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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T••••••• I••••••••• S••••••••• L••

Former SEC-registered adviserOrlando, FloridaCRD 284663SEC 801-110009IAPD
Latest filing Mar 8, 2022
First filing on the tape Feb 10, 2017 · 8 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$0 as of Mar 8, 2022
Mar 6, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 8, 2022
Mar 6, 20172 then
Employees (5.A)2 as of Mar 8, 2022
Mar 6, 20172 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 8, 2022; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
  • 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)
  • 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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    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
      • C••••••••• E•••••• R•••••• · Managing Membercontrol
        since 06/2016 · owns 25% to 50%
      • L••••••• M••••••• E••••• · Managing Membercontrol
        since 06/2016 · owns 25% to 50%
      • W••••••••• D••••• S• · Ccocontrol
        since 06/2016 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Insurance-licensed employees · 1 to 2
        Mar 6, 2017 to Mar 30, 2018
      • HQ city · unset to ORLANDO
        Mar 6, 2017 to Mar 30, 2018
      • HQ state · unset to FL
        Mar 6, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 6, 2017 to Mar 30, 2018
      • Related insurance company · true to false
        Mar 6, 2017 to Mar 30, 2018
      • Advisory employees · 1 to 2
        Feb 28, 2017 to Mar 6, 2017
      • BD registered reps · 1 to 2
        Feb 28, 2017 to Mar 6, 2017
      • Custody of client assets · true to false
        Feb 28, 2017 to Mar 6, 2017
      • Employees · 1 to 2
        Feb 28, 2017 to Mar 6, 2017
      • State-registered IARs · 1 to 2
        Feb 28, 2017 to Mar 6, 2017
      Signals
      4 dated events
      • M•••••• E••••• L•••••• left T••••••• I••••••••• S••••••••• L•• for G••••• A••••• A•••••••• L•• (registered 2019-05-21)
        Mar 14, 2023 · Advisor changed firm · fact
      • D•••• S• W••••••••• left T••••••• I••••••••• S••••••••• L•• for G••••• A••••• A•••••••• L•• (registered 2019-05-24)
        Mar 14, 2023 · Advisor changed firm · fact
      • 2 advisors left T••••••• I••••••••• S••••••••• L•• (Orlando, FL) for G••••• A••••• A•••••••• L•• on the same day
        Mar 14, 2023 · Team lift-out · derived
      • T••••••• I••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 10, 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