filing Feb 5, 2020
First filing on the tape Aug 19, 2013 · 13 filings
RAUM
$49.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
98%
$48.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$49.4M as of Feb 5, 2020
Mar 14, 2014$36.8M then
HNW client RAUM$807,438 as of Feb 5, 2020
Feb 6, 2018$24.2M then
State-registered IARs (5.B.3)1 as of Feb 5, 2020
Mar 14, 20142 then
Employees (5.A)4 as of Feb 5, 2020
Mar 14, 20147 then
Private funds: no history
RAUM +19% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 5, 2020; every figure names its basis
RAUM per advisor
$49.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
637derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$807,438derivedHNW RAUM over HNW clients
Average account
$44,519derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$49.4MreportedItem 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
  • Individuals$47.6M97%
  • Pension and profit-sharing plans$893,7831.8%
  • High-net-worth individuals$807,4381.6%
  • Charitable organizations$21,5220.0%
Individual clients
636reported
HNW clients
1reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
1,109reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • R••••••••• M•••• S••••• · Managing Member, Chief Compliance Officer & Chief Executive Officercontrol
      since 06/2008 · 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
    • Accounts · 1,001 to 1,109
      Mar 13, 2019 to Feb 5, 2020
    • Advisory activities · 2 to 3
      Mar 13, 2019 to Feb 5, 2020
    • Individual clients · 714 to 636
      Mar 13, 2019 to Feb 5, 2020
    • Discretionary RAUM · $41.7M to $0
      Mar 13, 2019 to Feb 5, 2020
    • HNW RAUM · $1.2M to $807,438
      Mar 13, 2019 to Feb 5, 2020
    • Individual RAUM · $39.9M to $47.6M
      Mar 13, 2019 to Feb 5, 2020
    • Non-discretionary RAUM · $0 to $49.4M
      Mar 13, 2019 to Feb 5, 2020
    • Pension RAUM · $529,071 to $893,783
      Mar 13, 2019 to Feb 5, 2020
    • RAUM · $41.7M to $49.4M
      Mar 13, 2019 to Feb 5, 2020
    • Accounts · 1,211 to 1,001
      Feb 6, 2018 to Mar 13, 2019
    • Advisory employees · 1 to 3
      Feb 6, 2018 to Mar 13, 2019
    • Charity clients · unset to 1.0
      Feb 6, 2018 to Mar 13, 2019
    • HNW clients · 200 to 1
      Feb 6, 2018 to Mar 13, 2019
    • Individual clients · 400 to 714
      Feb 6, 2018 to Mar 13, 2019
    • Pension plan clients · unset to 2.0
      Feb 6, 2018 to Mar 13, 2019
    • Employees · 1 to 4
      Feb 6, 2018 to Mar 13, 2019
    • Financial planning clients · More than 500 to 0
      Feb 6, 2018 to Mar 13, 2019
    • Discretionary RAUM · $40.4M to $41.7M
      Feb 6, 2018 to Mar 13, 2019
    • HNW RAUM · $24.2M to $1.2M
      Feb 6, 2018 to Mar 13, 2019
    • Individual RAUM · $16.2M to $39.9M
      Feb 6, 2018 to Mar 13, 2019
    • Pension RAUM · unset to 529071.0
      Feb 6, 2018 to Mar 13, 2019
    • RAUM · $40.4M to $41.7M
      Feb 6, 2018 to Mar 13, 2019
    • Accounts · 1,011 to 1,211
      Dec 5, 2017 to Feb 6, 2018
    • HNW clients · unset to 200.0
      Dec 5, 2017 to Feb 6, 2018
    • Individual clients · unset to 400.0
      Dec 5, 2017 to Feb 6, 2018
    • Discretionary RAUM · $36.5M to $40.4M
      Dec 5, 2017 to Feb 6, 2018
    • HNW RAUM · unset to 24246815.0
      Dec 5, 2017 to Feb 6, 2018
    • Individual RAUM · unset to 16164544.0
      Dec 5, 2017 to Feb 6, 2018
    • RAUM · $36.5M to $40.4M
      Dec 5, 2017 to Feb 6, 2018
    • Advisory activities · 3 to 2
      Dec 1, 2017 to Dec 5, 2017
    • Advisory employees · 2 to 1
      Mar 2, 2017 to Dec 1, 2017
    • BD registered reps · 2 to 1
      Mar 2, 2017 to Dec 1, 2017
    • Employees · 2 to 1
      Mar 2, 2017 to Dec 1, 2017
    • Financial planning clients · 0 to More than 500
      Mar 2, 2017 to Dec 1, 2017
    • State-registered IARs · 2 to 1
      Mar 2, 2017 to Dec 1, 2017
    • Other offices · unset to 0.0
      Mar 2, 2017 to Dec 1, 2017
    • Wrap assets (manager) · unset to 0.0
      Mar 2, 2017 to Dec 1, 2017
    • Wrap assets (sponsor) · unset to 0.0
      Mar 2, 2017 to Dec 1, 2017
    • Accounts · 1,278 to 1,011
      Feb 25, 2016 to Mar 2, 2017
    • Discretionary RAUM · $38.2M to $36.5M
      Feb 25, 2016 to Mar 2, 2017
    Signals
    1 dated events
    • T••••••• F•••••••• filed its initial SEC registration (Form ADV)
      Aug 19, 2013 · 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