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•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••

Former SEC-registered adviserBethesda, MarylandCRD 169727SEC 801-78844IAPD
Latest filing Jul 15, 2024
First filing on the tape Nov 15, 2013 · 40 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.2B as of Mar 14, 2024
Apr 1, 2014$100M then
HNW client RAUM$129M as of Mar 14, 2024
Mar 28, 2018$14.6M then
State-registered IARs (5.B.3)9 as of Mar 14, 2024
Apr 1, 20142 then
Employees (5.A)18 as of Mar 14, 2024
Apr 1, 20145 then
Private funds: no history
RAUM +46% over the last fiscal year+20% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Jul 15, 2024; every figure names its basis
RAUM per advisor
$131MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
82%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+46%derivedbetween the last two annual amendments
Advisor growth, one year
+13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$975M82%
  • High-net-worth individuals$129M11%
  • Individuals$59.8M5.1%
  • Corporations and businesses$19.1M1.6%
Individual clients
213reported
HNW clients
59reported
Pension plan clients
167reported
Charitable clients
0reported
Accounts
781reported
Financial planning clients
26-50reported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• T•••••• L•••• · Ceo/Presidentcontrol
      since 08/2021 · owns less than 5%
    • E••••••• L•••• K•• · Chief Compliance Officercontrol
      since 08/2021 · owns less than 5%
    • H•••• B•••••••• L••••• · Chief Financial Officercontrol
      since 08/2021 · owns less than 5%
    • S••••• C••••••••• M•••••• · Vice President/Managing Partnercontrol
      since 08/2021 · owns less than 5%
    Entity owners
    • T•• B•••••• G•••• F•••••••• S••••••• H•••••••• L•• · Owner
      direct · owns 75% or more
    • T•• B•••••• G•••• I•••••••• A••••••• S•••••••• H•••••••• L•• · Indirect Owner
      indirect · owns 75% or more of T•• B•••••• G•••• S••••••••• L••
    • T•• B•••••• G•••• S••••••••• L•• · Indirect Owner
      indirect · owns 75% or more of T•• B•••••• G•••• F•••••••• S••••••• H•••••••• L••
    • T•• B•••••• I•••••••• G•••• H•••••••• L•• · Indirect Owner
      indirect · owns 75% or more of T•• B•••••• G•••• I•••••••• A••••••• S•••••••• H•••••••• L••
    • T•• B•••••• I•••••••• G••••• I••• · Indirect Owner
      indirect · owns 25% to 50% of T•• B•••••• I•••••••• G•••• H•••••••• L•• · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Bethesda, Md · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 702 to 781
      Oct 6, 2023 to Mar 14, 2024
    • BD registered reps · 10 to 8
      Oct 6, 2023 to Mar 14, 2024
    • Corporate clients · 4 to 3
      Oct 6, 2023 to Mar 14, 2024
    • HNW clients · 40 to 59
      Oct 6, 2023 to Mar 14, 2024
    • Individual clients · 221 to 213
      Oct 6, 2023 to Mar 14, 2024
    • Pension plan clients · 155 to 167
      Oct 6, 2023 to Mar 14, 2024
    • Employees · 17 to 18
      Oct 6, 2023 to Mar 14, 2024
    • State-registered IARs · 8 to 9
      Oct 6, 2023 to Mar 14, 2024
    • Discretionary RAUM · $808M to $1.2B
      Oct 6, 2023 to Mar 14, 2024
    • HNW RAUM · $70.7M to $129M
      Oct 6, 2023 to Mar 14, 2024
    • Individual RAUM · $64.6M to $59.8M
      Oct 6, 2023 to Mar 14, 2024
    • Non-discretionary RAUM · $117,207 to $157,898
      Oct 6, 2023 to Mar 14, 2024
    • Pension RAUM · $656M to $975M
      Oct 6, 2023 to Mar 14, 2024
    • RAUM · $808M to $1.2B
      Oct 6, 2023 to Mar 14, 2024
    • Related broker-dealer · false to true
      Oct 6, 2023 to Mar 14, 2024
    • Advisory employees · 16 to 17
      Jun 16, 2023 to Oct 6, 2023
    • Employees · 16 to 17
      Jun 16, 2023 to Oct 6, 2023
    • Accounts · 610 to 702
      Nov 15, 2022 to Mar 30, 2023
    • Advisory employees · 10 to 16
      Nov 15, 2022 to Mar 30, 2023
    • BD registered reps · 6 to 10
      Nov 15, 2022 to Mar 30, 2023
    • Corporate clients · 5 to 4
      Nov 15, 2022 to Mar 30, 2023
    • HNW clients · 54 to 40
      Nov 15, 2022 to Mar 30, 2023
    • Individual clients · 175 to 221
      Nov 15, 2022 to Mar 30, 2023
    • Pension plan clients · 125 to 155
      Nov 15, 2022 to Mar 30, 2023
    • Employees · 11 to 16
      Nov 15, 2022 to Mar 30, 2023
    • State-registered IARs · 5 to 8
      Nov 15, 2022 to Mar 30, 2023
    • Other offices · 1 to 0
      Nov 15, 2022 to Mar 30, 2023
    • Discretionary RAUM · $757M to $808M
      Nov 15, 2022 to Mar 30, 2023
    • HNW RAUM · $78.1M to $70.7M
      Nov 15, 2022 to Mar 30, 2023
    • Individual RAUM · $52.3M to $64.6M
      Nov 15, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · $118,930 to $117,207
      Nov 15, 2022 to Mar 30, 2023
    • Pension RAUM · $607M to $656M
      Nov 15, 2022 to Mar 30, 2023
    • RAUM · $757M to $808M
      Nov 15, 2022 to Mar 30, 2023
    • Accounts · 382 to 610
      Jan 13, 2022 to Mar 26, 2022
    • Advisory employees · 8 to 10
      Jan 13, 2022 to Mar 26, 2022
    • BD registered reps · 9 to 6
      Jan 13, 2022 to Mar 26, 2022
    • Corporate clients · 7 to 5
      Jan 13, 2022 to Mar 26, 2022
    • HNW clients · 50 to 54
      Jan 13, 2022 to Mar 26, 2022
    • Individual clients · 170 to 175
      Jan 13, 2022 to Mar 26, 2022
    • Pension plan clients · 154 to 125
      Jan 13, 2022 to Mar 26, 2022
    Signals
    17 dated events
    • T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••'s advisors moved to T•• B•••••• G•••• W••••• A•••••••• L•• (Bethesda, MD): 9 of 11 registered, a day apart
      Oct 4, 2024 · Firm absorbed (people side) · derived
    • T•••••• J••• S••••• left T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• for L••••• E••• A••••••• (registered 2025-01-18)
      May 1, 2024 · Advisor changed firm · fact
    • T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• reported RAUM $1.2B, up 46% from $807.7M (2023-10-06 to 2024-03-14)
      Mar 14, 2024 · RAUM change · derived
    • Lowry Loper B•••••• (Chairman) no longer on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• (listed 2021-08-30, absent 2021-09-24)
      Sep 24, 2021 · Control person left · inference
    • D••••• G•••••••• (Chief Operating Officer) no longer on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• (listed 2021-08-30, absent 2021-09-24)
      Sep 24, 2021 · Control person left · inference
    • C••••••••• S••••••• (Chief Legal Officer) no longer on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• (listed 2021-08-30, absent 2021-09-24)
      Sep 24, 2021 · Control person left · inference
    • B••••••• H••• (Chief Financial Officer) appeared on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••
      Sep 24, 2021 · Control person joined · fact
    • Lowry Loper B•••••• (Chairman) appeared on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••
      Aug 2, 2021 · Control person joined · fact
    • T••••• B•••••• (Ceo/President) appeared on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••
      Aug 2, 2021 · Control person joined · fact
    • D••••• G•••••••• (Chief Operating Officer) appeared on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••
      Aug 2, 2021 · Control person joined · fact
    • Kim Lisa Estrada (Chief Compliance Officer) appeared on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••
      Aug 2, 2021 · Control person joined · fact
    • Francis Kevin Fitzpatrick (Member) no longer on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• (listed 2021-04-02, absent 2021-08-02)
      Aug 2, 2021 · Control person left · inference
    • Anthony Joseph Apa (Member) no longer on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• (listed 2021-04-02, absent 2021-08-02)
      Aug 2, 2021 · Control person left · inference
    • C••••••••• S••••••• (Chief Legal Officer) appeared on Schedule A of T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L••
      Aug 2, 2021 · Control person joined · fact
    • T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• reported RAUM $682.6M, up 45% from $470.7M (2020-06-09 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • T•• C•••••• G•••• I••••••••• A••••••• S•••••••• L•• reported RAUM $470.7M, up 37% from $344.4M (2019-03-29 to 2020-04-02)
      Apr 2, 2020 · RAUM change · derived
    • B••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Nov 15, 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.
    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