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•••••••• W••••• A•••••••
Legal name D•• P•••••••• L••
Latest filing Mar 29, 2019
First filing on the tape Sep 1, 2017 · 10 filings
RAUM
$696M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
99%
$691M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$696M as of Mar 29, 2019
Mar 26, 2018$626M then
HNW client RAUM$655M as of Mar 29, 2019
Mar 26, 2018$600M then
State-registered IARs (5.B.3)4 as of Mar 29, 2019
Mar 26, 20183 then
Employees (5.A)6 as of Mar 29, 2019
Mar 26, 20185 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
- RAUM per advisor
- $174MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.6MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $2.3M, 50 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$655M94%
- Individuals$36.1M5.2%
- Corporations and businesses$2.4M0.4%
- Pension and profit-sharing plans$2.2M0.3%
- Charitable organizations$10,0040.0%
- Individual clients
- 120reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 442reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3M for 50 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
- D••••• L•••• B•••••••• to T•••••••• G••••May 6, 2019 · RIA to RIA
- R•••••• W•••••• T•••••••• to T•••••••• G••••May 6, 2019 · RIA to RIA
- D•••• W•••••• T•••••••• to T•••••••• G••••May 6, 2019 · RIA to RIA
Joined, latest
- D••••• L•••• B•••••••• from D••• D••••••• • C••Oct 6, 2017 · Other
- R•••••• W•••••• T•••••••• from D••• D••••••• • C••Oct 6, 2017 · Other
- D•••• W•••••• T•••••••• from D••• D••••••• • C••Oct 6, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for T•••••••• G••••May 6, 2019 · Bellevue, Wa · Firm absorbed
- 3 joined from D••• D••••••• • C••Oct 8, 2017 · Bellevue, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• D•••••• L•••• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- B••••••••• D•••••• L•••• · Presidentcontrolsince 10/2017 · owns 75% or more of B•••••••• I••••••••• I••
- T••••••••• D••••• W•••••• · Presidentcontrolsince 10/2017 · owns 75% or more of D••••••••• I••••••••• I••
- T••••••••• R••••••• W•••••• · Presidentcontrolsince 06/2011 · owns 75% or more of S•••••• E•••• V•••••••• I••
Entity owners
- B•••••••• I••••••••• I•• · Managing Memberdirect · owns 10% to 25%
- D••••••••• I••••••••• I•• · Managing Memberdirect · owns 10% to 25%
- S•••••• E•••• V•••••••• I•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 393 to 442Apr 19, 2018 to Mar 29, 2019
- Advisory activities · 4 to 3Apr 19, 2018 to Mar 29, 2019
- HNW clients · 65 to 68Apr 19, 2018 to Mar 29, 2019
- Individual clients · 94 to 120Apr 19, 2018 to Mar 29, 2019
- Pension plan clients · 6.0 to unsetApr 19, 2018 to Mar 29, 2019
- Assets in custody · $41.1M to $2.3MApr 19, 2018 to Mar 29, 2019
- Employees · 5 to 6Apr 19, 2018 to Mar 29, 2019
- State-registered IARs · 3 to 4Apr 19, 2018 to Mar 29, 2019
- Discretionary RAUM · $380M to $427MApr 19, 2018 to Mar 29, 2019
- HNW RAUM · $600M to $655MApr 19, 2018 to Mar 29, 2019
- Individual RAUM · $22.8M to $36.1MApr 19, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $246M to $269MApr 19, 2018 to Mar 29, 2019
- Pension RAUM · $2.8M to $2.2MApr 19, 2018 to Mar 29, 2019
- RAUM · $626M to $696MApr 19, 2018 to Mar 29, 2019
- Wrap assets (manager) · 0.0 to unsetApr 19, 2018 to Mar 29, 2019
- Wrap assets (sponsor) · 0.0 to unsetApr 19, 2018 to Mar 29, 2019
- Accounts · 374 to 393Feb 23, 2018 to Mar 26, 2018
- BD registered reps · 3 to 2Feb 23, 2018 to Mar 26, 2018
- Charity clients · unset to 0.0Feb 23, 2018 to Mar 26, 2018
- Corporate clients · unset to 0.0Feb 23, 2018 to Mar 26, 2018
- HNW clients · 100 to 65Feb 23, 2018 to Mar 26, 2018
- Individual clients · 50 to 94Feb 23, 2018 to Mar 26, 2018
- Pension plan clients · unset to 6.0Feb 23, 2018 to Mar 26, 2018
- Pooled vehicle clients · unset to 0.0Feb 23, 2018 to Mar 26, 2018
- Assets in custody · unset to 41140256.0Feb 23, 2018 to Mar 26, 2018
- Custody of client assets · false to trueFeb 23, 2018 to Mar 26, 2018
- Financial planning clients · 0 to 101-250Feb 23, 2018 to Mar 26, 2018
- Discretionary RAUM · $580M to $380MFeb 23, 2018 to Mar 26, 2018
- HNW RAUM · $570M to $600MFeb 23, 2018 to Mar 26, 2018
- Individual RAUM · $28.0M to $22.8MFeb 23, 2018 to Mar 26, 2018
- Non-discretionary RAUM · $20.0M to $246MFeb 23, 2018 to Mar 26, 2018
- Pension RAUM · $1.0M to $2.8MFeb 23, 2018 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 0.0Feb 23, 2018 to Mar 26, 2018
- RAUM · $600M to $626MFeb 23, 2018 to Mar 26, 2018
- Accounts · 0 to 374Oct 6, 2017 to Dec 13, 2017
- HNW clients · unset to 100.0Oct 6, 2017 to Dec 13, 2017
- Individual clients · unset to 50.0Oct 6, 2017 to Dec 13, 2017
- Discretionary RAUM · $0 to $580MOct 6, 2017 to Dec 13, 2017
- HNW RAUM · unset to 570000000.0Oct 6, 2017 to Dec 13, 2017
- Individual RAUM · unset to 28000000.0Oct 6, 2017 to Dec 13, 2017
Signals
1 dated events
- T•• T•••••••• G•••• filed its initial SEC registration (Form ADV)Sep 1, 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