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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SEC-registered adviser
T•• L••• F•••• S•
Latest filing Mar 5, 2026
First filing on the tape Nov 9, 2016 · 11 filings
SEC status approved since Nov 15, 2016
RAUM
$55.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
11 filings and snapshots on the tape
RAUM$55.4M as of Mar 5, 2026
Feb 1, 2017$325M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Feb 1, 20170 then
Employees (5.A)4 as of Mar 5, 2026
Feb 1, 20174 then
Private funds1 as of Feb 22, 2022
Feb 17, 20201 then
RAUM -40% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $55.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$55.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• F•••• E••••••• G•••••• L•no longer reported | Other Private Fund | $3.3M | 2 | Feb 17, 2020 |
Owners and control persons
Schedule A and B, latest filing
- R•••••••• J••••••••• M•••••• · Cio / Ceocontrolsince 04/2004 · owns less than 5%
- R•••••••• J••••••••• M•••••• · Cio / Ceocontrolsince 04/2004 · owns 75% or more of J•• H••••••• S•
- P•••••••• G••••••••• B••••••• · Chief Operating Officersince 05/2014 · owns less than 5%
Entity owners
- J•• H••••••• S• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $92.6M to $55.4MMar 10, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $92.6M to $55.4MMar 10, 2025 to Mar 5, 2026
- RAUM · $92.6M to $55.4MMar 10, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 0Feb 28, 2024 to Mar 10, 2025
- HQ state · unset to Feb 28, 2024 to Mar 10, 2025
- Discretionary RAUM · $119M to $92.6MFeb 28, 2024 to Mar 10, 2025
- Pooled vehicle RAUM · $119M to $92.6MFeb 28, 2024 to Mar 10, 2025
- RAUM · $119M to $92.6MFeb 28, 2024 to Mar 10, 2025
- Discretionary RAUM · $132M to $119MMar 2, 2023 to Feb 28, 2024
- Pooled vehicle RAUM · $132M to $119MMar 2, 2023 to Feb 28, 2024
- RAUM · $132M to $119MMar 2, 2023 to Feb 28, 2024
- Accounts · 3 to 1Feb 22, 2022 to Mar 2, 2023
- Advisory activities · 2 to 1Feb 22, 2022 to Mar 2, 2023
- Pooled vehicle clients · 3 to 1Feb 22, 2022 to Mar 2, 2023
- Custody of client assets · true to falseFeb 22, 2022 to Mar 2, 2023
- Employees · 5 to 4Feb 22, 2022 to Mar 2, 2023
- Private funds · 1 to unsetFeb 22, 2022 to Mar 2, 2023
- Discretionary RAUM · $273M to $132MFeb 22, 2022 to Mar 2, 2023
- Pooled vehicle RAUM · $273M to $132MFeb 22, 2022 to Mar 2, 2023
- RAUM · $273M to $132MFeb 22, 2022 to Mar 2, 2023
- Discretionary RAUM · $359M to $273MFeb 26, 2021 to Feb 22, 2022
- Pooled vehicle RAUM · $359M to $273MFeb 26, 2021 to Feb 22, 2022
- RAUM · $359M to $273MFeb 26, 2021 to Feb 22, 2022
- Employees · 6 to 5Feb 17, 2020 to Feb 26, 2021
- Discretionary RAUM · $433M to $359MFeb 17, 2020 to Feb 26, 2021
- Pooled vehicle RAUM · $433M to $359MFeb 17, 2020 to Feb 26, 2021
- RAUM · $433M to $359MFeb 17, 2020 to Feb 26, 2021
- Accounts · 2 to 3Feb 5, 2019 to Feb 17, 2020
- Pooled vehicle clients · 2 to 3Feb 5, 2019 to Feb 17, 2020
- Assets in custody · unset to 0.0Feb 5, 2019 to Feb 17, 2020
- Custody of client assets · false to trueFeb 5, 2019 to Feb 17, 2020
- Private funds · unset to 1Feb 5, 2019 to Feb 17, 2020
- Discretionary RAUM · $415M to $433MFeb 5, 2019 to Feb 17, 2020
- Pooled vehicle RAUM · $415M to $433MFeb 5, 2019 to Feb 17, 2020
- RAUM · $415M to $433MFeb 5, 2019 to Feb 17, 2020
- Advisory employees · 2 to 3Feb 5, 2018 to Feb 5, 2019
- Employees · 4 to 6Feb 5, 2018 to Feb 5, 2019
- Discretionary RAUM · $592M to $415MFeb 5, 2018 to Feb 5, 2019
- Pooled vehicle RAUM · $592M to $415MFeb 5, 2018 to Feb 5, 2019
- RAUM · $592M to $415MFeb 5, 2018 to Feb 5, 2019
Signals
4 dated events
- T•• L••• F•••• S• reported RAUM $132.1M, down 52% from $272.8M (2022-02-22 to 2023-03-02)Mar 2, 2023 · RAUM change · derived
- T•• L••• F•••• S• reported RAUM $414.5M, down 30% from $592.0M (2018-02-05 to 2019-02-05)Feb 5, 2019 · RAUM change · derived
- T•• L••• F•••• S• reported RAUM $592.0M, up 82% from $325.0M (2017-02-01 to 2018-02-05)Feb 5, 2018 · RAUM change · derived
- T•• L••• F•••• S• filed its initial SEC registration (Form ADV)Nov 9, 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 0041223016134reportedpublic record, Form ADV, Mar 5, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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