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•• H•••••• G••••

Former SEC-registered adviserWaltham, MassachusettsCRD 283572SEC 801-108343IAPD
Legal name T•• H•••••• G•••• W••••• M••••••••• L••
Latest filing Apr 26, 2023
First filing on the tape Aug 26, 2016 · 25 filings
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$184M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$186M as of Mar 31, 2023
Mar 2, 2017$217M then
HNW client RAUM$89.4M as of Mar 31, 2023
Mar 23, 2018$196M then
State-registered IARs (5.B.3)4 as of Mar 31, 2023
Mar 2, 20173 then
Employees (5.A)7 as of Mar 31, 2023
Mar 2, 20176 then
Private funds: no history
RAUM -24% over the last fiscal year+8.2% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Apr 26, 2023; every figure names its basis
RAUM per advisor
$46.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$286,306derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-24%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$186MreportedItem 5.I
Custody
$117M, 370 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
  • Individuals$94.9M51%
  • High-net-worth individuals$89.4M48%
  • Corporations and businesses$1.5M0.8%
Individual clients
206reported
HNW clients
69reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
649reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$117M for 370 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
Joined, 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
  • A••••••• R•••••• · Chief Compliance Officercontrol
    since 09/2016 · owns less than 5%
  • I••••••••• L•••••• E•••• · Managing Membercontrol
    since 09/2016 · owns 25% to 50%
  • I••••••••• R••••• H•••• · Managing Membercontrol
    since 09/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 918 to 649
    Oct 10, 2022 to Mar 31, 2023
  • HNW clients · 80 to 69
    Oct 10, 2022 to Mar 31, 2023
  • Individual clients · 209 to 206
    Oct 10, 2022 to Mar 31, 2023
  • Assets in custody · $10.4M to $117M
    Oct 10, 2022 to Mar 31, 2023
  • State-registered IARs · 3 to 4
    Oct 10, 2022 to Mar 31, 2023
  • Other offices · 0 to 1
    Oct 10, 2022 to Mar 31, 2023
  • Discretionary RAUM · $244M to $186M
    Oct 10, 2022 to Mar 31, 2023
  • HNW RAUM · $182M to $89.4M
    Oct 10, 2022 to Mar 31, 2023
  • Individual RAUM · $59.7M to $94.9M
    Oct 10, 2022 to Mar 31, 2023
  • Pension RAUM · 2177127.0 to unset
    Oct 10, 2022 to Mar 31, 2023
  • RAUM · $244M to $186M
    Oct 10, 2022 to Mar 31, 2023
  • Accounts · 778 to 918
    Sep 17, 2021 to Mar 17, 2022
  • BD registered reps · 5 to 4
    Sep 17, 2021 to Mar 17, 2022
  • HNW clients · 66 to 80
    Sep 17, 2021 to Mar 17, 2022
  • Individual clients · 228 to 209
    Sep 17, 2021 to Mar 17, 2022
  • Assets in custody · $8.6M to $10.4M
    Sep 17, 2021 to Mar 17, 2022
  • Employees · 6 to 7
    Sep 17, 2021 to Mar 17, 2022
  • Discretionary RAUM · $186M to $244M
    Sep 17, 2021 to Mar 17, 2022
  • HNW RAUM · $153M to $182M
    Sep 17, 2021 to Mar 17, 2022
  • Individual RAUM · $63.0M to $59.7M
    Sep 17, 2021 to Mar 17, 2022
  • Non-discretionary RAUM · $31.6M to $0
    Sep 17, 2021 to Mar 17, 2022
  • Pension RAUM · $1.8M to $2.2M
    Sep 17, 2021 to Mar 17, 2022
  • RAUM · $218M to $244M
    Sep 17, 2021 to Mar 17, 2022
  • Accounts · 571 to 778
    Jun 18, 2020 to Mar 16, 2021
  • BD registered reps · 6 to 5
    Jun 18, 2020 to Mar 16, 2021
  • HNW clients · 40 to 66
    Jun 18, 2020 to Mar 16, 2021
  • Individual clients · 215 to 228
    Jun 18, 2020 to Mar 16, 2021
  • Assets in custody · $6.6M to $8.6M
    Jun 18, 2020 to Mar 16, 2021
  • Employees · 7 to 6
    Jun 18, 2020 to Mar 16, 2021
  • Discretionary RAUM · $147M to $186M
    Jun 18, 2020 to Mar 16, 2021
  • HNW RAUM · $84.8M to $153M
    Jun 18, 2020 to Mar 16, 2021
  • Individual RAUM · $61.8M to $63.0M
    Jun 18, 2020 to Mar 16, 2021
  • Non-discretionary RAUM · $0 to $31.6M
    Jun 18, 2020 to Mar 16, 2021
  • Pension RAUM · unset to 1816437.0
    Jun 18, 2020 to Mar 16, 2021
  • RAUM · $147M to $218M
    Jun 18, 2020 to Mar 16, 2021
  • Succession · true to false
    Jun 17, 2020 to Jun 18, 2020
  • Succession · false to true
    Jun 2, 2020 to Jun 17, 2020
  • Accounts · 1,602 to 571
    Nov 7, 2019 to Mar 14, 2020
  • Advisory employees · 5 to 4
    Nov 7, 2019 to Mar 14, 2020
  • BD registered reps · 5 to 6
    Nov 7, 2019 to Mar 14, 2020
Signals
8 dated events
  • R•••• H•••• I•••••••• left T•• H•••••• G•••• for A••••••• F••••••••• L••• (registered 2024-10-09)
    Aug 10, 2023 · Advisor changed firm · fact
  • L••••• E•••• I•••••••• left T•• H•••••• G•••• for A••••••• F••••••••• L••• (registered 2023-08-01)
    Aug 10, 2023 · Advisor changed firm · fact
  • T•••••• M•••••• left T•• H•••••• G•••• for A••••••• F••••••••• L••• (registered 2023-07-05)
    Aug 10, 2023 · Advisor changed firm · fact
  • 2 advisors left T•• H•••••• G•••• (Waltham, MA) for A••••••• F••••••••• L••• on the same day
    Aug 10, 2023 · Team lift-out · derived
  • T•• H•••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jun 17, 2020 · Succession (Item 4) · fact
  • T•• H•••••• G•••• reported RAUM $146.6M, down 56% from $332.9M (2019-11-07 to 2020-03-14)
    Mar 14, 2020 · RAUM change · derived
  • Michael Todd Ingwersen (Managing Member) no longer on Schedule A of T•• H•••••• G•••• (listed 2019-03-27, absent 2019-06-11)
    Jun 11, 2019 · Control person left · inference
  • L•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 26, 2016 · 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