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••• A•••••••• I•••
Latest filing Mar 21, 2022
First filing on the tape Nov 14, 2019 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 21, 2022
Feb 3, 2021$0 then
State-registered IARs (5.B.3)1 as of Mar 21, 2022
Mar 30, 20201 then
Employees (5.A)3 as of Mar 21, 2022
Mar 30, 20202 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2022; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2,226derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $0derivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 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
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +262%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $2reportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 2,224reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- $1 sponsored, $1 managedreported
- Custody of client assets
- noreported
- Compensation
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• N••• · President & Chief Compliance Officercontrolsince 01/2019 · owns 75% or more
- G•••• N••• · Ownercontrolsince 08/2018 · owns 50% to 75% of T••• F•••••••• T•••••••••
Entity owners
- T••• F•••••••• T••••••••• · Ownerdirect · 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
- HNW clients · 0 to 2Mar 7, 2022 to Mar 21, 2022
- Individual clients · 615 to 2,224Mar 7, 2022 to Mar 21, 2022
- Employees · 2 to 3Jul 7, 2021 to Aug 12, 2021
- Charity clients · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Corporate clients · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- HNW clients · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Individual clients · unset to 615.0Dec 1, 2020 to Feb 3, 2021
- Pension plan clients · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Pooled vehicle clients · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- HNW RAUM · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Individual RAUM · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Pension RAUM · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Pooled vehicle RAUM · unset to 0.0Dec 1, 2020 to Feb 3, 2021
- Accounts · 0.0 to unsetNov 14, 2019 to Mar 30, 2020
- Business name · T••• to T••• A•••••••• I•••Nov 14, 2019 to Mar 30, 2020
- Discretionary RAUM · 0.0 to unsetNov 14, 2019 to Mar 30, 2020
- Non-discretionary RAUM · 0.0 to unsetNov 14, 2019 to Mar 30, 2020
- RAUM · 0.0 to unsetNov 14, 2019 to Mar 30, 2020
Signals
1 dated events
- Trio filed its initial SEC registration (Form ADV)Nov 14, 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.
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