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Former SEC-registered adviser

T•• P••••••• G••••• L••

Former SEC-registered adviserRidgeland, MississippiCRD 165546SEC 801-77255IAPD
Latest filing Jul 22, 2014
First filing on the tape Oct 9, 2012 · 5 filings
RAUM
$178M
reported, Item 5.F
Discretionary
0.0%
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
5 filings and snapshots on the tape
RAUM$178M as of Mar 19, 2014
Mar 18, 2013$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2014
Mar 18, 20131 then
Employees (5.A)3 as of Mar 19, 2014
Mar 18, 20131 then
Private funds: no history
RAUM +54% over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Jul 22, 2014; every figure names its basis
RAUM per advisor
$59.2MderivedRAUM 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
$178MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
3.0derived1 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
fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • D••••••• D••••• J••••• · Managing Member/Chief Compliance Officercontrol
        since 09/2012 · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••••• T•••• C••••••• L••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 3
        Mar 24, 2014 to Jul 22, 2014
      • Employees · 3 to 4
        Mar 24, 2014 to Jul 22, 2014
      • State-registered IARs · 1 to 3
        Mar 24, 2014 to Jul 22, 2014
      • Employees · 1 to 3
        Mar 18, 2013 to Mar 19, 2014
      • Non-discretionary RAUM · $115M to $178M
        Mar 18, 2013 to Mar 19, 2014
      • RAUM · $115M to $178M
        Mar 18, 2013 to Mar 19, 2014
      • Accounts · 0 to 1
        Oct 9, 2012 to Mar 18, 2013
      • Advisory employees · unset to 1.0
        Oct 9, 2012 to Mar 18, 2013
      • BD registered reps · unset to 0.0
        Oct 9, 2012 to Mar 18, 2013
      • Employees · unset to 1.0
        Oct 9, 2012 to Mar 18, 2013
      • Insurance-licensed employees · 1 to 0
        Oct 9, 2012 to Mar 18, 2013
      • State-registered IARs · unset to 1.0
        Oct 9, 2012 to Mar 18, 2013
      • Non-discretionary RAUM · $0 to $115M
        Oct 9, 2012 to Mar 18, 2013
      • RAUM · $0 to $115M
        Oct 9, 2012 to Mar 18, 2013
      Signals
      1 dated events
      • T•• P••••••• G••••• L•• 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