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T••••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Phoenix, Arizona

Former SEC-registered adviser, based in Phoenix, Arizona, reporting $25,000 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$25,000
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $25,000
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 8.4 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 291183 · SEC 801-112194 · 2 filingsShow
CRD 291183SEC 801-112194First filing on the tape Nov 17, 2017, latest Jun 6, 2018IAPD
RAUM
$25,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$25,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: $25,000
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 6, 2018
Nov 17, 20171 then
Employees (5.A)1 as of Jun 6, 2018
Nov 17, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 6, 2018; every figure names its basis
RAUM per advisor
$25,000derivedRAUM 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
$25,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
performance-based, otherreportedItem 5.E
Advisory activities
otherreportedItem 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)
  • 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$25,000100%
Individual clients
1reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••• D••••• T••••• · Chief Compliance Officercontrol
        since 11/2017 · owns less than 5%
      • W•••••• D••••• T••••• · President And Chief Executive Officercontrol
        since 01/2017 · owns 50% to 75% of T••••••• L••• I•••
      Entity owners
      • T••••••• L••• I••• · Owner
        direct · 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 · unset to 1.0
        Nov 17, 2017 to Jun 6, 2018
      • Individual clients · unset to 1.0
        Nov 17, 2017 to Jun 6, 2018
      • Financial planning clients · unset to 0
        Nov 17, 2017 to Jun 6, 2018
      • Discretionary RAUM · unset to 0.0
        Nov 17, 2017 to Jun 6, 2018
      • Individual RAUM · unset to 25000.0
        Nov 17, 2017 to Jun 6, 2018
      • Non-discretionary RAUM · unset to 25000.0
        Nov 17, 2017 to Jun 6, 2018
      • RAUM · unset to 25000.0
        Nov 17, 2017 to Jun 6, 2018
      Signals
      1 dated events
      • ••• Locked
        Nov 17, 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