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••••••• I•••

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 282537SEC 801-112657websiteIAPD
Latest filing Nov 10, 2025
First filing on the tape Feb 16, 2018 · 28 filings
SEC status approved since Mar 16, 2018
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$101M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$102M as of Nov 10, 2025
Mar 15, 2019$103M then
HNW client RAUM$64.7M as of Nov 10, 2025
Mar 15, 2019$49.3M then
State-registered IARs (5.B.3)3 as of Nov 10, 2025
Mar 15, 20193 then
Employees (5.A)18 as of Nov 10, 2025
Mar 15, 20196 then
Private funds: no history
RAUM -30% over the last fiscal year-15% a year over threeIARs 2 to 3offices 1 to 2
Practice profile
derived from the filing of Nov 10, 2025; every figure names its basis
RAUM per advisor
$34.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$559,927derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
+50%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, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$102MreportedItem 5.I
Custody
$39.9M, 14 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
  • is an insurance broker or agent (6.A.6)
  • 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$64.7M63%
  • Individuals$36.8M36%
  • Pension and profit-sharing plans$386,3050.4%
  • Charitable organizations$34,1300.0%
  • Corporations and businesses$1,9370.0%
Individual clients
152reported
HNW clients
26reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
182reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$39.9M for 14 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
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
  • J•••••• M•••••••• D•••••• · Presidentcontrol
    since 07/2021 · owns less than 5%
  • K•••• T•••••••• S•••••• · Founder And Chief Executive Officercontrol
    since 07/2000 · owns less than 5%
  • T••••••• E••••••••• S•••• · Chief Compliance Officer & Chief Operating Officercontrol
    since 03/2024 · owns less than 5%
  • K•••• T•••••••• S•••••• · Ownercontrol
    since 12/2023 · owns 75% or more of T••••••••• C•••••• V•••••••• I•••
Entity owners
  • T••••••••• C•••••• V•••••••• I••• · Owner
    direct · 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
OfficeAdvisorsJoinedLeftTeams outForming
Longmont, Co001
Miami, Fl001
Pittsburgh, Pa · principal0021
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 3 to 4
    Mar 4, 2025 to Apr 17, 2025
  • Employees · 15 to 18
    Mar 4, 2025 to Apr 17, 2025
  • Financial planning clients · 251-500 to 251-500
    Mar 4, 2025 to Apr 17, 2025
  • State-registered IARs · 2 to 3
    Mar 4, 2025 to Apr 17, 2025
  • Other offices · 1 to 2
    Mar 4, 2025 to Apr 17, 2025
  • Accounts · 238 to 182
    Nov 8, 2024 to Mar 4, 2025
  • HNW clients · 39 to 26
    Nov 8, 2024 to Mar 4, 2025
  • Individual clients · 195 to 152
    Nov 8, 2024 to Mar 4, 2025
  • Assets in custody · $22.5M to $39.9M
    Nov 8, 2024 to Mar 4, 2025
  • Discretionary RAUM · $146M to $102M
    Nov 8, 2024 to Mar 4, 2025
  • HNW RAUM · $90.7M to $64.7M
    Nov 8, 2024 to Mar 4, 2025
  • Individual RAUM · $55.5M to $36.8M
    Nov 8, 2024 to Mar 4, 2025
  • Pension RAUM · $248,537 to $386,305
    Nov 8, 2024 to Mar 4, 2025
  • RAUM · $146M to $102M
    Nov 8, 2024 to Mar 4, 2025
  • Accounts · 254 to 238
    Dec 14, 2023 to Mar 15, 2024
  • HNW clients · 35 to 39
    Dec 14, 2023 to Mar 15, 2024
  • Individual clients · 213 to 195
    Dec 14, 2023 to Mar 15, 2024
  • Assets in custody · $12.8M to $22.5M
    Dec 14, 2023 to Mar 15, 2024
  • Employees · 12 to 15
    Dec 14, 2023 to Mar 15, 2024
  • Discretionary RAUM · $138M to $146M
    Dec 14, 2023 to Mar 15, 2024
  • HNW RAUM · $77.0M to $90.7M
    Dec 14, 2023 to Mar 15, 2024
  • Individual RAUM · $58.6M to $55.5M
    Dec 14, 2023 to Mar 15, 2024
  • Pension RAUM · $2.0M to $248,537
    Dec 14, 2023 to Mar 15, 2024
  • RAUM · $138M to $146M
    Dec 14, 2023 to Mar 15, 2024
  • Other offices · 0 to 1
    Mar 16, 2023 to Jul 13, 2023
  • Accounts · 701 to 254
    Mar 31, 2022 to Mar 16, 2023
  • Charity clients · 0.0 to unset
    Mar 31, 2022 to Mar 16, 2023
  • HNW clients · 45 to 35
    Mar 31, 2022 to Mar 16, 2023
  • Individual clients · 202 to 213
    Mar 31, 2022 to Mar 16, 2023
  • Pension plan clients · 7.0 to unset
    Mar 31, 2022 to Mar 16, 2023
  • Assets in custody · $22.4M to $12.8M
    Mar 31, 2022 to Mar 16, 2023
  • Other offices · 2 to 0
    Mar 31, 2022 to Mar 16, 2023
  • Discretionary RAUM · $165M to $138M
    Mar 31, 2022 to Mar 16, 2023
  • HNW RAUM · $102M to $77.0M
    Mar 31, 2022 to Mar 16, 2023
  • Individual RAUM · $59.1M to $58.6M
    Mar 31, 2022 to Mar 16, 2023
  • Pension RAUM · $3.1M to $2.0M
    Mar 31, 2022 to Mar 16, 2023
  • RAUM · $165M to $138M
    Mar 31, 2022 to Mar 16, 2023
  • Accounts · 715 to 701
    Jul 26, 2021 to Mar 31, 2022
  • HNW clients · 25 to 45
    Jul 26, 2021 to Mar 31, 2022
  • Individual clients · 686 to 202
    Jul 26, 2021 to Mar 31, 2022
Signals
12 dated events
  • T••••••••• C••••••• I••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $101.9M)
    Jan 2, 2026 · Left the SEC roster · derived
  • M••••• L••••• W••••••• left T••••••••• C••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-09-15)
    Dec 31, 2025 · Advisor changed firm · fact
  • J•••• L•• C•••••••• left T••••••••• C••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-09-15)
    Dec 31, 2025 · Advisor changed firm · fact
  • T••••••• S•••••• K••• left T••••••••• C••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-09-15)
    Dec 31, 2025 · Advisor changed firm · fact
  • T•••••• E••••• C••••• M•••••• left T••••••••• C••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-09-15)
    Dec 31, 2025 · Advisor changed firm · fact
  • 2 advisors left T••••••••• C••••••• I••• (Pittsburgh, PA) for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• on the same day
    Dec 31, 2025 · Team lift-out · derived
  • P••••• H••••••• left T••••••••• C••••••• I••• for S•••••• W••••• P•••••••• L•• (registered 2025-03-19)
    Feb 7, 2025 · Advisor changed firm · fact
  • Susan Elizabeth Treater (Chief Compliance Officer & Chief Operating Officer) appeared on Schedule A of T••••••••• C••••••• I•••
    Mar 15, 2024 · Control person joined · fact
  • D•••• S•••••• left T••••••••• C••••••• I••• for C••••••• F•••••••• D••••••• I••• (registered 2023-12-21)
    Jan 9, 2024 · Advisor changed firm · fact
  • D•••••• M••••••• J••••• (President And Chief Operating Officer) appeared on Schedule A of T••••••••• C••••••• I•••
    Mar 31, 2022 · Control person joined · fact
  • S•••• W••••• L•••• left T••••••••• C••••••• I••• for B••••• W••••• C••••••••• I••• (registered 2022-01-10)
    Jan 3, 2022 · Advisor changed firm · fact
  • T••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)
    Feb 16, 2018 · 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