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•••• S•••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 285974SEC 801-114570IAPD
Latest filing Sep 30, 2019
First filing on the tape Dec 13, 2018 · 3 filings
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$119M as of Sep 30, 2019
Dec 13, 2018$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Sep 30, 2019
Dec 13, 20186 then
Employees (5.A)9 as of Sep 30, 2019
Dec 13, 20189 then
Private funds: no history
Practice profile
derived from the filing of Sep 30, 2019; every figure names its basis
RAUM per advisor
$19.8MderivedRAUM 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
$293,035derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived3 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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$119MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$119M100%
Individual clients
406reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
406reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••• A•••• R•• · Ceocontrol
    since 02/2018 · owns less than 5%
  • H••••••• R••••••• L•••• · Partnercontrol
    since 11/2016 · owns less than 5%
  • L•••••• N•••••••• M••• · Cfocontrol
    since 03/2017 · owns less than 5%
  • M••••••• P••••• H•••••• · Coocontrol
    since 11/2017 · owns 10% to 25%
  • C•••• L•••••••• W•••••• · Cco
    since 12/2018 · owns less than 5%
Entity owners
  • T•••• S•••• G•••• L•• · Owner
    direct · owns 75% or more
  • B•• G•••••• L•• · Owner
    indirect · owns 50% to 75% of T•••• S•••• G•••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Oklahoma City, OK2 employees
  • Oklahoma City, OK1 employees
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • T•••• S•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 13, 2018 · 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