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•• M••••• F••• S••••

Former SEC-registered adviserOverland Park, KansasCRD 159152SEC 801-72832IAPD
Legal name T•• M••••• F••• S••••••••• L••
Latest filing May 4, 2015
First filing on the tape Dec 16, 2011 · 19 filings
RAUM
$44.8M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$44.8M as of Mar 24, 2015
Mar 29, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 24, 2015
Mar 29, 20120 then
Employees (5.A)4 as of Mar 24, 2015
Mar 12, 20132 then
Private funds: no history
RAUM +54% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 4, 2015; every figure names its basis
RAUM per advisor
$14.9MderivedRAUM 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
$99,951derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+54%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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
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
448reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••••• E•••••• R•••••• · Chief Operating Officercontrol
    since 09/2012 · owns less than 5%
  • B•••• A•••• S••••• · Chairmancontrol
    since 02/2012 · owns less than 5%
  • B•••••• C•••••••• M••••• · Chief Compliance Officercontrol
    since 09/2011 · owns less than 5%
  • B••••• J•••• B•••••• · Chief Executive Officercontrol
    since 02/2012 · owns less than 5%
  • S••••• R••••••• · Chief Financial Officercontrol
    since 09/2014 · owns less than 5%
Entity owners
  • T••• H•••••••• L•• · Sole Member
    direct · owns 75% or more
  • K••••• C••• 7•• A••••••••• C••••••••• · Member
    indirect · owns 50% to 75% of K••••• C••• 7•• A••••••••• L••
  • K••••• C••• 7•• A••••••••• L•• · Member
    indirect · owns 75% or more of T••• H•••••••• L••
  • W•••••• P••••• P•••••• E••••• X• L••• · Shareholder
    indirect · owns 75% or more of K••••• C••• 7•• A••••••••• C•••••••••
  • W•••••• P••••• X• L••• · General Partner
    indirect · owns F of W•••••• P••••• P•••••• E••••• X• L•••
Related persons
Schedule D 7.A
Advisers that list T•• M••••• F••• S•••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Alpharetta, GA
  • Atlanta, GA
  • Buford, GA
  • Marietta, GA
What changed
consecutive filings, newest first
  • Accounts · 389 to 448
    Dec 15, 2014 to Mar 24, 2015
  • Discretionary RAUM · $37.8M to $44.8M
    Dec 15, 2014 to Mar 24, 2015
  • RAUM · $37.8M to $44.8M
    Dec 15, 2014 to Mar 24, 2015
  • Accounts · 313 to 389
    Jun 16, 2014 to Jul 23, 2014
  • Employees · 3 to 4
    Jun 16, 2014 to Jul 23, 2014
  • Discretionary RAUM · $29.1M to $37.8M
    Jun 16, 2014 to Jul 23, 2014
  • RAUM · $29.1M to $37.8M
    Jun 16, 2014 to Jul 23, 2014
  • Accounts · 134 to 313
    Mar 25, 2013 to Mar 13, 2014
  • Advisory employees · 2 to 3
    Mar 25, 2013 to Mar 13, 2014
  • Employees · 2 to 3
    Mar 25, 2013 to Mar 13, 2014
  • State-registered IARs · 2 to 3
    Mar 25, 2013 to Mar 13, 2014
  • Discretionary RAUM · $11.6M to $29.1M
    Mar 25, 2013 to Mar 13, 2014
  • RAUM · $11.6M to $29.1M
    Mar 25, 2013 to Mar 13, 2014
  • Accounts · 0 to 134
    Jan 2, 2013 to Mar 12, 2013
  • Discretionary RAUM · $0 to $11.6M
    Jan 2, 2013 to Mar 12, 2013
  • RAUM · $0 to $11.6M
    Jan 2, 2013 to Mar 12, 2013
  • Advisory employees · unset to 2.0
    Oct 16, 2012 to Jan 2, 2013
  • Employees · unset to 2.0
    Oct 16, 2012 to Jan 2, 2013
  • State-registered IARs · 0 to 2
    Oct 16, 2012 to Jan 2, 2013
  • Business name · T•• M••••• F••• S•••• • G••••••• L•• to T•• M••••• F••• S••••
    Mar 29, 2012 to Oct 15, 2012
  • Legal name · T•• M••••• F••• S•••• • G••••••• L•• to T•• M••••• F••• S••••••••• L••
    Oct 15, 2012 to Oct 15, 2012
  • Business name · T•• M••••• F••• S•••• to T•• M••••• F••• S•••• • G••••••• L••
    Jan 9, 2012 to Mar 29, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 16, 2011 to Jan 9, 2012
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