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
O•• T• O••• L••
Latest filing Mar 8, 2018
First filing on the tape Sep 6, 2016 · 6 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
19
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Mar 8, 2018
Mar 29, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Mar 8, 2018
Mar 29, 201711 then
Employees (5.A)19 as of Mar 8, 2018
Mar 29, 201719 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 11 to 14
Practice profile
derived from the filing of Mar 8, 2018; 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
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
- 0reported
- 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
Left, latest
- R••• A••••• Z•••••• to W••••••••• R••••••••• A•••••••Mar 12, 2019 · Other
- V•••••• E••••• D••••••• to M•• I•••••••• S•••••••• L••Mar 12, 2019 · Other
- N••• M•••• D•••••• to T•• W••••• P•••••••Apr 19, 2018 · Other
- P•••••• R••• to J••• M••••• P•••••• W••••• A••••••• L••Feb 9, 2018 · Other
Joined, latest
- N••• M•••• D•••••• from E•••••• A••••••• G••••• L••Nov 13, 2017 · Other
- R••• A••••• Z•••••• from T•• W••••• P•••••••Nov 2, 2017 · Other
- V•••••• E••••• D••••••• from T•• W••••• P•••••••Mar 7, 2017 · Other
- P•••••• R••• from T•• W••••• P•••••••Mar 7, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• C•••••• R•••••• · Managercontrolsince 05/2016 · owns less than 5%
- T•••••• C••••••••• D•••• · Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- D•••• C•••••• R•••••• · Trusteecontrolsince 12/2008 · owns F of M•••• 2••• I••••••••• T••••
- E••••••• C••••••••• E••••• · Trusteecontrolsince 11/2012 · owns F of E•••••• F••••• I••••••••• T•••• 11/30/12
Entity owners
- T••••••• L•• · Memberdirect · owns 75% or more
- E•••••• F••••• I••••••••• T•••• · Memberindirect · owns 50% to 75% of T••••••• L••
- M•••• 2••• I••••••••• T•••• · Memberindirect · owns 50% to 75% of T••••••• L••
Related persons
Schedule D 7.A
- B••••••••• R••• M••••••••• L••real estaten
- P•••••••• T•••• C••••••• L••n
- T•• C••••••••• I•••real estaten
- Tfo Family Office Partnersinvestment advisernRAUM $5.0B
- T•• W••••• P•••••••investment adviseryRAUM $5.7B
Offices
Schedule D 1.F, the 25 largest
- Winchester, VA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 15 to 14Jun 30, 2017 to Mar 8, 2018
- Employees · 15 to 19Jun 30, 2017 to Mar 8, 2018
- Insurance-licensed employees · 12 to 14Jun 30, 2017 to Mar 8, 2018
- State-registered IARs · 12 to 14Jun 30, 2017 to Mar 8, 2018
- Other offices · unset to 1.0Jun 30, 2017 to Mar 8, 2018
- Advisory employees · 19 to 15May 4, 2017 to Jun 30, 2017
- Employees · 19 to 15May 4, 2017 to Jun 30, 2017
- Insurance-licensed employees · 11 to 12May 4, 2017 to Jun 30, 2017
- State-registered IARs · 11 to 12May 4, 2017 to Jun 30, 2017
- Advisory employees · 9 to 19Sep 22, 2016 to Mar 29, 2017
- Employees · 9 to 19Sep 22, 2016 to Mar 29, 2017
- Insurance-licensed employees · 6 to 11Sep 22, 2016 to Mar 29, 2017
- State-registered IARs · 6 to 11Sep 22, 2016 to Mar 29, 2017
Signals
1 dated events
- O•• T• O••• L•• filed its initial SEC registration (Form ADV)Sep 6, 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