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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SEC-registered adviser
T•••••• P•••• F••••••••
Legal name T•••••• P•••• B•••••• G••••• I•••
Latest filing Jul 1, 2026
First filing on the tape Apr 17, 2019 · 48 filings
SEC status approved since Jul 3, 2019
RAUM
$339M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$338M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$22.6M
derived; firm RAUM over IAPD count
Employees
23
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$339M as of Jul 1, 2026
Feb 19, 2020$162M then
HNW client RAUM$187M as of Jul 1, 2026
Feb 19, 2020$47.6M then
State-registered IARs (5.B.3)14 as of Jul 1, 2026
Feb 19, 202010 then
Employees (5.A)23 as of Jul 1, 2026
Feb 19, 202014 then
Private funds: no history
RAUM -11% over the last fiscal year+13% a year over threeIARs 15 to 14
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $22.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $188,128derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -48%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$187M55%
- Individuals$152M45%
- Charitable organizations$654,8600.2%
- Corporations and businesses$293,9560.1%
- Individual clients
- 683reported
- HNW clients
- 101reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 1,804reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• K••••••• T•••••• | Frederick, Md | Jul 15, 2019 | 32 y | 2 |
| B•••••• A•••••• G•••••• | Frederick, Md | Jul 16, 2019 | 11 y | 2 |
| M•••••• J•••• G••• | Frederick, Md | Jul 19, 2023 | 16 y | 3 |
| J••••••• P••• G••• | Camp Hill, Pa | Jul 19, 2023 | 14 y | 2 |
| J•••• D••••• G•••Certified Financial Planner, Chartered Financial Consultant | Camp Hil, Pa | Aug 4, 2023 | 32 y | 3 |
| E••• D••••• T•••• | Frederick, Md | Oct 16, 2023 | 11 y | 0 |
| K••• A••••• L••••••Certified Financial Planner | Frederick, Md | Nov 3, 2023 | 31 y | 3 |
| R••• M•••••• | Frederick, Md | Aug 28, 2024 | 12 y | 0 |
| T••••• J••••• P•••••• | Frederick, Md | Jan 3, 2025 | 38 y | 2 |
| W•••••• J••• H•••Certified Financial Planner | Frederick, Md | Feb 7, 2025 | 20 y | 2 |
| C•••• S• M•••••••Chartered Financial Consultant | Covington, La | Feb 13, 2025 | 30 y | 9 |
| D•••• D• S•••••••• | Frederick, Md | Oct 10, 2025 | 10 y | 0 |
| D••• L•••• G•••••• | Portland, Or | Nov 5, 2025 | 29 y | 7 |
| C•••• S••••• M••••••• | Frederick, Md | Dec 3, 2025 | 12 y | 0 |
| C•••• A• G••••• | Frederick, Md | Feb 4, 2026 | 12 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount7 left over 36 months
Left, latest
- J••••• V•••• to F••••• C••• C•••••• L••Feb 5, 2026 · RIA to RIA
- B•••• S••••• J••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 4, 2025 · RIA to affiliated broker-dealer or bank
- R••••• J•• P••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 4, 2025 · RIA to affiliated broker-dealer or bank
- C••• W••••• H•••••••• to E••••••••• W••••• A•••••••• L••May 16, 2025 · RIA to RIA
- J•••• M•••••• T••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 17, 2025 · RIA to affiliated broker-dealer or bank
- A•••••••• R••• A•••••••• S••••••••• to R••••• F••••••••• L••Apr 11, 2024 · RIA to RIA
- M••••••• M•••• A••••• to S••••• W••••• A•••••••• I•••Feb 29, 2024 · Other
- G•••• E•••••••• M••• to E•••• S••••••••• L••May 31, 2023 · RIA to affiliated broker-dealer or bank
- C•••••••• N••••••• C••••••••• to M•••• C••••••• A••••••• S••••••Nov 1, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••••• J•• P••• from P•••• S••••••••• L••May 26, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••• S• M••••••• from A••••••••• F•••••••• S•••••••• L••Feb 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- W•••••• J••• H••• from C•••••• A•••••••Feb 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••••• J••••• P•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••• S••••• J••••• from R•••• I••••••••• A••••••• L••Jan 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- K••• A••••• L•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• D••••• G••• from W•• A•••••••• L••Aug 4, 2023 · Other
- M•••••• J•••• G••• from W•• A•••••••• L••Jul 19, 2023 · Other
- J••••••• P••• G••• from W•• A•••••••• L••Jul 19, 2023 · Other
- G•••• E•••••••• M••• from E••••• J••••Oct 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••••••• M•••• A••••• from C•••••• S••••• • C••• I•••Jul 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• V•••• from A••••••••• F•••••••• S•••••••• L••Aug 6, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• M•••••• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 23, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••••• A•••••• G•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 16, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- M••• K••••••• T•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 15, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 4, 2025 · Frederick, Md
- 3 joined from W•• A•••••••• L••Mar 27, 2024 · Camp Hill, Pa · Firm absorbed
- 6 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 23, 2019 · Frederick, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••• T••••••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- T••••••• M•••• K••••••• · President & Shareholdercontrolsince 01/1994 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frederick, Md · principal | 15 | 4 | 3 | 1 | |
| Camp Hill, Pa | 3 | 0 | 0 | ||
| Covington, La | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Camp Hill, PA3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 1, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $383,146,200 to $339,382,378, advisors 15 to 14, private clients 1498 to 784, offices 2 to 2 (2025-03-17 to 2026-04-01)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Apr 1, 2026individual and HNW clients (Item 5.D) moved from 1,498.0 to 784.0 (-48.0%) between the annual amendments of 2025-03-17 and 2026-04-01; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.9% percentile
What changed
consecutive filings, newest first
- Accounts · 2,659 to 1,804Nov 4, 2025 to Apr 1, 2026
- Advisory employees · 16 to 15Nov 4, 2025 to Apr 1, 2026
- Charity clients · 3 to 5Nov 4, 2025 to Apr 1, 2026
- Corporate clients · 0 to 5Nov 4, 2025 to Apr 1, 2026
- HNW clients · 84 to 101Nov 4, 2025 to Apr 1, 2026
- Individual clients · 1,414 to 683Nov 4, 2025 to Apr 1, 2026
- Employees · 25 to 23Nov 4, 2025 to Apr 1, 2026
- State-registered IARs · 15 to 14Nov 4, 2025 to Apr 1, 2026
- Discretionary RAUM · $383M to $339MNov 4, 2025 to Apr 1, 2026
- HNW RAUM · $166M to $187MNov 4, 2025 to Apr 1, 2026
- Individual RAUM · $217M to $152MNov 4, 2025 to Apr 1, 2026
- RAUM · $383M to $339MNov 4, 2025 to Apr 1, 2026
- Accounts · 1,836 to 2,659Mar 5, 2025 to Mar 17, 2025
- Charity clients · 1 to 3Mar 5, 2025 to Mar 17, 2025
- Corporate clients · 12 to 0Mar 5, 2025 to Mar 17, 2025
- HNW clients · 75 to 84Mar 5, 2025 to Mar 17, 2025
- Individual clients · 997 to 1,414Mar 5, 2025 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Mar 5, 2025 to Mar 17, 2025
- Discretionary RAUM · $310M to $383MMar 5, 2025 to Mar 17, 2025
- HNW RAUM · $146M to $166MMar 5, 2025 to Mar 17, 2025
- Individual RAUM · $164M to $217MMar 5, 2025 to Mar 17, 2025
- RAUM · $310M to $383MMar 5, 2025 to Mar 17, 2025
- Advisory employees · 14 to 16Jan 23, 2025 to Mar 5, 2025
- Employees · 23 to 25Jan 23, 2025 to Mar 5, 2025
- State-registered IARs · 13 to 15Jan 23, 2025 to Mar 5, 2025
- Other offices · 1 to 2Jan 23, 2025 to Mar 5, 2025
- State-registered IARs · 14 to 13Dec 26, 2024 to Jan 23, 2025
- Advisory employees · 15 to 14Dec 26, 2024 to Jan 23, 2025
- Employees · 24 to 23Dec 26, 2024 to Jan 23, 2025
- Advisory employees · 14 to 15May 13, 2024 to Sep 10, 2024
- Employees · 18 to 24May 13, 2024 to Sep 10, 2024
- Advisory employees · 15 to 14Mar 19, 2024 to May 13, 2024
- Employees · 19 to 18Mar 19, 2024 to May 13, 2024
- State-registered IARs · 15 to 14Mar 19, 2024 to May 13, 2024
- Accounts · 1,651 to 1,836Feb 29, 2024 to Mar 19, 2024
- HNW clients · 37 to 75Feb 29, 2024 to Mar 19, 2024
- Individual clients · 922 to 997Feb 29, 2024 to Mar 19, 2024
- Discretionary RAUM · $238M to $310MFeb 29, 2024 to Mar 19, 2024
- HNW RAUM · $71.7M to $146MFeb 29, 2024 to Mar 19, 2024
- Individual RAUM · $165M to $164MFeb 29, 2024 to Mar 19, 2024
Signals
13 dated events
- J••••• V•••• left T•••••• P•••• F•••••••• for F••••• C••• C•••••• L•• (registered 2026-01-30)Feb 5, 2026 · Advisor changed firm · fact
- R••••• J•• P••• left T•••••• P•••• F•••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-10-31)Nov 4, 2025 · Advisor changed firm · fact
- B•••• S••••• J••••• left T•••••• P•••• F•••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-10-31)Nov 4, 2025 · Advisor changed firm · fact
- 2 advisors left T•••••• P•••• F•••••••• (Frederick, MD) for C•••••••• I••••••••• R••••••• A•••••••• I••• on the same dayNov 4, 2025 · Team lift-out · derived
- C••• W••••• H•••••••• left T•••••• P•••• F•••••••• for E••••••••• W••••• A•••••••• L•• (registered 2025-05-16)May 16, 2025 · Advisor changed firm · fact
- J•••• M•••••• T••••• left T•••••• P•••• F•••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-01-17)Jan 17, 2025 · Advisor changed firm · fact
- R••• A•••••••• S••••••••• (Chief Compliance Officer & Director Of Operations) no longer on Schedule A of T•••••• P•••• F•••••••• (listed 2024-03-19, absent 2024-05-13)May 13, 2024 · Control person left · inference
- T••••••• J••• K•••• (Chief Compliance Officer) appeared on Schedule A of T•••••• P•••• F••••••••May 13, 2024 · Control person joined · fact
- A•••••••• R••• A•••••••• S••••••••• left T•••••• P•••• F•••••••• for R••••• F••••••••• L•• (registered 2024-08-26)Apr 11, 2024 · Advisor changed firm · fact
- W•• A•••••••• L••'s advisors moved to T•••••• P•••• F•••••••• (Camp Hill, PA): 3 of 3 registered, on the same dayMar 27, 2024 · Firm absorbed (people side) · derived
- M••••••• M•••• A••••• left T•••••• P•••• F•••••••• for S••••• W••••• A•••••••• I••• (registered 2024-03-26)Feb 29, 2024 · Advisor changed firm · fact
- G•••• E•••••••• M••• left T•••••• P•••• F•••••••• for E•••• S••••••••• L•• (registered 2025-09-02)May 31, 2023 · Advisor changed firm · fact
- T•••••• P•••• F•••••••• filed its initial SEC registration (Form ADV)Apr 17, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 301-732-5549reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 301-846-9336reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 301-846-9336reportedpublic record, Form ADV, Jul 1, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $22.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026