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••••• I••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape May 13, 2021 · 14 filings
SEC status approved since Jun 11, 2021
RAUM
$194M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$194M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$64.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$194M as of Mar 2, 2026
Feb 7, 2022$146M then
HNW client RAUM$110M as of Mar 2, 2026
Feb 7, 2022$113M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Feb 7, 20223 then
Employees (5.A)3 as of Mar 2, 2026
Feb 7, 20223 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $932,887derivedHNW RAUM over HNW clients
- Average account
- $369,253derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $71.2M, 179 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)
- 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$110M57%
- Individuals$83.8M43%
- Individual clients
- 54reported
- HNW clients
- 118reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 525reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.2M for 179 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• E••••• T••••• | Park Ridge, Il | Jun 15, 2012 | 41 y | 1 |
| P••••• P••• T••••• | Park Ridge, Il | Jul 20, 2012 | 32 y | 2 |
| I•• M• K•• | Park Ridge, Il | Sep 25, 2012 | 15 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 headcount1 left over 36 months
Left, latest
- G••• J••••• S•••••••• to V•••• W••••• M••••••••• L••Jan 25, 2024 · Other
- S••• S•••••••• L••••••• to R•••••• J•••• • A••••••••• I•••Mar 13, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- G••• J••••• S•••••••• from U••• F•••••••• A•••••••Sep 9, 2013 · RIA to RIA
- P••••• P••• T••••• from R••••• W• B•••• • C•• I•••••••••Jul 20, 2012 · Other
- P••••• E••••• T••••• from T••••• C•••••• M••••••••• L••Jun 15, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• P•••••• P••• · Managing Membercontrolsince 07/2012 · owns 75% or more
- K••• I••• M• · Vice Presidentsince 03/2023 · owns less than 5%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 04/2012 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Park Ridge, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 507 to 525Nov 4, 2025 to Mar 2, 2026
- HNW clients · 49 to 118Nov 4, 2025 to Mar 2, 2026
- Individual clients · 109 to 54Nov 4, 2025 to Mar 2, 2026
- Assets in custody · $90.4M to $71.2MNov 4, 2025 to Mar 2, 2026
- Discretionary RAUM · $156M to $176MNov 4, 2025 to Mar 2, 2026
- HNW RAUM · $99.5M to $110MNov 4, 2025 to Mar 2, 2026
- Individual RAUM · $73.8M to $83.8MNov 4, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $17.3M to $18.3MNov 4, 2025 to Mar 2, 2026
- RAUM · $173M to $194MNov 4, 2025 to Mar 2, 2026
- Accounts · 517 to 507Oct 2, 2024 to Feb 25, 2025
- HNW clients · 46 to 49Oct 2, 2024 to Feb 25, 2025
- Individual clients · 121 to 109Oct 2, 2024 to Feb 25, 2025
- Assets in custody · $97.8M to $90.4MOct 2, 2024 to Feb 25, 2025
- Financial planning clients · 101-250 to 101-250Oct 2, 2024 to Feb 25, 2025
- Discretionary RAUM · $140M to $156MOct 2, 2024 to Feb 25, 2025
- HNW RAUM · $87.3M to $99.5MOct 2, 2024 to Feb 25, 2025
- Individual RAUM · $68.8M to $73.8MOct 2, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $15.7M to $17.3MOct 2, 2024 to Feb 25, 2025
- RAUM · $156M to $173MOct 2, 2024 to Feb 25, 2025
- Accounts · 463 to 517Nov 7, 2023 to Feb 13, 2024
- Advisory activities · 3 to 2Nov 7, 2023 to Feb 13, 2024
- HNW clients · 38 to 46Nov 7, 2023 to Feb 13, 2024
- Individual clients · 128 to 121Nov 7, 2023 to Feb 13, 2024
- Assets in custody · $83.9M to $97.8MNov 7, 2023 to Feb 13, 2024
- Discretionary RAUM · $118M to $140MNov 7, 2023 to Feb 13, 2024
- HNW RAUM · $97.7M to $87.3MNov 7, 2023 to Feb 13, 2024
- Individual RAUM · $34.1M to $68.8MNov 7, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $14.2M to $15.7MNov 7, 2023 to Feb 13, 2024
- RAUM · $132M to $156MNov 7, 2023 to Feb 13, 2024
- Accounts · 431 to 463Jan 26, 2023 to Mar 2, 2023
- HNW clients · 43 to 38Jan 26, 2023 to Mar 2, 2023
- Individual clients · 111 to 128Jan 26, 2023 to Mar 2, 2023
- Pension plan clients · 4 to 0Jan 26, 2023 to Mar 2, 2023
- Assets in custody · $89.8M to $83.9MJan 26, 2023 to Mar 2, 2023
- Discretionary RAUM · $129M to $118MJan 26, 2023 to Mar 2, 2023
- HNW RAUM · $113M to $97.7MJan 26, 2023 to Mar 2, 2023
- Individual RAUM · $29.5M to $34.1MJan 26, 2023 to Mar 2, 2023
- Non-discretionary RAUM · $16.5M to $14.2MJan 26, 2023 to Mar 2, 2023
- Pension RAUM · 3267829.0 to unsetJan 26, 2023 to Mar 2, 2023
- RAUM · $146M to $132MJan 26, 2023 to Mar 2, 2023
Signals
2 dated events
- G••• J••••• S•••••••• left T••••• I••••••••• L•• for V•••• W••••• M••••••••• L•• (registered 2014-01-13)Jan 25, 2024 · Advisor changed firm · fact
- T••••• I••••••••• L•• filed its initial SEC registration (Form ADV)May 13, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ian@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- phil@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 773-698-6862reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-962-4920reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/tetleyinvestments/.comreportedpublic record, Form ADV, Sep 18, 2026
- Website
- T•••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 773-698-6862reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- tetleyinvestments.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- tetleyinvestments.com/advisorsreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $64.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026