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••••• M•••••••••
Legal name T•• W••••• M••••••••• L••
Latest filing Jun 11, 2024
First filing on the tape Jul 1, 2020 · 27 filings
RAUM
$781M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
92%
$717M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$986M as of Mar 27, 2024
Mar 19, 2021$601M then
HNW client RAUM$621M as of Mar 27, 2024
Mar 19, 2021$410M then
State-registered IARs (5.B.3)8 as of Mar 27, 2024
Mar 19, 20216 then
Employees (5.A)13 as of Mar 27, 2024
Mar 19, 20219 then
Private funds: no history
RAUM -1.8% over the last fiscal year+9.1% a year over threeIARs 7 to 6offices 0 to 1
Practice profile
derived from the filing of Jun 11, 2024; every figure names its basis
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $466,436derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Custody
- $200M, 146 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$654M84%
- Individuals$62.5M8.0%
- Pension and profit-sharing plans$32.5M4.2%
- Corporations and businesses$31.8M4.1%
- Individual clients
- 139reported
- HNW clients
- 171reported
- Pension plan clients
- 22reported
- Charitable clients
- 0reported
- Accounts
- 1,674reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 146 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
- T••• M•••••••• D•••• to N••••••••• A•••• M••••••••• L••Jul 1, 2024 · RIA to RIA
- E••• J•••••• A•••••• to N••••••••• A•••• M••••••••• L••Jul 1, 2024 · RIA to RIA
- G•••• D•••• L•••• to N••••••••• A•••• M••••••••• L••Jul 1, 2024 · RIA to RIA
- D•••• P••••••• to N••••••••• A•••• M••••••••• L••Jul 1, 2024 · RIA to RIA
- M••• W•••••• R•••• to N••••••••• A•••• M••••••••• L••Jul 1, 2024 · RIA to RIA
- S•••• J••••• W••• to C•••••• A•••••••Apr 30, 2024 · RIA to a newly registered adviser
- R••••• H•••• H•••••••• to S•••••• W••••• P•••••••• L••Feb 28, 2023 · RIA to affiliated broker-dealer or bank
- S••••• E••••• N••••• to F••••••• C•••••• A•••••••Aug 3, 2022 · RIA to a state-registered adviser
- J•••• B••••••• P••••• to V••••••• A•••••••• I•••Apr 11, 2022 · RIA to affiliated broker-dealer or bank
- J•••• K•••••• to C••••••••• F•••••••• N••••••Feb 1, 2022 · RIA to affiliated broker-dealer or bank
- R•••• P••••• F•••• to T•• A•••••••• G••••Dec 4, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••••• H•••• H•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 13, 2022 · Wirehouse to independent RIA
- J•••• B••••••• P••••• from R•••• • A••••••••• W••••• M•••••••••Sep 27, 2021 · RIA to RIA
- J•••• K•••••• from L•••••• I••••••••• A•••••••• L••Sep 15, 2021 · Other
- M••• W•••••• R•••• from T•• F••••• O••••• P•••••••Jul 28, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for N••••••••• A•••• M••••••••• L••Jul 1, 2024 · S•••••••••, Az · Firm absorbed
- 6 joined from O•• C•••••• P•••••• W•••••Sep 30, 2020 · S•••••••••, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• T•••• M•••••••• · Manager/Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- L••••• G••••• D•••• · Chief O•••••••• Officercontrolsince 06/2020 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Memberdirect · owns 75% or more
- C••• A••••••••• X••• L••• · General Partnerindirect · owns F of C••••••• D•••••• • R••• F••• X••• L•••
- C••• A••••••••• X••• L••• · General Partnerindirect · owns F of C••• F•••••••• C••••••••• L•••
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••• I••••••••• A••••••••• X••• L••• · General Partnerindirect · owns F of C••• F•••••••• H•••••••• L•••
- C••••••• D•••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
- T•• I•••••••• S•••••••• L••real estaten
Advisers that list T•• W••••• M••••••••• as a related person
- 310912 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| S•••••••••, Az · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,639 to 1,674Apr 24, 2024 to Jun 10, 2024
- Advisory employees · 8 to 6Apr 24, 2024 to Jun 10, 2024
- Corporate clients · 6 to 5Apr 24, 2024 to Jun 10, 2024
- HNW clients · 169 to 171Apr 24, 2024 to Jun 10, 2024
- Individual clients · 130 to 139Apr 24, 2024 to Jun 10, 2024
- Pension plan clients · 67 to 22Apr 24, 2024 to Jun 10, 2024
- Pooled vehicle clients · 5 to 0Apr 24, 2024 to Jun 10, 2024
- Employees · 13 to 10Apr 24, 2024 to Jun 10, 2024
- State-registered IARs · 8 to 6Apr 24, 2024 to Jun 10, 2024
- Discretionary RAUM · $978M to $776MApr 24, 2024 to Jun 10, 2024
- HNW RAUM · $621M to $654MApr 24, 2024 to Jun 10, 2024
- Individual RAUM · $58.8M to $62.5MApr 24, 2024 to Jun 10, 2024
- Non-discretionary RAUM · $8.3M to $4.6MApr 24, 2024 to Jun 10, 2024
- Pension RAUM · $116M to $32.5MApr 24, 2024 to Jun 10, 2024
- Pooled vehicle RAUM · $158M to $0Apr 24, 2024 to Jun 10, 2024
- RAUM · $986M to $781MApr 24, 2024 to Jun 10, 2024
- Accounts · 1,491 to 1,639Oct 13, 2023 to Mar 27, 2024
- Advisory employees · 7 to 8Oct 13, 2023 to Mar 27, 2024
- Corporate clients · 1 to 6Oct 13, 2023 to Mar 27, 2024
- HNW clients · 164 to 169Oct 13, 2023 to Mar 27, 2024
- Individual clients · 122 to 130Oct 13, 2023 to Mar 27, 2024
- Pension plan clients · 62 to 67Oct 13, 2023 to Mar 27, 2024
- Assets in custody · $183M to $200MOct 13, 2023 to Mar 27, 2024
- Employees · 12 to 13Oct 13, 2023 to Mar 27, 2024
- State-registered IARs · 7 to 8Oct 13, 2023 to Mar 27, 2024
- Discretionary RAUM · $788M to $978MOct 13, 2023 to Mar 27, 2024
- HNW RAUM · $539M to $621MOct 13, 2023 to Mar 27, 2024
- Individual RAUM · $56.5M to $58.8MOct 13, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $6.6M to $8.3MOct 13, 2023 to Mar 27, 2024
- Pension RAUM · $175M to $116MOct 13, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $22.3M to $158MOct 13, 2023 to Mar 27, 2024
- RAUM · $795M to $986MOct 13, 2023 to Mar 27, 2024
- Other offices · 0 to 1Mar 29, 2023 to May 16, 2023
- Accounts · 1,410 to 1,491Mar 2, 2023 to Mar 27, 2023
- Advisory employees · 8 to 7Mar 2, 2023 to Mar 27, 2023
- Corporate clients · 2 to 1Mar 2, 2023 to Mar 27, 2023
- HNW clients · 166 to 164Mar 2, 2023 to Mar 27, 2023
- Individual clients · 102 to 122Mar 2, 2023 to Mar 27, 2023
- Pension plan clients · 55 to 62Mar 2, 2023 to Mar 27, 2023
- Pooled vehicle clients · 4 to 5Mar 2, 2023 to Mar 27, 2023
Signals
16 dated events
- T•• W••••• M•••••••••'s advisors moved to N••••••••• A•••• M••••••••• L•• (Scottsdale, AZ): 5 of 5 registered, on the same dayJul 1, 2024 · Firm absorbed (people side) · derived
- M••• W•••••• R•••• left T•• W••••• M••••••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-08-01)Jul 1, 2024 · Advisor changed firm · fact
- D•••• P••••••• left T•• W••••• M••••••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-30)Jul 1, 2024 · Advisor changed firm · fact
- T••• M•••••••• D•••• left T•• W••••• M••••••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-24)Jul 1, 2024 · Advisor changed firm · fact
- E••• J•••••• A•••••• left T•• W••••• M••••••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-29)Jul 1, 2024 · Advisor changed firm · fact
- G•••• D•••• L•••• left T•• W••••• M••••••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-07-24)Jul 1, 2024 · Advisor changed firm · fact
- S•••• J••••• W••• left T•• W••••• M••••••••• for C•••••• A••••••• (registered 2024-06-07)Apr 30, 2024 · Advisor changed firm · fact
- Elaine Susan Abbass (Chief Compliance Officer) no longer on Schedule A of T•• W••••• M••••••••• (listed 2023-10-13, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- R••••• H•••• H•••••••• left T•• W••••• M••••••••• for S•••••• W••••• P•••••••• L•• (registered 2024-02-27)Feb 28, 2023 · Advisor changed firm · fact
- Eugene Steven Neeley (Chief Investment Officer) no longer on Schedule A of T•• W••••• M••••••••• (listed 2022-03-29, absent 2022-08-22)Aug 22, 2022 · Control person left · inference
- S••••• E••••• N••••• left T•• W••••• M••••••••• for F••••••• C•••••• A••••••• (registered 2022-08-30)Aug 3, 2022 · Advisor changed firm · fact
- J•••• B••••••• P••••• left T•• W••••• M••••••••• for V••••••• A•••••••• I••• (registered 2022-04-26)Apr 11, 2022 · Advisor changed firm · fact
- T•• W••••• M••••••••• reported RAUM $818.5M, up 36% from $600.6M (2022-02-18 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Eugene Steven Neeley (Chief Investment Officer) appeared on Schedule A of T•• W••••• M•••••••••Mar 25, 2022 · Control person joined · fact
- J•••• K•••••• left T•• W••••• M••••••••• for C••••••••• F•••••••• N•••••• (registered 2022-02-16)Feb 1, 2022 · Advisor changed firm · fact
- T•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 1, 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