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••
Latest filing Jun 23, 2022
First filing on the tape Mar 17, 2021 · 6 filings
RAUM
$76.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$57.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$76.3M
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
6 filings and snapshots on the tape
RAUM$76.3M as of Jun 23, 2022
Mar 17, 2021$110M then
HNW client RAUM$54.9M as of Jun 23, 2022
Mar 17, 2021$79.7M then
State-registered IARs (5.B.3)1 as of Jun 23, 2022
Mar 17, 20211 then
Employees (5.A)1 as of Jun 23, 2022
Mar 17, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 23, 2022; every figure names its basis
- RAUM per advisor
- $76.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM 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
- 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, otherreportedItem 5.G
- Custody
- $76.3M, 62 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
- High-net-worth individuals$54.9M72%
- Pooled investment vehicles$16.6M22%
- Individuals$3.0M4.0%
- Corporations and businesses$1.8M2.4%
- Individual clients
- 10reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 62reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.3M for 62 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S• C••••••Chartered Financial Analyst | Jupiter, Fl | Feb 23, 2011 | 25 y | 6 |
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
none on the tape
Joined, latest
- R••••• S• C•••••• from Q••••••• C•••••• A•••••••• I•••Feb 23, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• S• · Member/Chief Compliance Officercontrolsince 12/2010 · owns 75% or more
Related persons
Schedule D 7.A
- T••• 5•• C•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 76268266.0Mar 29, 2022 to May 18, 2022
- Custody of client assets · false to trueMar 29, 2022 to May 18, 2022
- Discretionary RAUM · $86.2M to $76.3MMar 29, 2022 to May 18, 2022
- HNW RAUM · $63.7M to $54.9MMar 29, 2022 to May 18, 2022
- Individual RAUM · $3.4M to $3.0MMar 29, 2022 to May 18, 2022
- Pooled vehicle RAUM · $16.9M to $16.6MMar 29, 2022 to May 18, 2022
- RAUM · $86.2M to $76.3MMar 29, 2022 to May 18, 2022
- Accounts · 79 to 62Mar 29, 2021 to Mar 29, 2022
- HNW clients · 23 to 18Mar 29, 2021 to Mar 29, 2022
- Individual clients · 9 to 10Mar 29, 2021 to Mar 29, 2022
- Pooled vehicle clients · 2 to 1Mar 29, 2021 to Mar 29, 2022
- Insurance-licensed employees · 1 to 0Mar 29, 2021 to Mar 29, 2022
- Financial planning clients · unset to 0Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $110M to $86.2MMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $79.7M to $63.7MMar 29, 2021 to Mar 29, 2022
- Individual RAUM · $1.8M to $3.4MMar 29, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $46,806 to $0Mar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $28.2M to $16.9MMar 29, 2021 to Mar 29, 2022
- RAUM · $110M to $86.2MMar 29, 2021 to Mar 29, 2022
Signals
1 dated events
- T•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 17, 2021 · 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.
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
- $76.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026