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•••••••• M••••••••• G••••• I•••

Former SEC-registered adviserCRD 148540SEC 801-79685IAPD
Latest filing Mar 2, 2016
First filing on the tape Mar 6, 2012 · 9 filings
RAUM
$77.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$77.8M as of Mar 2, 2016
Mar 6, 2012$45.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 2, 2016
Mar 6, 20120 then
Employees (5.A)2 as of Mar 2, 2016
Feb 26, 20152 then
Private funds: no history
RAUM -21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2016; every figure names its basis
RAUM per advisor
$38.9MderivedRAUM 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
$457,890derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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
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
170reported
Financial planning clients
11-25reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• S•••••• R•• · Chief Compliance Officer/Presidentcontrol
    since 10/2008 · owns 75% or more
  • M••••• S••••••• A•••• · Vice Presidentcontrol
    since 01/2014 · owns less than 5%
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 · 176 to 170
    Feb 26, 2015 to Mar 2, 2016
  • Discretionary RAUM · $98.4M to $77.8M
    Feb 26, 2015 to Mar 2, 2016
  • RAUM · $98.4M to $77.8M
    Feb 26, 2015 to Mar 2, 2016
  • Accounts · 182 to 176
    May 5, 2014 to Feb 26, 2015
  • Employees · 4 to 2
    May 5, 2014 to Feb 26, 2015
  • Financial planning clients · 1-10 to 11-25
    May 5, 2014 to Feb 26, 2015
  • Discretionary RAUM · $100M to $98.4M
    May 5, 2014 to Feb 26, 2015
  • RAUM · $100M to $98.4M
    May 5, 2014 to Feb 26, 2015
  • Accounts · 124 to 182
    May 22, 2012 to Apr 24, 2014
  • Advisory employees · unset to 2.0
    May 22, 2012 to Apr 24, 2014
  • Advisory activities · 1 to 3
    May 22, 2012 to Apr 24, 2014
  • Employees · unset to 4.0
    May 22, 2012 to Apr 24, 2014
  • Financial planning clients · 0 to 1-10
    May 22, 2012 to Apr 24, 2014
  • State-registered IARs · 0 to 2
    May 22, 2012 to Apr 24, 2014
  • Discretionary RAUM · $55.6M to $100M
    May 22, 2012 to Apr 24, 2014
  • RAUM · $55.6M to $100M
    May 22, 2012 to Apr 24, 2014
  • Accounts · 113 to 124
    May 9, 2012 to May 14, 2012
  • Advisory activities · 3 to 1
    May 9, 2012 to May 14, 2012
  • Discretionary RAUM · $45.3M to $55.6M
    May 9, 2012 to May 14, 2012
  • RAUM · $45.3M to $55.6M
    May 9, 2012 to May 14, 2012
Signals
1 dated events
  • T•••••••• M••••••••• G••••• I••• filed its initial SEC registration (Form ADV)
    Apr 24, 2014 · 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