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 T••• L••
Latest filing Mar 22, 2024
First filing on the tape Jul 23, 2019 · 29 filings
SEC status approved since Aug 22, 2019
RAUM
$101M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$93.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$101M as of Mar 22, 2024
Mar 10, 2020$111M then
HNW client RAUM$82.8M as of Mar 22, 2024
Mar 10, 2020$77.6M then
State-registered IARs (5.B.3)1 as of Mar 22, 2024
Mar 10, 20203 then
Employees (5.A)3 as of Mar 22, 2024
Mar 10, 20209 then
Private funds: no history
RAUM -85% over the last fiscal year-16% a year over threeIARs 12 to 1offices 5 to 1
Practice profile
derived from the filing of Mar 22, 2024; every figure names its basis
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $454,804derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -85%derivedbetween the last two annual amendments
- Advisor growth, one year
- -92%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -94%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$82.8M82%
- Individuals$10.5M10%
- Corporations and businesses$7.3M7.2%
- Individual clients
- 14reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 221reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- A••• B• J••••••• to O•••••••Dec 20, 2024 · RIA to RIA
- N••••• D•••• S••••• to C•••••• A•••• M••••••••• L••Jan 26, 2024 · RIA to RIA
- N••••••• J•••• M••••• to C••••••••• P•••••• W•••••Oct 10, 2023 · RIA to a newly registered adviser
- S••••• M•••••• S••••••••• to C••••••••• P•••••• W•••••Oct 10, 2023 · RIA to a newly registered adviser
- C••• W• G•••••••• to K•••••••• W••••• A•••••••Sep 6, 2023 · RIA to a newly registered adviser
- C•••• M• E•••••• to K•••••••• W••••• A•••••••Sep 6, 2023 · RIA to a newly registered adviser
- J•••• W•••••• S••••••• to K•••••••• W••••• A•••••••Sep 6, 2023 · RIA to a newly registered adviser
- D•••• A•••• L••••• to K•••••••• W••••• A•••••••Sep 6, 2023 · RIA to a newly registered adviser
- C•••••••• D•••• F••••• to K•••••••• W••••• A•••••••Sep 6, 2023 · RIA to a newly registered adviser
- C••• S••• M••••• to P••••••• W•••••May 2, 2023 · RIA to RIA
- D•••• A•••••••• to P••••••• W•••••May 2, 2023 · RIA to RIA
- M•••••• S••••• C•••••• to T••••••• W•••••Nov 28, 2022 · RIA to RIA
Joined, latest
- N••••• D•••• S••••• from U•• F•••••••• S••••••• I•••Jun 15, 2023 · Wirehouse to independent RIA
- S••••• M•••••• S••••••••• from P••• A••••• S••••••••• L••Mar 16, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••• M• E•••••• from N••••••••• M••••• I••••••••• S•••••••••Jan 26, 2022 · Other
- N••••••• J•••• M••••• from R•• C•••••• M••••••• L••Sep 17, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••• W• G•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 18, 2021 · Wirehouse to independent RIA
- J•••• W•••••• S••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 18, 2021 · Wirehouse to independent RIA
- D•••• A•••• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 18, 2021 · Wirehouse to independent RIA
- C•••••••• D•••• F••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 18, 2021 · Wirehouse to independent RIA
- M•••••• S••••• C•••••• from R•• C•••••• M••••••• L••May 18, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••• B• J••••••• from U•• F•••••••• S••••••• I•••Sep 30, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••• S••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 19, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• A•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 19, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• P•••••• W•••••Oct 10, 2023 · Wilmington, Nc
- 4 left for K•••••••• W••••• A•••••••Sep 6, 2023 · Pittsford, Ny
- 4 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 21, 2021 · Pittsford, Ny
- 2 joined from U•• F•••••••• S••••••• I•••Oct 8, 2019 · Beverly Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• R••••••• J••••• · Vice Presidentcontrolsince 03/2023 · owns less than 5%
- G••••• R•••••• S•••• · Ceo, Managing Membercontrolsince 03/2023 · owns less than 5%
- G••••• R•••••• S•••• · Ownercontrolsince 05/2022 · owns 75% or more of W• A•• O•• S•••• L••
- R••••••• T•••• M•••••• · President, Chief Compliance Officer, Membersince 03/2023 · owns less than 5%
Entity owners
- M••••• H•••••••• L•• · Managing Memberdirect · owns 75% or more
- W• A•• O•• S•••• L•• · Managing Memberindirect · owns 75% or more of M••••• H•••••••• L••
Related persons
Schedule D 7.A
- M•• I•••LP sponsorreal estaten
- O•••••••investment adviseryRAUM $7.7B
- M•• S••••••••• C••••broker-dealern
Advisers that list T••••••••• W••••• A••••••• as a related person
- 283087 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca | 0 | 0 | 0 | ||
| Raleigh, Nc | 0 | 0 | 0 | ||
| Wilmington, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 2,346 to 221Jan 2, 2024 to Mar 22, 2024
- Advisory employees · 12 to 1Jan 2, 2024 to Mar 22, 2024
- Corporate clients · unset to 1.0Jan 2, 2024 to Mar 22, 2024
- HNW clients · 191 to 20Jan 2, 2024 to Mar 22, 2024
- Individual clients · 411 to 14Jan 2, 2024 to Mar 22, 2024
- Pooled vehicle clients · 3.0 to unsetJan 2, 2024 to Mar 22, 2024
- Assets in custody · 690928605.0 to unsetJan 2, 2024 to Mar 22, 2024
- Custody of client assets · true to falseJan 2, 2024 to Mar 22, 2024
- Employees · 12 to 3Jan 2, 2024 to Mar 22, 2024
- Insurance-licensed employees · 2 to 0Jan 2, 2024 to Mar 22, 2024
- State-registered IARs · 12 to 1Jan 2, 2024 to Mar 22, 2024
- Discretionary RAUM · $668M to $99.0MJan 2, 2024 to Mar 22, 2024
- HNW RAUM · $462M to $82.8MJan 2, 2024 to Mar 22, 2024
- Individual RAUM · $219M to $10.5MJan 2, 2024 to Mar 22, 2024
- Non-discretionary RAUM · $22.5M to $1.5MJan 2, 2024 to Mar 22, 2024
- Pension RAUM · 337403.0 to unsetJan 2, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · 621280.0 to unsetJan 2, 2024 to Mar 22, 2024
- RAUM · $691M to $101MJan 2, 2024 to Mar 22, 2024
- Other offices · 5 to 1May 22, 2023 to Jan 2, 2024
- Business name · T••• L•• to T••••••••• W••••• A•••••••Apr 5, 2023 to May 22, 2023
- HQ city · ST. PETERSBURG to BEACHWOODApr 5, 2023 to May 22, 2023
- HQ state · FL to OHApr 5, 2023 to May 22, 2023
- Related adviser · false to trueMar 28, 2023 to Apr 5, 2023
- Related broker-dealer · false to trueMar 28, 2023 to Apr 5, 2023
- Accounts · 2,352 to 2,346Mar 10, 2023 to Mar 28, 2023
- Advisory employees · 9 to 12Mar 10, 2023 to Mar 28, 2023
- Individual clients · 409 to 411Mar 10, 2023 to Mar 28, 2023
- Pooled vehicle clients · unset to 3.0Mar 10, 2023 to Mar 28, 2023
- Assets in custody · $226M to $691MMar 10, 2023 to Mar 28, 2023
- Insurance-licensed employees · 0 to 2Mar 10, 2023 to Mar 28, 2023
- State-registered IARs · 9 to 12Mar 10, 2023 to Mar 28, 2023
- Other offices · 7 to 5Mar 10, 2023 to Mar 28, 2023
- Discretionary RAUM · $695M to $668MMar 10, 2023 to Mar 28, 2023
- HNW RAUM · $467M to $462MMar 10, 2023 to Mar 28, 2023
- Individual RAUM · $248M to $219MMar 10, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $32.2M to $22.5MMar 10, 2023 to Mar 28, 2023
- Pension RAUM · $522,156 to $337,403Mar 10, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · unset to 621280.0Mar 10, 2023 to Mar 28, 2023
- RAUM · $727M to $691MMar 10, 2023 to Mar 28, 2023
- HQ city · TAMPA to ST. PETERSBURGSep 19, 2022 to Nov 29, 2022
Signals
32 dated events
- T••••••••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $100.5M)Feb 3, 2025 · Left the SEC roster · derived
- A••• B• J••••••• left T••••••••• W••••• A••••••• for Oneseven (registered 2025-12-02)Dec 20, 2024 · Advisor changed firm · fact
- T••••••••• W••••• A••••••• reported RAUM $100.5M, down 85% from $690.9M (2024-01-02 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- T••••••••• W••••• A••••••• reported 1 state-registered advisory representatives, down from 12 (2024-01-02 to 2024-03-22)Mar 22, 2024 · Advisor headcount change · derived
- N••••• D•••• S••••• left T••••••••• W••••• A••••••• for C•••••• A•••• M••••••••• L•• (registered 2025-01-01)Jan 26, 2024 · Advisor changed firm · fact
- S••••• M•••••• S••••••••• left T••••••••• W••••• A••••••• for C••••••••• P•••••• W••••• (registered 2023-10-12)Oct 10, 2023 · Advisor changed firm · fact
- N••••••• J•••• M••••• left T••••••••• W••••• A••••••• for C••••••••• P•••••• W••••• (registered 2023-10-12)Oct 10, 2023 · Advisor changed firm · fact
- 2 advisors left T••••••••• W••••• A••••••• (Wilmington, NC) for C••••••••• P•••••• W••••• on the same dayOct 10, 2023 · Team lift-out · derived
- D•••• A•••• L••••• left T••••••••• W••••• A••••••• for K•••••••• W••••• A••••••• (registered 2023-09-03)Sep 6, 2023 · Advisor changed firm · fact
- C•••• M• E•••••• left T••••••••• W••••• A••••••• for K•••••••• W••••• A••••••• (registered 2023-09-03)Sep 6, 2023 · Advisor changed firm · fact
- C••• W• G•••••••• left T••••••••• W••••• A••••••• for K•••••••• W••••• A••••••• (registered 2023-09-03)Sep 6, 2023 · Advisor changed firm · fact
- J•••• W•••••• S••••••• left T••••••••• W••••• A••••••• for K•••••••• W••••• A••••••• (registered 2023-09-03)Sep 6, 2023 · Advisor changed firm · fact
- C•••••••• D•••• F••••• left T••••••••• W••••• A••••••• for K•••••••• W••••• A••••••• (registered 2023-09-03)Sep 6, 2023 · Advisor changed firm · fact
- 4 advisors left T••••••••• W••••• A••••••• (Pittsford, NY) for K•••••••• W••••• A••••••• on the same daySep 6, 2023 · Team lift-out · derived
- D•••• A•••••••• left T••••••••• W••••• A••••••• for P••••••• W••••• (registered 2023-03-02)May 2, 2023 · Advisor changed firm · fact
- C••• S••• M••••• left T••••••••• W••••• A••••••• for P••••••• W••••• (registered 2023-03-03)May 2, 2023 · Advisor changed firm · fact
- Woods Darian Johnson (Chairman) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2023-03-28, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- William Travis Johnson (Senior Vice President) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2023-03-28, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- Jean Pamela Stross (President And Chief Executive Officer) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2023-03-28, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- Vieson Julie Fanelli (Trustee) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2023-03-28, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- Ann Christine Castellano (Chief Operating Officer) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2023-03-28, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- Scott Ronald Gross (Ceo, Managing Member) appeared on Schedule A of T••••••••• W••••• A•••••••Apr 5, 2023 · Control person joined · fact
- Julius Richard Gross (Vice President) appeared on Schedule A of T••••••••• W••••• A•••••••Apr 5, 2023 · Control person joined · fact
- Andres Edwin Fermin (Chief Compliance Officer) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2022-11-29, absent 2023-03-10)Mar 10, 2023 · Control person left · inference
- M•••••• S••••• C•••••• left T••••••••• W••••• A••••••• for T••••••• W••••• (registered 2022-11-10)Nov 28, 2022 · Advisor changed firm · fact
- T••••••••• W••••• A••••••• reported RAUM $726.8M, up 322% from $172.1M (2021-10-19 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Andres Edwin Fermin (Chief Compliance Officer) appeared on Schedule A of T••••••••• W••••• A•••••••Mar 30, 2022 · Control person joined · fact
- Lynn Catherine Mustico (Chief Compliance Officer) no longer on Schedule A of T••••••••• W••••• A••••••• (listed 2020-06-25, absent 2020-08-07)Aug 7, 2020 · Control person left · inference
- Ann Christine Castellano (Chief Compliance Officer) appeared on Schedule A of T••••••••• W••••• A•••••••Aug 7, 2020 · Control person joined · fact
- Lynn Catherine Mustico (Chief Compliance Officer) appeared on Schedule A of T••••••••• W••••• A•••••••Aug 29, 2019 · Control person joined · 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