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•• M•••• A•••••• G••••• L••
Latest filing Mar 26, 2024
First filing on the tape Apr 25, 2017 · 13 filings
SEC status approved since May 5, 2017
RAUM
$281M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
88%
$248M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$281M as of Mar 26, 2024
Mar 22, 2018$134M then
HNW client RAUM$200M as of Mar 26, 2024
Mar 22, 2018$76.2M then
State-registered IARs (5.B.3)3 as of Mar 26, 2024
Mar 22, 20182 then
Employees (5.A)4 as of Mar 26, 2024
Mar 22, 20184 then
Private funds: no history
RAUM +13% over the last fiscal year+0.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- $93.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $421,419derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 12%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $229MreportedItem 5.I
- Custody
- $56.3M, 111 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M71%
- Individuals$47.6M17%
- Pension and profit-sharing plans$31.9M11%
- Charitable organizations$1.0M0.4%
- Individual clients
- 135reported
- HNW clients
- 58reported
- Pension plan clients
- 15reported
- Charitable clients
- 3reported
- Accounts
- 666reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $56.3M for 111 clientsreported
- 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
Left, latest
- J•••• R••••• M•••• to B•• A•••••••• L••Mar 27, 2025 · RIA to RIA
- P••• T•••••• M•••• to B•• A•••••••• L••Mar 27, 2025 · Other
- T•••• D••••• D•••••• K•••• to B•• A•••••••• L••Feb 7, 2025 · RIA to a newly registered adviser
- B•••• A••••• P•••• to P•••• W••••• M•••••••••Aug 26, 2021 · RIA to RIA
Joined, latest
- T•••• D••••• D•••••• K•••• from V••••••• A•••••••• I•••May 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••• A••••• P•••• from K••••• A••••••• S•••••••• L••Jul 30, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••••• M•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 20, 2015 · Other
- P••• T•••••• M•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 13, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•• A•••••••• L••Mar 27, 2025 · Columbus, Ga
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 16, 2015 · Columbus, Ga
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• J••••• R••••• · Chief Compliance Officer, Operations Managercontrolsince 05/2015 · owns less than 5%
- M••••• P•••• T•••••• · Managing Member, President, Chief Investment Officercontrolsince 12/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbus, Ga · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 618 to 666Dec 11, 2023 to Mar 26, 2024
- Charity clients · 4 to 3Dec 11, 2023 to Mar 26, 2024
- HNW clients · 65 to 58Dec 11, 2023 to Mar 26, 2024
- Individual clients · 134 to 135Dec 11, 2023 to Mar 26, 2024
- Assets in custody · $64.4M to $56.3MDec 11, 2023 to Mar 26, 2024
- Discretionary RAUM · $197M to $229MDec 11, 2023 to Mar 26, 2024
- HNW RAUM · $174M to $200MDec 11, 2023 to Mar 26, 2024
- Individual RAUM · $44.5M to $47.6MDec 11, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $50.3M to $51.7MDec 11, 2023 to Mar 26, 2024
- Pension RAUM · $28.2M to $31.9MDec 11, 2023 to Mar 26, 2024
- RAUM · $247M to $281MDec 11, 2023 to Mar 26, 2024
- Accounts · 584 to 618Mar 30, 2022 to Mar 29, 2023
- HNW clients · 63 to 65Mar 30, 2022 to Mar 29, 2023
- Individual clients · 123 to 134Mar 30, 2022 to Mar 29, 2023
- Pension plan clients · 14 to 15Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $19.0M to $64.4MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $198M to $197MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $170M to $174MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $45.0M to $44.5MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $48.7M to $50.3MMar 30, 2022 to Mar 29, 2023
- Pension RAUM · $30.8M to $28.2MMar 30, 2022 to Mar 29, 2023
- RAUM · $247M to $247MMar 30, 2022 to Mar 29, 2023
- Accounts · 600 to 584Aug 26, 2021 to Mar 30, 2022
- Charity clients · 3 to 4Aug 26, 2021 to Mar 30, 2022
- HNW clients · 76 to 63Aug 26, 2021 to Mar 30, 2022
- Individual clients · 156 to 123Aug 26, 2021 to Mar 30, 2022
- Assets in custody · $116M to $19.0MAug 26, 2021 to Mar 30, 2022
- Employees · 5 to 4Aug 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $221M to $198MAug 26, 2021 to Mar 30, 2022
- HNW RAUM · $177M to $170MAug 26, 2021 to Mar 30, 2022
- Individual RAUM · $62.8M to $45.0MAug 26, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $52.8M to $48.7MAug 26, 2021 to Mar 30, 2022
- Pension RAUM · $33.7M to $30.8MAug 26, 2021 to Mar 30, 2022
- RAUM · $274M to $247MAug 26, 2021 to Mar 30, 2022
- Other offices · 1 to 0Apr 29, 2021 to Aug 26, 2021
- Accounts · 524 to 600Jun 30, 2020 to Mar 31, 2021
- HNW clients · 39 to 76Jun 30, 2020 to Mar 31, 2021
- Individual clients · 126 to 156Jun 30, 2020 to Mar 31, 2021
- Assets in custody · $132M to $116MJun 30, 2020 to Mar 31, 2021
- Employees · 4 to 5Jun 30, 2020 to Mar 31, 2021
Signals
6 dated events
- T•• M•••• A•••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $280.7M)May 2, 2025 · Left the SEC roster · derived
- P••• T•••••• M•••• left T•• M•••• A•••••• G••••• L•• for B•• A•••••••• L•• (registered 2024-07-23)Mar 27, 2025 · a•••••• firm change · fact
- J•••• R••••• M•••• left T•• M•••• A•••••• G••••• L•• for B•• A•••••••• L•• (registered 2024-08-15)Mar 27, 2025 · a•••••• firm change · fact
- 2 advisors left T•• M•••• A•••••• G••••• L•• (Columbus, GA) for B•• A•••••••• L•• on the same dayMar 27, 2025 · Team lift-out · derived
- T•••• D••••• D•••••• K•••• left T•• M•••• A•••••• G••••• L•• for B•• A•••••••• L•• (registered 2024-07-10)Feb 7, 2025 · a•••••• firm change · fact
- T•• M•••• A•••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 25, 2017 · 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