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•••• G••• L••
Latest filing Aug 1, 2023
First filing on the tape Sep 14, 2020 · 17 filings
RAUM
$3.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM: $3.9M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 15, 20210 then
Employees (5.A)24 as of Mar 31, 2023
Mar 15, 202110 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 1, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $303,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$3.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- n/areported
- 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
- D•••• N• D••••• to F•••••••Nov 8, 2023 · Other
Joined, latest
- D•••• N• D••••• from C•••••• S••••• • C••• I•••Feb 24, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• A•••••• J••••• · Coocontrolsince 06/2023 · owns less than 5%
- N•••• V••••• B•••••••• · Chief Executive Officercontrolsince 09/2019 · owns less than 5%
- S•••••••• R••••• A••••• · Ccocontrolsince 09/2022 · owns less than 5%
- N•••• V••••• B•••••••• · Membercontrolsince 06/2018 · owns 75% or more of N••• A••••••• S••••••• I••
Entity owners
- T•••• W••••••••• L•• · Memberdirect · owns 50% to 75%
- N••• A••••••• S••••••• I•• · Memberindirect · owns 25% to 50% of T•• T•••• G•••• L••
- T•• T•••• G•••• L•• · Memberindirect · owns 75% or more of T•••• W••••••••• L••
Related persons
Schedule D 7.A
- T•••• G•••investment advisernRAUM $30.9M
- M••••••investment advisernRAUM $2.1M
- P•••••• A••••••• L••investment advisernRAUM $2.7B
- T•••• D••••••••• P•••••••broker-dealern
- T•••• P•••••• M•••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boulder, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Individual clients · 12.0 to unsetJun 12, 2023 to Aug 1, 2023
- Individual RAUM · 3939000.0 to unsetJun 12, 2023 to Aug 1, 2023
- Accounts · unset to 13.0Aug 4, 2022 to Mar 31, 2023
- Individual clients · unset to 12.0Aug 4, 2022 to Mar 31, 2023
- Employees · 8 to 24Aug 4, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 3939000.0Aug 4, 2022 to Mar 31, 2023
- Individual RAUM · unset to 3939000.0Aug 4, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Aug 4, 2022 to Mar 31, 2023
- RAUM · unset to 3939000.0Aug 4, 2022 to Mar 31, 2023
- Related broker-dealer · false to trueApr 1, 2022 to Jul 21, 2022
- Advisory employees · 0 to 2Feb 25, 2022 to Mar 31, 2022
- Employees · 10 to 8Feb 25, 2022 to Mar 31, 2022
- Other offices · 0 to 1Feb 25, 2022 to Mar 31, 2022
- Legal name · P•••••••• L•• to T•••• G••• L••Feb 25, 2022 to Feb 25, 2022
- Business name · P•••••••• L•• to T•••• G••• L••Feb 25, 2022 to Feb 25, 2022
- Accounts · 0.0 to unsetNov 6, 2020 to Mar 15, 2021
- Discretionary RAUM · 0.0 to unsetNov 6, 2020 to Mar 15, 2021
- Non-discretionary RAUM · 0.0 to unsetNov 6, 2020 to Mar 15, 2021
- RAUM · 0.0 to unsetNov 6, 2020 to Mar 15, 2021
Signals
11 dated events
- D•••• N• D••••• left T•••• G••• L•• for Forusall (registered 2024-03-01)Nov 8, 2023 · Advisor changed firm · fact
- Iain Gillespie (Chief Product Officer) no longer on Schedule A of T•••• G••• L•• (listed 2023-04-17, absent 2023-06-12)Jun 12, 2023 · Control person left · inference
- J••••• A••••• B•••• (Coo) appeared on Schedule A of T•••• G••• L••Jun 12, 2023 · Control person joined · fact
- Earl Steven Schraibman (Chief Compliance Officer) no longer on Schedule A of T•••• G••• L•• (listed 2022-08-04, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- C W•••••• P•••••• (General Manager) no longer on Schedule A of T•••• G••• L•• (listed 2022-08-04, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A••••• R•••• S••••••• (Cco) appeared on Schedule A of T•••• G••• L••Mar 31, 2023 · Control person joined · fact
- C W•••••• P•••••• (General Manager) appeared on Schedule A of T•••• G••• L••Jul 21, 2022 · Control person joined · fact
- Ann Lisa Mougin (Chief Operating Officer And President) no longer on Schedule A of T•••• G••• L•• (listed 2021-03-15, absent 2021-12-01)Dec 1, 2021 · Control person left · inference
- Douglas Colby Stilson (Chief Compliance Officer) no longer on Schedule A of T•••• G••• L•• (listed 2020-11-06, absent 2021-03-15)Mar 15, 2021 · Control person left · inference
- Earl Steven Schraibman (Chief Compliance Officer) appeared on Schedule A of T•••• G••• L••Mar 15, 2021 · Control person joined · fact
- P•••••••• L•• filed its initial SEC registration (Form ADV)Sep 14, 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