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Former SEC-registered adviser

T•••••••• I•••••••••

Former SEC-registered adviserDundee, Scotland, CRD 284586SEC 801-108772IAPD
Legal name T•••••••• I••••••••• M••••••••• L••
Latest filing Sep 13, 2017
First filing on the tape Nov 30, 2016 · 3 filings
RAUM
$526M
reported, Item 5.F
Discretionary
71%
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
19
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$526M as of Sep 13, 2017
Nov 30, 2016$428M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 13, 2017
Nov 30, 20160 then
Employees (5.A)19 as of Sep 13, 2017
Nov 30, 201618 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 13, 2017; 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
$525,763derivedRAUM over accounts (5.F.2.f)
Discretionary
71%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,000reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••• S••••••• J•••• N•••••••• · Chief Executive Officercontrol
        since 10/2014 · owns 5% to 10%
      • B••••••• N••••••• · Chairman And Non-Executive Director
        since 10/2014 · owns 5% to 10%
      • B•••• E••••••••• M••••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • B••••• S••••••• J••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • B••••• G•••••• R•••••• · Non-Executive Director
        since 10/2014 · owns less than 5%
      • B•••••••• G••••••• C••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • C•••••• C••••• A•••••••• B••• · Non-Executive Director
        since 09/2015 · owns less than 5%
      • D•••••• G••••• R•••••• · Non-Executive Director
        since 09/2016 · owns less than 5%
      • D•••••• G•••••• J••• M••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • F•••••••• M••••••• R••••• P•••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • G•••••• C••••• T••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • G••••• L•••• · Chief Operating Officer & Chief Compliance Officer
        since 01/2017 · owns less than 5%
      • L•••• L•••••• A•• · Shareholder
        since 10/2014 · owns 5% to 10%
      • L•••••••• C••••• S•••• · Non-Executive Director
        since 10/2014 · owns 5% to 10%
      • M•••••• G•••••• G••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • M••••••• A•••• J•••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • M••••• S••••• C•••••• · Non-Executive Director
        since 10/2014 · owns 5% to 10%
      • N••••• C••••• O•• · Non-Executive Director
        since 10/2014 · owns 5% to 10%
      • R••••••• B••••• N••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • R••••••••• J•••• S•••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • S••••••••• S•••••• M••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • T••••••• K••••••• W•••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      • W•••••• G•••••• A•••••••• · Shareholder
        since 10/2014 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      • Edinburgh, United Kingdom
      What changed
      consecutive filings, newest first
      • Accounts · 1,082 to 1,000
        Nov 30, 2016 to Aug 2, 2017
      • Employees · 18 to 19
        Nov 30, 2016 to Aug 2, 2017
      • Discretionary RAUM · $254M to $373M
        Nov 30, 2016 to Aug 2, 2017
      • Non-discretionary RAUM · $174M to $153M
        Nov 30, 2016 to Aug 2, 2017
      • RAUM · $428M to $526M
        Nov 30, 2016 to Aug 2, 2017
      Signals
      1 dated events
      • T•••••••• I••••••••• filed its initial SEC registration (Form ADV)
        Nov 30, 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