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••••• H•••••• W••••• M••••••••• L••
Latest filing Mar 30, 2024
First filing on the tape Sep 21, 2017 · 18 filings
RAUM
$304M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
100%
$304M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 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$304M as of Mar 30, 2024
Feb 15, 2018$178M then
HNW client RAUM$250M as of Mar 30, 2024
Feb 15, 2018$133M then
State-registered IARs (5.B.3)4 as of Mar 30, 2024
Feb 15, 20182 then
Employees (5.A)5 as of Mar 30, 2024
Feb 15, 20183 then
Private funds1 as of Mar 31, 2022
Mar 24, 20201 then
RAUM +3.0% over the last fiscal year+3.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2024; every figure names its basis
- RAUM per advisor
- $76.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $386,708derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $127M, 178 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$250M82%
- Individuals$54.5M18%
- Pension and profit-sharing plans$128,2260.0%
- Individual clients
- 262reported
- HNW clients
- 131reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 787reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $127M for 178 clientsreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- W••••• T••••• J••••• to I••••• F••••••••• L••Nov 9, 2022 · RIA to a state-registered adviser
Joined, latest
- W••••• T••••• J••••• from M••••• S••••••Sep 25, 2018 · Wirehouse to independent RIA
- G•••••• C••••••••• H•••••• from M••••• S••••••Oct 23, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••••• C••••••••• T••••• from M••••• S••••••Oct 23, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for T••••• H•••••• C•••••• M•••••••••Oct 29, 2024 · Richmond, Va · Firm absorbed
- 2 joined from M••••• S••••••Oct 24, 2017 · Richmond, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• G••••••• C••••••••• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- R••••••••• S•••• T••••• · Chief Financial Officercontrolsince 10/2020 · owns less than 5%
- T•••••• B••••••• C••••••••• · Chief Executive Officercontrolsince 10/2017 · owns less than 5%
- T•••••• B••••••• C••••••••• · Shareholdercontrolsince 07/2019 · owns 75% or more of T••••• H••••••• I•••
Entity owners
- T••••• H••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- T••••• H•••••• C•••••• M•••••••••investment adviserpooled vehicle sponsornRAUM $470M
Advisers that list T••••• H•••••• W••••• M••••••••• L•• as a related person
- 309329 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 824 to 787Mar 27, 2023 to Mar 30, 2024
- Advisory activities · 3 to 4Mar 27, 2023 to Mar 30, 2024
- HNW clients · 104 to 131Mar 27, 2023 to Mar 30, 2024
- Individual clients · 295 to 262Mar 27, 2023 to Mar 30, 2024
- Assets in custody · $78.0M to $127MMar 27, 2023 to Mar 30, 2024
- Discretionary RAUM · $223M to $232MMar 27, 2023 to Mar 30, 2024
- HNW RAUM · $236M to $250MMar 27, 2023 to Mar 30, 2024
- Individual RAUM · $59.9M to $54.5MMar 27, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $72.4M to $72.5MMar 27, 2023 to Mar 30, 2024
- Pension RAUM · $39,033 to $128,226Mar 27, 2023 to Mar 30, 2024
- RAUM · $296M to $304MMar 27, 2023 to Mar 30, 2024
- Accounts · 766 to 824Mar 31, 2022 to Mar 27, 2023
- Advisory employees · 5 to 4Mar 31, 2022 to Mar 27, 2023
- Advisory activities · 4 to 3Mar 31, 2022 to Mar 27, 2023
- HNW clients · 89 to 104Mar 31, 2022 to Mar 27, 2023
- Individual clients · 222 to 295Mar 31, 2022 to Mar 27, 2023
- Pension plan clients · unset to 1.0Mar 31, 2022 to Mar 27, 2023
- Pooled vehicle clients · 2.0 to unsetMar 31, 2022 to Mar 27, 2023
- Assets in custody · $37.1M to $78.0MMar 31, 2022 to Mar 27, 2023
- Employees · 6 to 5Mar 31, 2022 to Mar 27, 2023
- Insurance-licensed employees · 3 to 4Mar 31, 2022 to Mar 27, 2023
- State-registered IARs · 5 to 4Mar 31, 2022 to Mar 27, 2023
- Other offices · 1 to 0Mar 31, 2022 to Mar 27, 2023
- Private funds · 1 to unsetMar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $238M to $223MMar 31, 2022 to Mar 27, 2023
- HNW RAUM · $261M to $236MMar 31, 2022 to Mar 27, 2023
- Individual RAUM · $60.4M to $59.9MMar 31, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $86.4M to $72.4MMar 31, 2022 to Mar 27, 2023
- Pension RAUM · unset to 39033.0Mar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · 3164388.0 to unsetMar 31, 2022 to Mar 27, 2023
- RAUM · $325M to $296MMar 31, 2022 to Mar 27, 2023
- Accounts · 720 to 766Nov 2, 2021 to Mar 31, 2022
- HNW clients · 74 to 89Nov 2, 2021 to Mar 31, 2022
- Individual clients · 180 to 222Nov 2, 2021 to Mar 31, 2022
- Assets in custody · $9.1M to $37.1MNov 2, 2021 to Mar 31, 2022
- Employees · 7 to 6Nov 2, 2021 to Mar 31, 2022
- Insurance-licensed employees · 0 to 3Nov 2, 2021 to Mar 31, 2022
- Other offices · 0 to 1Nov 2, 2021 to Mar 31, 2022
- Discretionary RAUM · $186M to $238MNov 2, 2021 to Mar 31, 2022
- HNW RAUM · $222M to $261MNov 2, 2021 to Mar 31, 2022
Signals
4 dated events
- T••••• H•••••• W••••• M••••••••• L••'s advisors moved to T••••• H•••••• C•••••• M••••••••• (Richmond, VA): 3 of 3 registered, on the same dayOct 29, 2024 · Firm absorbed (people side) · derived
- T••••• S••• R••••••••• (Chief Financial Officer) appeared on Schedule A of T••••• H•••••• W••••• M••••••••• L••Mar 27, 2023 · Control person joined · fact
- W••••• T••••• J••••• left T••••• H•••••• W••••• M••••••••• L•• for I••••• F••••••••• L•• (registered 2022-11-09)Nov 9, 2022 · Advisor changed firm · fact
- Z••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 21, 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