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••• N•••• F••••••••
Legal name T•• L••
Latest filing Apr 16, 2024
First filing on the tape May 29, 2020 · 17 filings
RAUM
$357M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$354M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$357M as of Mar 7, 2024
Mar 25, 2021$300M then
HNW client RAUM$237M as of Mar 7, 2024
Mar 25, 2021$160M then
State-registered IARs (5.B.3)4 as of Mar 7, 2024
Mar 25, 20214 then
Employees (5.A)6 as of Mar 7, 2024
Mar 25, 20217 then
Private funds: no history
RAUM +20% over the last fiscal year+6.0% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Apr 16, 2024; every figure names its basis
- RAUM per advisor
- $89.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $294,887derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $266MreportedItem 5.I
- Custody
- $193M, 192 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$237M66%
- Individuals$117M33%
- Charitable organizations$3.0M0.8%
- Corporations and businesses$544,8860.2%
- Individual clients
- 404reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,212reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $266M sponsored, $0 managedreported
- Custody of client assets
- $193M for 192 clientsreported
- 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
- R••• K••• W•••••• to C••• L••Jan 28, 2025 · RIA to affiliated broker-dealer or bank
- L•• A•• F•••••• to C••• L••Jan 28, 2025 · RIA to affiliated broker-dealer or bank
- T•••• D••••• V••••• to C••• L••Jan 28, 2025 · RIA to affiliated broker-dealer or bank
- D•••• T••••• G•••••••• to C••• L••Jan 28, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- D•••• T••••• G•••••••• from D••• D••••••• • C••Jan 8, 2024 · RIA to RIA
- L•• A•• F•••••• from A••••••••• F•••••••• S•••••••• L••Aug 11, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• K••• W•••••• from A••••••••• F•••••••• S•••••••• L••Aug 8, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- T•••• D••••• V••••• from A••••••••• F•••••••• S•••••••• L••Aug 8, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••• T•••• · Managing Member & Chief Compliance Officercontrolsince 05/2020 · 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 |
|---|---|---|---|---|---|
| Billings, Mt · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,157 to 1,212Dec 20, 2023 to Mar 7, 2024
- Advisory employees · 2 to 4Dec 20, 2023 to Mar 7, 2024
- Charity clients · 4.0 to unsetDec 20, 2023 to Mar 7, 2024
- Corporate clients · 2.0 to unsetDec 20, 2023 to Mar 7, 2024
- HNW clients · 81 to 80Dec 20, 2023 to Mar 7, 2024
- Individual clients · 368 to 404Dec 20, 2023 to Mar 7, 2024
- Assets in custody · unset to 193138154.0Dec 20, 2023 to Mar 7, 2024
- Custody of client assets · false to trueDec 20, 2023 to Mar 7, 2024
- Employees · 4 to 6Dec 20, 2023 to Mar 7, 2024
- Financial planning clients · 11-25 to 1-10Dec 20, 2023 to Mar 7, 2024
- State-registered IARs · 2 to 4Dec 20, 2023 to Mar 7, 2024
- Discretionary RAUM · $298M to $357MDec 20, 2023 to Mar 7, 2024
- HNW RAUM · $197M to $237MDec 20, 2023 to Mar 7, 2024
- Individual RAUM · $96.8M to $117MDec 20, 2023 to Mar 7, 2024
- RAUM · $298M to $357MDec 20, 2023 to Mar 7, 2024
- Wrap assets (sponsor) · $0 to $266MDec 20, 2023 to Mar 7, 2024
- Accounts · 1,146 to 1,157Dec 5, 2022 to Mar 8, 2023
- Advisory employees · 4 to 2Dec 5, 2022 to Mar 8, 2023
- Advisory activities · 4 to 3Dec 5, 2022 to Mar 8, 2023
- HNW clients · 84 to 81Dec 5, 2022 to Mar 8, 2023
- Individual clients · 363 to 368Dec 5, 2022 to Mar 8, 2023
- Employees · 7 to 4Dec 5, 2022 to Mar 8, 2023
- State-registered IARs · 4 to 2Dec 5, 2022 to Mar 8, 2023
- Discretionary RAUM · $309M to $298MDec 5, 2022 to Mar 8, 2023
- HNW RAUM · $209M to $197MDec 5, 2022 to Mar 8, 2023
- Individual RAUM · $97.2M to $96.8MDec 5, 2022 to Mar 8, 2023
- RAUM · $309M to $298MDec 5, 2022 to Mar 8, 2023
- Accounts · 1,114 to 1,146Jan 18, 2022 to Mar 29, 2022
- Advisory activities · 3 to 4Jan 18, 2022 to Mar 29, 2022
- Corporate clients · unset to 2.0Jan 18, 2022 to Mar 29, 2022
- HNW clients · 14 to 84Jan 18, 2022 to Mar 29, 2022
- Individual clients · 380 to 363Jan 18, 2022 to Mar 29, 2022
- Financial planning clients · 51-100 to 11-25Jan 18, 2022 to Mar 29, 2022
- Discretionary RAUM · $300M to $309MJan 18, 2022 to Mar 29, 2022
- HNW RAUM · $160M to $209MJan 18, 2022 to Mar 29, 2022
- Individual RAUM · $138M to $97.2MJan 18, 2022 to Mar 29, 2022
- RAUM · $300M to $309MJan 18, 2022 to Mar 29, 2022
- Accounts · 1,043 to 1,114Nov 25, 2020 to Mar 25, 2021
- BD registered reps · 4 to 0Nov 25, 2020 to Mar 25, 2021
- Charity clients · unset to 4.0Nov 25, 2020 to Mar 25, 2021
Signals
6 dated events
- D•••• T••••• G•••••••• left T••• N•••• F•••••••• for C••• L•• (registered 2024-09-24)Jan 28, 2025 · Advisor changed firm · fact
- T•••• D••••• V••••• left T••• N•••• F•••••••• for C••• L•• (registered 2024-09-24)Jan 28, 2025 · Advisor changed firm · fact
- R••• K••• W•••••• left T••• N•••• F•••••••• for C••• L•• (registered 2024-09-24)Jan 28, 2025 · Advisor changed firm · fact
- L•• A•• F•••••• left T••• N•••• F•••••••• for C••• L•• (registered 2024-09-24)Jan 28, 2025 · Advisor changed firm · fact
- T••• N•••• F••••••••'s advisors moved to C••• L•• (Billings, MT): 4 of 4 registered, on the same dayJan 28, 2025 · Firm absorbed (people side) · derived
- T••• N•••• F•••••••• filed its initial SEC registration (Form ADV)May 29, 2020 · 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