DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
T• A••••••• L•••
Latest filing Jan 24, 2023
First filing on the tape Feb 2, 2022 · 9 filings
RAUM
$75.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$75.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$25.0M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$75.1M as of Jan 24, 2023
Feb 2, 2022$130M then
HNW client RAUM$7.6M as of Jan 24, 2023
Feb 2, 2022$62.3M then
State-registered IARs (5.B.3)3 as of Jan 24, 2023
Feb 2, 20224 then
Employees (5.A)4 as of Jan 24, 2023
Feb 2, 20225 then
Private funds: no history
Practice profile
derived from the filing of Jan 24, 2023; every figure names its basis
- RAUM per advisor
- $25.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $260,459derivedHNW RAUM over HNW clients
- Average account
- $301,625derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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
- portfolio management for individualsreportedItem 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
- 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$67.6M90%
- High-net-worth individuals$7.6M10%
- Individual clients
- 277reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 249reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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
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
- J••• F•••••••• C••••••• to K••••••• W••••• M••••••••• I•••Dec 31, 2022 · RIA to RIA
Joined, latest
- J••• F•••••••• C••••••• from C•••• A••••••• C•••Apr 9, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• M• · Secretary/Treasurercontrolsince 10/2017 · owns 50% to 75%
- H•••••• R•••••• L•• · President/Ccocontrolsince 10/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•••• A••••••• C•••investment advisernRAUM $70.9M
- F•••• A•••• F•••••••• I•••broker-dealern
- H•••••• S••••••••• I•••broker-dealerinvestment advisercustodiannRAUM $2.5B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salina, Ks · principal | 3 | 0 | 0 | ||
| Traverse City, Mi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Traverse City, MI2 employees
What changed
consecutive filings, newest first
- Accounts · 306 to 249Dec 19, 2022 to Jan 13, 2023
- Advisory activities · 2 to 1Dec 19, 2022 to Jan 13, 2023
- BD registered reps · 4 to 3Dec 19, 2022 to Jan 13, 2023
- Employees · 5 to 4Dec 19, 2022 to Jan 13, 2023
- Insurance-licensed employees · 3 to 2Dec 19, 2022 to Jan 13, 2023
- State-registered IARs · 4 to 3Dec 19, 2022 to Jan 13, 2023
- Other offices · 2 to 1Dec 19, 2022 to Jan 13, 2023
- Discretionary RAUM · $130M to $75.1MDec 19, 2022 to Jan 13, 2023
- HNW RAUM · $62.3M to $7.6MDec 19, 2022 to Jan 13, 2023
- Individual RAUM · $67.7M to $67.6MDec 19, 2022 to Jan 13, 2023
- RAUM · $130M to $75.1MDec 19, 2022 to Jan 13, 2023
Signals
2 dated events
- J••• F•••••••• C••••••• left T• A••••••• L••• for K••••••• W••••• M••••••••• I••• (registered 2023-01-04)Dec 31, 2022 · Advisor changed firm · fact
- T• A••••••• L••• filed its initial SEC registration (Form ADV)Feb 2, 2022 · ria f•••• adv filing · 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
- $25.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026