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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
T•• C•••••• G••••• L••
Latest filing Apr 3, 2025
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jun 17, 2009
RAUM
$294M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$277M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$294M as of Apr 3, 2025
Mar 29, 2012$173M then
HNW client RAUM$68.7M as of Apr 3, 2025
Mar 29, 2018$212M then
State-registered IARs (5.B.3)0 as of Apr 3, 2025
Apr 1, 20130 then
Employees (5.A)4 as of Apr 3, 2025
Apr 1, 20134 then
Private funds: no history
RAUM -6.6% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 2025; every figure names its basis
- 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
- $808,330derivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%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
- -6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$209M71%
- High-net-worth individuals$68.7M23%
- Pension and profit-sharing plans$13.9M4.7%
- Corporations and businesses$2.7M0.9%
- Charitable organizations$35,3260.0%
- Individual clients
- 96reported
- HNW clients
- 85reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 194reported
- Financial planning clients
- reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- J•••• A••••• C••• to J• C•••••• A••••••• G•••• L••Apr 30, 2026 · RIA to a newly registered adviser
- T•••••• O••• M••••••• to I•• M•••••••••Apr 30, 2026 · RIA to a newly registered adviser
- T•••••• M••••••• to V•••• I••••••••• P••••••••• L••Mar 27, 2025 · RIA to RIA
Joined, latest
- J•••• A••••• C••• from A••••••••• I•••Aug 5, 2009 · Other
- T•••••• O••• M••••••• from A••••••••• I•••Aug 5, 2009 · Other
- T•••••• M••••••• from A••••••••• I•••Aug 5, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• J••••• A••••• · Managing Membercontrolsince 07/2009 · owns 25% to 50%
- M•••••••• T•••••• · Chief Compliance Officercontrolsince 08/2009 · owns 25% to 50%
- M•••••••• T••••••• O••• · Managing Membercontrolsince 06/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 612 to 194Apr 3, 2024 to Apr 3, 2025
- Advisory employees · 3 to 2Apr 3, 2024 to Apr 3, 2025
- Charity clients · 1 to 2Apr 3, 2024 to Apr 3, 2025
- Corporate clients · 16 to 7Apr 3, 2024 to Apr 3, 2025
- HNW clients · 93 to 85Apr 3, 2024 to Apr 3, 2025
- Individual clients · 178 to 96Apr 3, 2024 to Apr 3, 2025
- Pension plan clients · 19 to 4Apr 3, 2024 to Apr 3, 2025
- Financial planning clients · unset to Apr 3, 2024 to Apr 3, 2025
- Discretionary RAUM · $315M to $294MApr 3, 2024 to Apr 3, 2025
- HNW RAUM · $236M to $68.7MApr 3, 2024 to Apr 3, 2025
- Individual RAUM · $47.1M to $209MApr 3, 2024 to Apr 3, 2025
- Pension RAUM · $21.7M to $13.9MApr 3, 2024 to Apr 3, 2025
- RAUM · $315M to $294MApr 3, 2024 to Apr 3, 2025
- Accounts · 660 to 612Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 15 to 16Mar 30, 2023 to Mar 27, 2024
- HNW clients · 113 to 93Mar 30, 2023 to Mar 27, 2024
- Individual clients · 179 to 178Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 26 to 19Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $272M to $315MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $202M to $236MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $42.3M to $47.1MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $22.4M to $21.7MMar 30, 2023 to Mar 27, 2024
- RAUM · $272M to $315MMar 30, 2023 to Mar 27, 2024
- Accounts · 623 to 660Mar 30, 2022 to Mar 30, 2023
- HNW clients · 124 to 113Mar 30, 2022 to Mar 30, 2023
- Individual clients · 156 to 179Mar 30, 2022 to Mar 30, 2023
- Pension plan clients · 34 to 26Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $336M to $272MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $243M to $202MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $46.9M to $42.3MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $40.5M to $22.4MMar 30, 2022 to Mar 30, 2023
- RAUM · $336M to $272MMar 30, 2022 to Mar 30, 2023
- Accounts · 625 to 623Mar 30, 2021 to Mar 30, 2022
- Corporate clients · 10 to 15Mar 30, 2021 to Mar 30, 2022
- HNW clients · 130 to 124Mar 30, 2021 to Mar 30, 2022
- Individual clients · 212 to 156Mar 30, 2021 to Mar 30, 2022
- Pension plan clients · 16 to 34Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $288M to $336MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $199M to $243MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $50.6M to $46.9MMar 30, 2021 to Mar 30, 2022
Signals
4 dated events
- T•• C•••••• G••••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $294.1M)May 1, 2026 · Left the SEC roster · derived
- T•••••• O••• M••••••• left T•• C•••••• G••••• L•• for I•• M••••••••• (registered 2026-06-08)Apr 30, 2026 · Advisor changed firm · fact
- J•••• A••••• C••• left T•• C•••••• G••••• L•• for J• C•••••• A••••••• G•••• L•• (registered 2026-01-16)Apr 30, 2026 · Advisor changed firm · fact
- T•••••• M••••••• left T•• C•••••• G••••• L•• for V•••• I••••••••• P••••••••• L•• (registered 2025-02-05)Mar 27, 2025 · Advisor changed firm · 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