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••••••••• C•••••• M••••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Jan 7, 2015 · 22 filings
SEC status approved since Jan 22, 2015
RAUM
$718M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
28%
$200M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$718M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$718M as of Jun 22, 2026
Mar 29, 2016$115M then
HNW client RAUM$183M as of Jun 22, 2026
Mar 20, 2018$147M then
State-registered IARs (5.B.3)1 as of Jun 22, 2026
Mar 29, 20162 then
Employees (5.A)1 as of Jun 22, 2026
Mar 29, 20162 then
Private funds1 as of Mar 27, 2020
Mar 28, 20191 then
RAUM +1.1% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 22, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $718MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $491,171derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $4.3M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$517M72%
- High-net-worth individuals$183M26%
- Individuals$17.1M2.4%
- Individual clients
- 41reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,461reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.3M for 1 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.28 fund_share=0.72 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• W•••• S•••••Chartered Financial Analyst | Newtown, Pa | Dec 16, 2009 | 17 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- G•••••• M•••••• H•••••• to V•••••••• P•••••• W•••••• L••Nov 17, 2021 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• C•••••• W•••• · Managing Member/ Chief Compliance Officercontrolsince 09/2009 · 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.
What changed
consecutive filings, newest first
- Accounts · 1,668 to 1,461Mar 19, 2025 to Mar 6, 2026
- HNW clients · 36 to 42Mar 19, 2025 to Mar 6, 2026
- Individual clients · 40 to 41Mar 19, 2025 to Mar 6, 2026
- Assets in custody · $4.3M to $4.3MMar 19, 2025 to Mar 6, 2026
- Discretionary RAUM · $710M to $718MMar 19, 2025 to Mar 6, 2026
- HNW RAUM · $159M to $183MMar 19, 2025 to Mar 6, 2026
- Individual RAUM · $17.6M to $17.1MMar 19, 2025 to Mar 6, 2026
- RAUM · $710M to $718MMar 19, 2025 to Mar 6, 2026
- Accounts · 1,558 to 1,668Oct 22, 2024 to Mar 19, 2025
- HNW clients · 33 to 36Oct 22, 2024 to Mar 19, 2025
- Individual clients · 45 to 40Oct 22, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Oct 22, 2024 to Mar 19, 2025
- Discretionary RAUM · $633M to $710MOct 22, 2024 to Mar 19, 2025
- HNW RAUM · $124M to $159MOct 22, 2024 to Mar 19, 2025
- Individual RAUM · $18.3M to $17.6MOct 22, 2024 to Mar 19, 2025
- RAUM · $633M to $710MOct 22, 2024 to Mar 19, 2025
- Wrap assets (manager) · 142358469.0 to unsetOct 22, 2024 to Mar 19, 2025
- Wrap assets (sponsor) · 142358469.0 to unsetOct 22, 2024 to Mar 19, 2025
- Assets in custody · unset to 4267544.0May 6, 2024 to Oct 22, 2024
- Custody of client assets · false to trueMay 6, 2024 to Oct 22, 2024
- Accounts · 1,301 to 1,558Sep 14, 2023 to Mar 21, 2024
- Advisory activities · 3 to 4Sep 14, 2023 to Mar 21, 2024
- HNW clients · 28 to 33Sep 14, 2023 to Mar 21, 2024
- Individual clients · 40 to 45Sep 14, 2023 to Mar 21, 2024
- Discretionary RAUM · $510M to $633MSep 14, 2023 to Mar 21, 2024
- HNW RAUM · $94.4M to $124MSep 14, 2023 to Mar 21, 2024
- Individual RAUM · $13.0M to $18.3MSep 14, 2023 to Mar 21, 2024
- RAUM · $510M to $633MSep 14, 2023 to Mar 21, 2024
- Wrap assets (manager) · $510M to $142MSep 14, 2023 to Mar 21, 2024
- Wrap assets (sponsor) · $107M to $142MSep 14, 2023 to Mar 21, 2024
- Accounts · 1,241 to 1,301Mar 11, 2022 to Mar 27, 2023
- HNW clients · 27 to 28Mar 11, 2022 to Mar 27, 2023
- Individual clients · 38 to 40Mar 11, 2022 to Mar 27, 2023
- Discretionary RAUM · $607M to $510MMar 11, 2022 to Mar 27, 2023
- HNW RAUM · $111M to $94.4MMar 11, 2022 to Mar 27, 2023
- Individual RAUM · $15.6M to $13.0MMar 11, 2022 to Mar 27, 2023
- RAUM · $607M to $510MMar 11, 2022 to Mar 27, 2023
- Wrap assets (manager) · $248M to $510MMar 11, 2022 to Mar 27, 2023
- Wrap assets (sponsor) · $127M to $107MMar 11, 2022 to Mar 27, 2023
- Accounts · 1,060 to 1,241Mar 30, 2021 to Mar 11, 2022
Signals
3 dated events
- Michael Griffin Haviken (Managing Member, Chief Compliance Officer) no longer on Schedule A of T••••••••• C•••••• M••••••••• L•• (listed 2020-06-19, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- T••••••••• C•••••• M••••••••• L•• reported RAUM $382.1M, up 125% from $170.0M (2018-03-20 to 2018-07-27)Jul 27, 2018 · RAUM change · derived
- T••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 7, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 215-809-2000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-809-2000reportedpublic record, Form ADV, Jun 22, 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
- $718Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
T••••••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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