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•••• I••••••••• M•••••••••

Former SEC-registered adviserIssaquah, WashingtonCRD 297699SEC 801-114425IAPD
Legal name T•••• I••••••••• M••••••••• L••
Latest filing Mar 28, 2022
First filing on the tape Nov 13, 2018 · 12 filings
RAUM
$701M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
97%
$679M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$701M as of Mar 28, 2022
Mar 28, 2019$164M then
HNW client RAUM$358M as of Mar 28, 2022
Mar 28, 2019$43.9M then
State-registered IARs (5.B.3)8 as of Mar 28, 2022
Mar 28, 20196 then
Employees (5.A)8 as of Mar 28, 2022
Mar 28, 201912 then
Private funds: no history
RAUM +26% over the last fiscal year+62% a year over threeIARs 8 to 8offices 1 to 2
Practice profile
derived from the filing of Mar 28, 2022; every figure names its basis
RAUM per advisor
$87.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
164derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$255,021derivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
Financial planning clients
709reportedItem 5.H
Wrap fee program
$281MreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$358M51%
  • Individuals$321M46%
  • Pension and profit-sharing plans$14.6M2.1%
  • Corporations and businesses$3.7M0.5%
  • Charitable organizations$3.2M0.5%
Individual clients
1,138reported
HNW clients
176reported
Pension plan clients
28reported
Charitable clients
n/areported
Accounts
2,747reported
Financial planning clients
709reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••• R••••••• W•••• · Chief Compliance Officercontrol
    since 11/2018 · owns less than 5%
  • L•••• T•••• C••••••••• · President And Ownercontrol
    since 11/2018 · owns 75% or more
Related persons
Schedule D 7.A
  • D••••• B• G••••••••
    insurancen
Offices
Schedule D 1.F, the 25 largest
  • Tacoma, WA3 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,858 to 2,747
    Mar 16, 2022 to Mar 28, 2022
  • HNW clients · 162 to 176
    Mar 16, 2022 to Mar 28, 2022
  • Individual clients · 957 to 1,138
    Mar 16, 2022 to Mar 28, 2022
  • Pension plan clients · 22 to 28
    Mar 16, 2022 to Mar 28, 2022
  • Employees · 20 to 8
    Mar 16, 2022 to Mar 28, 2022
  • Financial planning clients · 251-500 to More than 500
    Mar 16, 2022 to Mar 28, 2022
  • Other offices · 1 to 2
    Mar 16, 2022 to Mar 28, 2022
  • Discretionary RAUM · $382M to $398M
    Mar 16, 2022 to Mar 28, 2022
  • HNW RAUM · $298M to $358M
    Mar 16, 2022 to Mar 28, 2022
  • Individual RAUM · $243M to $321M
    Mar 16, 2022 to Mar 28, 2022
  • Non-discretionary RAUM · $172M to $303M
    Mar 16, 2022 to Mar 28, 2022
  • Pension RAUM · $10.3M to $14.6M
    Mar 16, 2022 to Mar 28, 2022
  • RAUM · $554M to $701M
    Mar 16, 2022 to Mar 28, 2022
  • Accounts · 997 to 2,858
    Sep 22, 2020 to Mar 30, 2021
  • Advisory employees · 6 to 8
    Sep 22, 2020 to Mar 30, 2021
  • BD registered reps · 5 to 6
    Sep 22, 2020 to Mar 30, 2021
  • Corporate clients · 7 to 4
    Sep 22, 2020 to Mar 30, 2021
  • HNW clients · 47 to 162
    Sep 22, 2020 to Mar 30, 2021
  • Individual clients · 528 to 957
    Sep 22, 2020 to Mar 30, 2021
  • Pension plan clients · 14 to 22
    Sep 22, 2020 to Mar 30, 2021
  • Employees · 14 to 20
    Sep 22, 2020 to Mar 30, 2021
  • Financial planning clients · 101-250 to 251-500
    Sep 22, 2020 to Mar 30, 2021
  • State-registered IARs · 6 to 8
    Sep 22, 2020 to Mar 30, 2021
  • Other offices · 2 to 1
    Sep 22, 2020 to Mar 30, 2021
  • Discretionary RAUM · $224M to $382M
    Sep 22, 2020 to Mar 30, 2021
  • HNW RAUM · $73.5M to $298M
    Sep 22, 2020 to Mar 30, 2021
  • Individual RAUM · $149M to $243M
    Sep 22, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $1.4M to $172M
    Sep 22, 2020 to Mar 30, 2021
  • Pension RAUM · $1.4M to $10.3M
    Sep 22, 2020 to Mar 30, 2021
  • RAUM · $226M to $554M
    Sep 22, 2020 to Mar 30, 2021
  • Accounts · 804 to 997
    Mar 28, 2019 to Mar 30, 2020
  • Advisory activities · 4 to 5
    Mar 28, 2019 to Mar 30, 2020
  • Charity clients · 0.0 to unset
    Mar 28, 2019 to Mar 30, 2020
  • Corporate clients · 0 to 7
    Mar 28, 2019 to Mar 30, 2020
  • HNW clients · 28 to 47
    Mar 28, 2019 to Mar 30, 2020
  • Individual clients · 435 to 528
    Mar 28, 2019 to Mar 30, 2020
  • Pension plan clients · 0 to 14
    Mar 28, 2019 to Mar 30, 2020
  • Employees · 12 to 14
    Mar 28, 2019 to Mar 30, 2020
  • Financial planning clients · 251-500 to 101-250
    Mar 28, 2019 to Mar 30, 2020
  • Discretionary RAUM · $164M to $224M
    Mar 28, 2019 to Mar 30, 2020
Signals
13 dated events
  • T••• C••••••••• L••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-03)
    Nov 15, 2022 · Advisor changed firm · fact
  • R•••••• W•••• K•• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-03)
    Nov 15, 2022 · Advisor changed firm · fact
  • 2 advisors left T•••• I••••••••• M••••••••• (Issaquah, WA) for M•••• F•••••••• A••••••• on the same day
    Nov 15, 2022 · Team lift-out · derived
  • L•••••• P••• K••••••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-06)
    Oct 5, 2022 · Advisor changed firm · fact
  • M•••••• C••••••••• B••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-03)
    Oct 4, 2022 · Advisor changed firm · fact
  • K••••• A•• C••••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-03)
    Oct 4, 2022 · Advisor changed firm · fact
  • J••••• R••••••• C••••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-03)
    Oct 4, 2022 · Advisor changed firm · fact
  • N••••••• S•••••• W••• left T•••• I••••••••• M••••••••• for M•••••• F•••••••• • C••• (registered 2023-01-20)
    Oct 4, 2022 · Advisor changed firm · fact
  • T••••• A•••• B•••••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-03)
    Oct 4, 2022 · Advisor changed firm · fact
  • T•••• I••••••••• M•••••••••'s advisors moved to M•••• F•••••••• A••••••• (Issaquah, WA): 5 of 8 registered, a day apart
    Oct 4, 2022 · Firm absorbed (people side) · derived
  • T•••• I••••••••• M••••••••• reported RAUM $700.5M, up 26% from $554.0M (2022-03-16 to 2022-03-28)
    Mar 28, 2022 · RAUM change · derived
  • T•••• I••••••••• M••••••••• reported RAUM $554.0M, up 145% from $225.9M (2020-09-22 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • T•••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
    Nov 13, 2018 · 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