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••••••••
Legal name T•••••• F••••••••• L•••••
Latest filing Dec 7, 2023
First filing on the tape Feb 8, 2012 · 38 filings
RAUM
$942M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
23%
$219M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$942M as of Mar 27, 2023
Feb 8, 2012$228M then
HNW client RAUM$124M as of Mar 27, 2023
Mar 16, 2018$130M then
State-registered IARs (5.B.3)11 as of Mar 27, 2023
Feb 8, 20120 then
Employees (5.A)16 as of Mar 27, 2023
Mar 25, 201321 then
Private funds: no history
RAUM -4.9% over the last fiscal year+6.0% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Dec 7, 2023; every figure names its basis
- RAUM per advisor
- $85.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $841,404derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $66.0M, 121 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$723M77%
- High-net-worth individuals$124M13%
- Individuals$94.9M10%
- Individual clients
- 326reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,119reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.0M for 121 clientsreported
- 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
Left, latest
- M•••••• M•••••• M•••• to C•••••••Mar 28, 2024 · Other
- G••••••• P•••• S••••• to C•••••••Mar 28, 2024 · Other
- S•••••• K••••••• M••••• to C•••••••Mar 28, 2024 · Other
- M•••••• A•• K••••• to C•••••••Mar 28, 2024 · Other
- A••••• K••••••• F•••• C••••• to C•••••••Mar 28, 2024 · Other
- M•••••• T••••• C•••• to C•••••••Mar 28, 2024 · Other
- S•••••• E•••••••• R••• to C•••••••Mar 28, 2024 · Other
- K••• E••••• H•••• to C•••••••Mar 28, 2024 · Other
- R••• E••• C•••••• to C•••••••Mar 28, 2024 · Other
- V••• H•••• N••••• to C•••••••Mar 28, 2024 · Other
- C•••••• H••••• to C•••••••Mar 28, 2024 · Other
- A•••••• S•••• D•••• to E••••••••• W••••• A•••••••• L••Sep 27, 2022 · RIA to RIA
- T••••• S••••• to B••••••• R••••••••• A•••••••• L••Apr 11, 2022 · RIA to RIA
- T••• W•••••• C••••• to I••••••• F••Feb 15, 2021 · RIA to RIA
- S•••••• E••••• K•••• to T••••• F••••••••Jan 26, 2021 · RIA to a state-registered adviser
Joined, latest
- T••••• S••••• from L•• F•••••••• L••Jun 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- R••• E••• C•••••• from G•••••••• W••••• M••••••••• L••Aug 4, 2020 · Other
- M•••••• A•• K••••• from K•• F•••••••• S•••••••• I••Dec 6, 2017 · Other
- A•••• L•••• G••• from E•••••••• W••••• M•••••••••Nov 13, 2015 · Other
- K••••••• E•••••••• V••••• from S•••••• A•••• M••••••••• L••Aug 20, 2015 · Other
- S•••• A••• P••••• from L•••••• C•••••• M••••••••• I•••Dec 10, 2013 · Other
- J••• R••• H•••• from P•••••• C••••• S•••••••• L••Oct 4, 2013 · Other
- T••• W•••••• C••••• from P•••••• W••• F•••••••• C••••••••• I••Feb 7, 2012 · Other
- S•••••• E••••• K•••• from H•••••• H•••••••Feb 1, 2012 · Other
- D•••• G••• G••••••• from D••• D••••••• • C••Feb 1, 2012 · Other
- B•••• J•••• C••• from A••••••••• F•••••••• S•••••••• L••Nov 29, 2011 · Other
- L••• M•••• C••••••• from E• R•••• I••••••••• L••Sep 9, 2011 · Other
- M•••••• M•••••• M•••• from L•• F•••••••• L••Nov 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• M••••••• M•••••• · Membercontrolsince 07/2005 · owns 50% to 75%
- S•••••• G•••••••• P•••• · Member, Chief Compliance Officersince 04/2014 · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••••••investment advisernRAUM $1237B
- C••••••• Financial A••••••Sbroker-dealernRAUM $116B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueJun 1, 2023 to Dec 7, 2023
- Related broker-dealer · false to trueJun 1, 2023 to Dec 7, 2023
- Accounts · 1,004 to 1,119Oct 31, 2022 to Mar 27, 2023
- c•••••s corporations · 126 to 142Oct 31, 2022 to Mar 27, 2023
- c•••••s hnw individuals · 73 to 69Oct 31, 2022 to Mar 27, 2023
- c•••••s individuals · 306 to 326Oct 31, 2022 to Mar 27, 2023
- Assets in custody · $63.1M to $66.0MOct 31, 2022 to Mar 27, 2023
- Employees · 19 to 16Oct 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $887M to $874MOct 31, 2022 to Mar 27, 2023
- HNW RAUM · $140M to $124MOct 31, 2022 to Mar 27, 2023
- Individual RAUM · $97.7M to $94.9MOct 31, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $103M to $67.4MOct 31, 2022 to Mar 27, 2023
- RAUM · $990M to $942MOct 31, 2022 to Mar 27, 2023
- Accounts · 1,121 to 1,004Mar 31, 2021 to Mar 18, 2022
- c•••••s corporations · 128 to 126Mar 31, 2021 to Mar 18, 2022
- c•••••s hnw individuals · 88 to 73Mar 31, 2021 to Mar 18, 2022
- c•••••s individuals · 323 to 306Mar 31, 2021 to Mar 18, 2022
- Assets in custody · $77.2M to $63.1MMar 31, 2021 to Mar 18, 2022
- Employees · 26 to 19Mar 31, 2021 to Mar 18, 2022
- Discretionary RAUM · $789M to $887MMar 31, 2021 to Mar 18, 2022
- HNW RAUM · $168M to $140MMar 31, 2021 to Mar 18, 2022
- Individual RAUM · $102M to $97.7MMar 31, 2021 to Mar 18, 2022
- Non-discretionary RAUM · $69.7M to $103MMar 31, 2021 to Mar 18, 2022
- RAUM · $859M to $990MMar 31, 2021 to Mar 18, 2022
- Accounts · 1,135 to 1,121Jul 8, 2020 to Mar 31, 2021
- Advisory employees · 8 to 11Jul 8, 2020 to Mar 31, 2021
- BD registered reps · 5 to 4Jul 8, 2020 to Mar 31, 2021
- c•••••s corporations · unset to 128.0Jul 8, 2020 to Mar 31, 2021
- c•••••s hnw individuals · 85 to 88Jul 8, 2020 to Mar 31, 2021
- c•••••s individuals · 332 to 323Jul 8, 2020 to Mar 31, 2021
- c•••••s pension plans · 109.0 to unsetJul 8, 2020 to Mar 31, 2021
- Assets in custody · $76.1M to $77.2MJul 8, 2020 to Mar 31, 2021
- Employees · 29 to 26Jul 8, 2020 to Mar 31, 2021
- State-registered IARs · 9 to 11Jul 8, 2020 to Mar 31, 2021
- Discretionary RAUM · $698M to $789MJul 8, 2020 to Mar 31, 2021
- HNW RAUM · $186M to $168MJul 8, 2020 to Mar 31, 2021
- Individual RAUM · $109M to $102MJul 8, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $92.6M to $69.7MJul 8, 2020 to Mar 31, 2021
- Pension RAUM · 495244589.0 to unsetJul 8, 2020 to Mar 31, 2021
- RAUM · $791M to $859MJul 8, 2020 to Mar 31, 2021
Signals
17 dated events
- M•••••• A•• K••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- A••••• K••••••• F•••• C••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- S•••••• E•••••••• R••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- M•••••• T••••• C•••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- R••• E••• C•••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-12)Mar 28, 2024 · a•••••• firm change · fact
- V••• H•••• N••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- C•••••• H••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- M•••••• M•••••• M•••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- K••• E••••• H•••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- G••••••• P•••• S••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- S•••••• K••••••• M••••• left T•••••• F•••••••• for C••••••• (registered 2023-12-07)Mar 28, 2024 · a•••••• firm change · fact
- T•••••• F••••••••'s a••••••s moved to C••••••• (Bellevue, WA): 11 of 11 registered, on the same dayMar 28, 2024 · Firm absorbed (people side) · derived
- R•••••• S••••• H••••• (Member) no longer on Schedule A of T•••••• F•••••••• (listed 2022-03-18, absent 2022-10-31)Oct 31, 2022 · Control person left · inference
- A•••••• S•••• D•••• left T•••••• F•••••••• for E••••••••• W••••• A•••••••• L•• (registered 2024-08-23)Sep 27, 2022 · a•••••• firm change · fact
- T••••• S••••• left T•••••• F•••••••• for B••••••• R••••••••• A•••••••• L•• (registered 2023-01-25)Apr 11, 2022 · a•••••• firm change · fact
- W•••••• T••• C••••• (Member, Chief Compliance Officer) no longer on Schedule A of T•••••• F•••••••• (listed 2020-07-02, absent 2020-07-08)Jul 8, 2020 · Control person left · inference
- T•••••• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 11, 2014 · Succession (Item 4) · 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