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•• O•• B••••• C••

Former SEC-registered adviserTryon, North CarolinaCRD 165489SEC 801-77259IAPD
Legal name O•• B••••• I••••••••• L••
Latest filing May 22, 2013
First filing on the tape Oct 9, 2012 · 6 filings
RAUM
$177M
reported, Item 5.F
Discretionary
88%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$177M as of May 22, 2013
Oct 9, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 22, 2013
Nov 2, 20122 then
Employees (5.A)2 as of May 22, 2013
Nov 2, 20124 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 22, 2013; every figure names its basis
RAUM per advisor
$177MderivedRAUM 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
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
yesreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
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
79reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• D•••••• · Managing Member & Chief Executive Officer & Chief Compliance Officercontrol
        since 08/2012 · 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 · 0 to 79
        Nov 2, 2012 to Mar 11, 2013
      • Advisory employees · 2 to 1
        Nov 2, 2012 to Mar 11, 2013
      • Employees · 4 to 2
        Nov 2, 2012 to Mar 11, 2013
      • Financial planning clients · 0 to 51-100
        Nov 2, 2012 to Mar 11, 2013
      • State-registered IARs · 2 to 1
        Nov 2, 2012 to Mar 11, 2013
      • Discretionary RAUM · $0 to $155M
        Nov 2, 2012 to Mar 11, 2013
      • Non-discretionary RAUM · $0 to $21.9M
        Nov 2, 2012 to Mar 11, 2013
      • RAUM · $0 to $177M
        Nov 2, 2012 to Mar 11, 2013
      • Advisory employees · unset to 2.0
        Oct 9, 2012 to Nov 2, 2012
      • BD registered reps · unset to 0.0
        Oct 9, 2012 to Nov 2, 2012
      • Employees · unset to 4.0
        Oct 9, 2012 to Nov 2, 2012
      • State-registered IARs · unset to 2.0
        Oct 9, 2012 to Nov 2, 2012
      Signals
      1 dated events
      • T•• O•• B••••• C•• filed its initial SEC registration (Form ADV)
        Oct 9, 2012 · 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026