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••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 173347SEC 801-80681websiteIAPD
Latest filing Jun 13, 2025
First filing on the tape Nov 26, 2014 · 32 filings
SEC status approved since Jan 5, 2015
RAUM
$4.7B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
94%
$4.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
35
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$4.7B as of Jun 13, 2025
Mar 23, 2016$626M then
HNW client RAUM$4.3B as of Jun 13, 2025
Mar 30, 2018$1.1B then
State-registered IARs (5.B.3)17 as of Jun 13, 2025
Mar 23, 20163 then
Employees (5.A)35 as of Jun 13, 2025
Mar 23, 20167 then
Private funds2 as of Jun 13, 2025
Mar 26, 20241 then
RAUM +17% over the last fiscal year+11% a year over threeIARs 17 to 17
Practice profile
derived from the filing of Jun 13, 2025; every figure names its basis
RAUM per advisor
$275MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$29.8MderivedHNW RAUM over HNW clients
Average account
$3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
17.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+24%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$1.7B, 196 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.3B93%
  • Charitable organizations$303M6.5%
  • Individuals$27.4M0.6%
Individual clients
116reported
HNW clients
146reported
Pension plan clients
n/areported
Charitable clients
19reported
Accounts
1,511reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 196 clientsreported
Compensation
% of AUM, 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
15 left, 0 joined in 12 months
net -15 in 12 months0 left in 90 days0 joined in 90 days17 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C•••••• G••••• E••••• F•••• L••Private Equity Fund$51.9M25Mar 26, 2024
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• C••••••• V•••• · Chief Compliance Officer; Investment Operations Directorcontrol
      since 07/2019 · owns less than 5%
    • T•••••• M••••••• P••••• · Cio, Managing Member, Partnercontrol
      since 04/2015 · owns 50% to 75%
    • V•••••• K••••• R••••••• · Managing Member; Partnercontrol
      since 10/2014 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Seattle, Wa · principal0015
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 251-500 to 251-500
      Apr 24, 2025 to Jun 13, 2025
    • Accounts · 1,124 to 1,511
      Nov 19, 2024 to Apr 24, 2025
    • Charity clients · 14 to 19
      Nov 19, 2024 to Apr 24, 2025
    • HNW clients · 136 to 146
      Nov 19, 2024 to Apr 24, 2025
    • Individual clients · 75 to 116
      Nov 19, 2024 to Apr 24, 2025
    • Assets in custody · $1.6B to $1.7B
      Nov 19, 2024 to Apr 24, 2025
    • Financial planning clients · 101-250 to 251-500
      Nov 19, 2024 to Apr 24, 2025
    • Private funds · 1 to 2
      Nov 19, 2024 to Apr 24, 2025
    • Discretionary RAUM · $2.4B to $3.0B
      Nov 19, 2024 to Apr 24, 2025
    • HNW RAUM · $3.7B to $4.3B
      Nov 19, 2024 to Apr 24, 2025
    • Individual RAUM · $15.4M to $27.4M
      Nov 19, 2024 to Apr 24, 2025
    • Non-discretionary RAUM · $1.6B to $1.7B
      Nov 19, 2024 to Apr 24, 2025
    • RAUM · $4.0B to $4.7B
      Nov 19, 2024 to Apr 24, 2025
    • Accounts · 968 to 1,124
      Jul 24, 2023 to Mar 26, 2024
    • Advisory activities · 3 to 4
      Jul 24, 2023 to Mar 26, 2024
    • Charity clients · 16 to 14
      Jul 24, 2023 to Mar 26, 2024
    • HNW clients · 133 to 136
      Jul 24, 2023 to Mar 26, 2024
    • Individual clients · 62 to 75
      Jul 24, 2023 to Mar 26, 2024
    • Assets in custody · $1.4B to $1.6B
      Jul 24, 2023 to Mar 26, 2024
    • State-registered IARs · 15 to 17
      Jul 24, 2023 to Mar 26, 2024
    • Private funds · unset to 1
      Jul 24, 2023 to Mar 26, 2024
    • Discretionary RAUM · $2.1B to $2.4B
      Jul 24, 2023 to Mar 26, 2024
    • HNW RAUM · $3.5B to $3.7B
      Jul 24, 2023 to Mar 26, 2024
    • Individual RAUM · $11.3M to $15.4M
      Jul 24, 2023 to Mar 26, 2024
    • Non-discretionary RAUM · $1.6B to $1.6B
      Jul 24, 2023 to Mar 26, 2024
    • RAUM · $3.7B to $4.0B
      Jul 24, 2023 to Mar 26, 2024
    • Accounts · 809 to 968
      Mar 31, 2022 to Mar 28, 2023
    • Advisory employees · 13 to 15
      Mar 31, 2022 to Mar 28, 2023
    • Charity clients · 11 to 16
      Mar 31, 2022 to Mar 28, 2023
    • HNW clients · 122 to 133
      Mar 31, 2022 to Mar 28, 2023
    • Individual clients · 50 to 62
      Mar 31, 2022 to Mar 28, 2023
    • Assets in custody · $1.4B to $1.4B
      Mar 31, 2022 to Mar 28, 2023
    • Employees · 32 to 35
      Mar 31, 2022 to Mar 28, 2023
    • State-registered IARs · 13 to 15
      Mar 31, 2022 to Mar 28, 2023
    • Discretionary RAUM · $2.1B to $2.1B
      Mar 31, 2022 to Mar 28, 2023
    • HNW RAUM · $3.2B to $3.5B
      Mar 31, 2022 to Mar 28, 2023
    • Individual RAUM · $9.7M to $11.3M
      Mar 31, 2022 to Mar 28, 2023
    • Non-discretionary RAUM · $1.3B to $1.6B
      Mar 31, 2022 to Mar 28, 2023
    • RAUM · $3.4B to $3.7B
      Mar 31, 2022 to Mar 28, 2023
    • Accounts · 678 to 809
      Oct 21, 2021 to Mar 31, 2022
    Signals
    27 dated events
    • T•• C•••••• G••••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $4.7B)
      Mar 2, 2026 · Left the SEC roster · derived
    • K•••• R••••••• V••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-18)
      Feb 18, 2026 · Advisor changed firm · fact
    • W•••••• S••••• S•••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-26)
      Feb 18, 2026 · Advisor changed firm · fact
    • B•••• J•••• C••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-26)
      Feb 18, 2026 · Advisor changed firm · fact
    • G••••• R••••• L••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-18)
      Feb 18, 2026 · Advisor changed firm · fact
    • S•• Y•••• S••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-05-29)
      Feb 18, 2026 · Advisor changed firm · fact
    • M•••••• P••••• T••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-19)
      Feb 18, 2026 · Advisor changed firm · fact
    • C•••••• C••••••• L••••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-09)
      Feb 18, 2026 · Advisor changed firm · fact
    • Y•••• S•••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-19)
      Feb 18, 2026 · Advisor changed firm · fact
    • S••••••••• B••••••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-04-01)
      Feb 18, 2026 · Advisor changed firm · fact
    • J••••• S••••• C••••••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-26)
      Feb 18, 2026 · Advisor changed firm · fact
    • T•••••• R••• A••••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-24)
      Feb 18, 2026 · Advisor changed firm · fact
    • S•••••••• M•••• D••••••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-26)
      Feb 18, 2026 · Advisor changed firm · fact
    • J•••••• T••••• P••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-18)
      Feb 18, 2026 · Advisor changed firm · fact
    • M•••• M••••• W•••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-18)
      Feb 18, 2026 · Advisor changed firm · fact
    • M•••• S••••• S•••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-03-02)
      Feb 11, 2026 · Advisor changed firm · fact
    • T•• C•••••• G••••• L••'s advisors moved to C••••••••• C••••••••• A••••••• S•••••••• (Seattle, WA): 15 of 15 registered, within 7 days
      Feb 11, 2026 · Firm absorbed (people side) · derived
    • M•••••• D•••• M••••• left T•• C•••••• G••••• L•• for B••••••• W••••• A•••••••• L•• (registered 2025-04-09)
      Mar 20, 2025 · Advisor changed firm · fact
    • J••••• N••••• L••••••• left T•• C•••••• G••••• L•• for M••••• G••••• A••••••• I••• (registered 2024-06-03)
      May 13, 2024 · Advisor changed firm · fact
    • N••• J••••• R••• left T•• C•••••• G••••• L•• for A••••• A•• P••••••• S••••••• (registered 2023-10-03)
      Sep 7, 2023 · Advisor changed firm · fact
    • A•••••• J••••• S••••• left T•• C•••••• G••••• L•• for C••••••• P••••••• (registered 2023-04-03)
      Mar 13, 2023 · Advisor changed firm · fact
    • T•• C•••••• G••••• L•• reported RAUM $2.8B, up 38% from $2.0B (2020-11-13 to 2021-03-29)
      Mar 29, 2021 · RAUM change · derived
    • T•• C•••••• G••••• L•• reported RAUM $2.0B, up 46% from $1.4B (2019-08-06 to 2020-03-30)
      Mar 30, 2020 · RAUM change · derived
    • Luzier Chelsea Brenegan (Chief Compliance Officer; Investment Operations Director) appeared on Schedule A of T•• C•••••• G••••• L••
      Aug 6, 2019 · Control person joined · fact
    • Ann Karen Obrietan (Partner, Coo, Cco) no longer on Schedule A of T•• C•••••• G••••• L•• (listed 2019-03-29, absent 2019-06-28)
      Jun 28, 2019 · Control person left · inference
    • T•• C•••••• G••••• L•• reported RAUM $1.1B, up 59% from $714.7M (2017-04-05 to 2018-03-30)
      Mar 30, 2018 · RAUM change · derived
    • S••••• F••••• O••••• filed its initial SEC registration (Form ADV)
      Nov 26, 2014 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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