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••••••••• C•••••• L••

Former SEC-registered adviserBradenton, FloridaCRD 149094SEC 801-69863IAPD
Latest filing Jan 22, 2018
First filing on the tape Mar 19, 2012 · 21 filings
RAUM
$123M
reported, Item 5.F
Discretionary
88%
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$123M as of Mar 27, 2017
Mar 19, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 27, 2017
Mar 19, 20133 then
Employees (5.A)7 as of Mar 27, 2017
Mar 19, 20133 then
Private funds: no history
RAUM +0.0% over the last fiscal year+5.3% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jan 22, 2018; every figure names its basis
RAUM per advisor
$30.6MderivedRAUM 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
$495,951derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 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
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
247reported
Financial planning clients
1-10reported
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
    • P••••••• G••••••• T••••• · Managing Member/Chief Compliance Officercontrol
      since 05/2010 · owns 25% to 50%
    • M••••••• K••••• D••••• · Managing Member
      since 08/2017 · owns 25% to 50%
    • W•••••••• M••••••• W•••• · Managing Member
      since 08/2017 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Sarasota, FL1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 5 to 4
      Sep 21, 2017 to Jan 22, 2018
    • Employees · 8 to 7
      Sep 21, 2017 to Jan 22, 2018
    • State-registered IARs · 5 to 4
      Sep 21, 2017 to Jan 22, 2018
    • Other offices · unset to 1.0
      Sep 21, 2017 to Jan 22, 2018
    • Related adviser · false to true
      Sep 21, 2017 to Jan 22, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 21, 2017 to Jan 22, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 21, 2017 to Jan 22, 2018
    • Business name · T••••••••• A•••• M••••••••• L•• to T••••••••• C•••••• L••
      Sep 15, 2017 to Sep 20, 2017
    • Legal name · T••••••••• A•••• M••••••••• L•• to T••••••••• C•••••• L••
      Sep 15, 2017 to Sep 20, 2017
    • Organization form · Corporation to Limited Liability Company
      Sep 15, 2017 to Sep 20, 2017
    • Business name · S••••• F•••••••• G••••• I••• to T••••••••• A•••• M••••••••• L••
      Sep 12, 2017 to Sep 13, 2017
    • Legal name · S••••• F•••••••• G••••• I••• to T••••••••• A•••• M••••••••• L••
      Sep 12, 2017 to Sep 13, 2017
    • Advisory employees · 4 to 5
      Apr 18, 2017 to Aug 25, 2017
    • Employees · 7 to 8
      Apr 18, 2017 to Aug 25, 2017
    • State-registered IARs · 4 to 5
      Apr 18, 2017 to Aug 25, 2017
    • Advisory activities · 3 to 4
      Dec 20, 2016 to Mar 27, 2017
    • Employees · 5 to 7
      Dec 20, 2016 to Mar 27, 2017
    • Advisory employees · 5 to 4
      Mar 3, 2016 to Dec 20, 2016
    • Employees · 6 to 5
      Mar 3, 2016 to Dec 20, 2016
    • State-registered IARs · 5 to 4
      Mar 3, 2016 to Dec 20, 2016
    • Accounts · 690 to 247
      Feb 24, 2015 to Mar 3, 2016
    • Advisory employees · 3 to 5
      Feb 24, 2015 to Mar 3, 2016
    • Employees · 4 to 6
      Feb 24, 2015 to Mar 3, 2016
    • State-registered IARs · 3 to 5
      Feb 24, 2015 to Mar 3, 2016
    • Discretionary RAUM · $87.0M to $108M
      Feb 24, 2015 to Mar 3, 2016
    • Non-discretionary RAUM · $20.0M to $14.5M
      Feb 24, 2015 to Mar 3, 2016
    • RAUM · $107M to $123M
      Feb 24, 2015 to Mar 3, 2016
    • Accounts · 720 to 690
      Jan 31, 2014 to Feb 24, 2015
    • Employees · 3 to 4
      Jan 31, 2014 to Feb 24, 2015
    • Discretionary RAUM · $70.0M to $87.0M
      Jan 31, 2014 to Feb 24, 2015
    • Non-discretionary RAUM · $35.0M to $20.0M
      Jan 31, 2014 to Feb 24, 2015
    • RAUM · $105M to $107M
      Jan 31, 2014 to Feb 24, 2015
    • Accounts · 534 to 720
      Oct 24, 2013 to Jan 31, 2014
    • Discretionary RAUM · $60.0M to $70.0M
      Oct 24, 2013 to Jan 31, 2014
    • Non-discretionary RAUM · $59.0M to $35.0M
      Oct 24, 2013 to Jan 31, 2014
    • RAUM · $119M to $105M
      Oct 24, 2013 to Jan 31, 2014
    • Accounts · 514 to 534
      Nov 13, 2012 to Mar 19, 2013
    • Advisory employees · 4 to 3
      Nov 13, 2012 to Mar 19, 2013
    • Employees · 4 to 3
      Nov 13, 2012 to Mar 19, 2013
    • State-registered IARs · 4 to 3
      Nov 13, 2012 to Mar 19, 2013
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026