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•••••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 28, 2013 · 23 filings
SEC status approved since Jan 6, 2014
RAUM
$569M
reported, Item 5.F
Discretionary
28%
of RAUM
Private clients
81%
$460M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$569M as of Mar 31, 2026
Jan 6, 2014$100M then
HNW client RAUM$460M as of Mar 31, 2026
Mar 30, 2018$49.9M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 6, 20140 then
Employees (5.A)2 as of Mar 31, 2026
Jan 6, 20144 then
Private funds: no history
RAUM +83% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $57.5MderivedHNW RAUM over HNW clients
- Average account
- $28.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +83%derivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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
- High-net-worth individuals$460M81%
- Charitable organizations$110M19%
- Individual clients
- n/areported
- HNW clients
- 8reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• M••••••• S••• · Chief Compliance Officer/ Managing Directorcontrolsince 08/2013 · 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.
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 31, 2026peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 39.0% to 19.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing Mar 31, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-11-17, no on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing Mar 31, 2026financial planning (Item 5.G.1): no on the filing of 2025-11-17, yes on the filing of 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 61.0% to 81.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 6.0% to 28.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 61.0% to 81.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $310,710,759 to $569,438,290 (+83.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +16.0% (1385 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 20Nov 17, 2025 to Mar 31, 2026
- Charity clients · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- Corporate clients · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- HNW clients · 7 to 8Nov 17, 2025 to Mar 31, 2026
- Individual clients · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- Pension plan clients · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Nov 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $19.8M to $157MNov 17, 2025 to Mar 31, 2026
- HNW RAUM · $190M to $460MNov 17, 2025 to Mar 31, 2026
- Individual RAUM · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $291M to $412MNov 17, 2025 to Mar 31, 2026
- Pension RAUM · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 0.0 to unsetNov 17, 2025 to Mar 31, 2026
- RAUM · $311M to $569MNov 17, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0May 2, 2025 to Nov 17, 2025
- HNW clients · 5 to 7Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $22.2M to $19.8MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $143M to $190MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $226M to $291MMar 29, 2024 to Mar 31, 2025
- RAUM · $248M to $311MMar 29, 2024 to Mar 31, 2025
- Accounts · 12 to 10Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $61.0M to $22.2MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $111M to $143MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $182M to $226MMar 31, 2023 to Mar 29, 2024
- RAUM · $243M to $248MMar 31, 2023 to Mar 29, 2024
- Accounts · 16 to 12Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Mar 31, 2022 to Mar 31, 2023
- HNW clients · 7 to 5Mar 31, 2022 to Mar 31, 2023
- Employees · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $93.1M to $61.0MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $123M to $111MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $173M to $182MMar 31, 2022 to Mar 31, 2023
- RAUM · $266M to $243MMar 31, 2022 to Mar 31, 2023
- Accounts · 13 to 16Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 2 to 1Mar 31, 2021 to Mar 31, 2022
- Charity clients · unset to 0.0Mar 31, 2021 to Mar 31, 2022
- HNW clients · 5 to 7Mar 31, 2021 to Mar 31, 2022
- Employees · 2 to 1Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $83.2M to $93.1MMar 31, 2021 to Mar 31, 2022
Signals
4 dated events
- T•••••••• P•••••••• L•• reported RAUM $569.4M, up 83% from $310.7M (2025-11-17 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Garrett Brandon Pevnick (Director) no longer on Schedule A of T•••••••• P•••••••• L•• (listed 2020-09-15, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Garrett Brandon Pevnick (Director) appeared on Schedule A of T•••••••• P•••••••• L••Sep 14, 2020 · Control person joined · fact
- T•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Aug 28, 2013 · 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 phone
- 312-283-3697reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- T••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-283-3697reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026