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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SEC-registered adviser
T•••••••• • P••••••• C•••••• M••••••••• L••
Latest filing Jul 6, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Nov 25, 2009
RAUM
$314M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
24%
$74.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$314M as of Jul 6, 2026
Mar 30, 2012$146M then
HNW client RAUM$74.2M as of Jul 6, 2026
Mar 26, 2018$32.9M then
State-registered IARs (5.B.3)0 as of Jul 6, 2026
Mar 22, 20130 then
Employees (5.A)3 as of Jul 6, 2026
Mar 22, 20133 then
Private funds2 as of Jul 6, 2026
Mar 30, 20123 then
RAUM n/a over the last fiscal year+21% a year over three
Practice profile
derived from the filing of Jul 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $57.1M, 2 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$183M58%
- High-net-worth individuals$74.2M24%
- Pooled investment vehicles$57.1M18%
- Individual clients
- n/areported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 138reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.1M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.24 fund_share=0.18 institutional_share=0.58 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• T•••••••• M••••• F•••• S••••••••• M•••••• P•••••••• M••••• S••••••••• P••••••••no longer reported | Hedge Fund | $67.1M | 2 | Mar 30, 2012 |
| L••••• T•••••••• F•••• S••••••••• M•••••• P•••••••• S••••••••• P••••••••no longer reported | Hedge Fund | $53.2M | 2 | Mar 30, 2012 |
| T•••••••• • P••••••• P••••••• F•••• L•• | Hedge Fund | $30.6M | 13 | Mar 4, 2021 |
| L••••• T•••••••• G••••• M•••••• P•••••••• F•••• L•no longer reported | Hedge Fund | $951,683 | 1 | Mar 30, 2012 |
| L••••• T•••••••• M••••• F•••• S•••••• O••••• T•••••••• I••••••••• E••••• M••••• S••••••••• P••••••••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2016 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• D••••• S•••• · Managing Member Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- T••••••••• L•••••• C•••••• · Managing Membercontrolsince 11/2001 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jul 6, 2026institutional share of RAUM of 58% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 19.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 109 to 138May 1, 2025 to Mar 24, 2026
- Charity clients · 4 to 3May 1, 2025 to Mar 24, 2026
- HNW clients · 26 to 42May 1, 2025 to Mar 24, 2026
- Pooled vehicle clients · 1 to 2May 1, 2025 to Mar 24, 2026
- Assets in custody · $43.1M to $57.1MMay 1, 2025 to Mar 24, 2026
- Private funds · 1 to 2May 1, 2025 to Mar 24, 2026
- Discretionary RAUM · $229M to $243MMay 1, 2025 to Mar 24, 2026
- HNW RAUM · $91.1M to $74.2MMay 1, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $48.6M to $71.6MMay 1, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $43.1M to $57.1MMay 1, 2025 to Mar 24, 2026
- RAUM · $278M to $314MMay 1, 2025 to Mar 24, 2026
- Accounts · 79 to 109Apr 9, 2024 to May 1, 2025
- Charity clients · 3 to 4Apr 9, 2024 to May 1, 2025
- HNW clients · 27 to 26Apr 9, 2024 to May 1, 2025
- Assets in custody · $30.6M to $43.1MApr 9, 2024 to May 1, 2025
- Employees · 2 to 3Apr 9, 2024 to May 1, 2025
- Financial planning clients · unset to Apr 9, 2024 to May 1, 2025
- Discretionary RAUM · $162M to $229MApr 9, 2024 to May 1, 2025
- HNW RAUM · $66.1M to $91.1MApr 9, 2024 to May 1, 2025
- Non-discretionary RAUM · $40.8M to $48.6MApr 9, 2024 to May 1, 2025
- Pooled vehicle RAUM · $30.6M to $43.1MApr 9, 2024 to May 1, 2025
- RAUM · $202M to $278MApr 9, 2024 to May 1, 2025
- Accounts · 91 to 79Apr 24, 2023 to Mar 26, 2024
- Charity clients · unset to 3.0Apr 24, 2023 to Mar 26, 2024
- HNW clients · 28 to 27Apr 24, 2023 to Mar 26, 2024
- Assets in custody · $26.2M to $30.6MApr 24, 2023 to Mar 26, 2024
- Employees · 3 to 2Apr 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $141M to $162MApr 24, 2023 to Mar 26, 2024
- HNW RAUM · $56.0M to $66.1MApr 24, 2023 to Mar 26, 2024
- Individual RAUM · 704824.0 to unsetApr 24, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $36.7M to $40.8MApr 24, 2023 to Mar 26, 2024
- Pension RAUM · 299764.0 to unsetApr 24, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $26.2M to $30.6MApr 24, 2023 to Mar 26, 2024
- RAUM · $178M to $202MApr 24, 2023 to Mar 26, 2024
- Accounts · 75 to 91Oct 5, 2022 to Mar 30, 2023
- HNW clients · 65 to 28Oct 5, 2022 to Mar 30, 2023
- Pooled vehicle clients · 9 to 1Oct 5, 2022 to Mar 30, 2023
- Assets in custody · $24.7M to $26.2MOct 5, 2022 to Mar 30, 2023
- Employees · 2 to 3Oct 5, 2022 to Mar 30, 2023
- Discretionary RAUM · $144M to $141MOct 5, 2022 to Mar 30, 2023
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.
How to reach
public business contact points only, each with its source
- Business email
- info@templetonandphillips.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- letsconnect@templetonandphillips.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 423-826-0944reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T••••••••ANDP•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 423-826-0944reportedpublic record, Form ADV, Jul 6, 2026
- Contact form
- templetonandphillips.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
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
- Wealth manager with institutional or fund businessderiveda 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