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••• P•••• C••••••• L••
Latest filing May 5, 2026
First filing on the tape Feb 26, 2019 · 18 filings
SEC status approved since Mar 26, 2019
RAUM
$25.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$25.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$25.0M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$25.0M as of May 5, 2026
Mar 9, 2020$4.2M then
HNW client RAUM$11.6M as of May 5, 2026
Mar 9, 2020$2.7M then
State-registered IARs (5.B.3)1 as of May 5, 2026
Mar 9, 20201 then
Employees (5.A)2 as of May 5, 2026
Mar 9, 20202 then
Private funds: no history
RAUM -17% over the last fiscal year+10.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $25.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $830,659derivedHNW RAUM over HNW clients
- Average account
- $249,949derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $25.0MreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$13.4M53%
- High-net-worth individuals$11.6M47%
- Individual clients
- 49reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 100reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• C••••••••• M•••••• · Managing Member And Chief Compliance Officercontrolsince 11/2016 · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• W••••• M••••••••• L••investment advisernRAUM $283M
Advisers that list T••• P•••• C••••••• L•• as a related person
- 285693 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 1 to 0Feb 23, 2026 to May 5, 2026
- Accounts · 101 to 100Sep 23, 2025 to Feb 23, 2026
- HNW clients · 24 to 14Sep 23, 2025 to Feb 23, 2026
- Individual clients · 41 to 49Sep 23, 2025 to Feb 23, 2026
- Discretionary RAUM · $30.0M to $25.0MSep 23, 2025 to Feb 23, 2026
- HNW RAUM · $20.2M to $11.6MSep 23, 2025 to Feb 23, 2026
- Individual RAUM · $9.9M to $13.4MSep 23, 2025 to Feb 23, 2026
- RAUM · $30.0M to $25.0MSep 23, 2025 to Feb 23, 2026
- Accounts · 73 to 101May 28, 2024 to Mar 14, 2025
- HNW clients · 26 to 24May 28, 2024 to Mar 14, 2025
- Individual clients · 24 to 41May 28, 2024 to Mar 14, 2025
- Financial planning clients · unset to May 28, 2024 to Mar 14, 2025
- Discretionary RAUM · $17.4M to $30.0MMay 28, 2024 to Mar 14, 2025
- HNW RAUM · $13.2M to $20.2MMay 28, 2024 to Mar 14, 2025
- Individual RAUM · $4.3M to $9.9MMay 28, 2024 to Mar 14, 2025
- RAUM · $17.4M to $30.0MMay 28, 2024 to Mar 14, 2025
- Accounts · 65 to 73Apr 28, 2023 to Feb 29, 2024
- Charity clients · unset to 0.0Apr 28, 2023 to Feb 29, 2024
- Corporate clients · unset to 0.0Apr 28, 2023 to Feb 29, 2024
- HNW clients · 21 to 26Apr 28, 2023 to Feb 29, 2024
- Individual clients · 23 to 24Apr 28, 2023 to Feb 29, 2024
- Pension plan clients · unset to 0.0Apr 28, 2023 to Feb 29, 2024
- Pooled vehicle clients · unset to 0.0Apr 28, 2023 to Feb 29, 2024
- Discretionary RAUM · $18.8M to $17.4MApr 28, 2023 to Feb 29, 2024
- HNW RAUM · $14.9M to $13.2MApr 28, 2023 to Feb 29, 2024
- Individual RAUM · $3.9M to $4.3MApr 28, 2023 to Feb 29, 2024
- Pension RAUM · unset to 0.0Apr 28, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · unset to 0.0Apr 28, 2023 to Feb 29, 2024
- RAUM · $18.8M to $17.4MApr 28, 2023 to Feb 29, 2024
- Wrap assets (manager) · $18.8M to $0Apr 28, 2023 to Feb 29, 2024
- Accounts · 59 to 65Jun 1, 2022 to Mar 3, 2023
- Advisory activities · 2 to 1Jun 1, 2022 to Mar 3, 2023
- HNW clients · 18 to 21Jun 1, 2022 to Mar 3, 2023
- Individual clients · 22 to 23Jun 1, 2022 to Mar 3, 2023
- Financial planning clients · 26-50 to unsetJun 1, 2022 to Mar 3, 2023
- Discretionary RAUM · $19.5M to $18.8MJun 1, 2022 to Mar 3, 2023
- HNW RAUM · $15.3M to $14.9MJun 1, 2022 to Mar 3, 2023
- Individual RAUM · $4.2M to $3.9MJun 1, 2022 to Mar 3, 2023
- RAUM · $19.5M to $18.8MJun 1, 2022 to Mar 3, 2023
- Wrap assets (manager) · $0 to $18.8MJun 1, 2022 to Mar 3, 2023
Signals
1 dated events
- T••• P•••• C••••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2019 · 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
- tallpinescap.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (630) 564-1348reportedpublic record, Form ADV, May 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $25.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026