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 Mar 13, 2024
First filing on the tape Aug 6, 2021 · 10 filings
SEC status approved since Sep 9, 2021
RAUM
$116M
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
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$116M as of Mar 13, 2024
Mar 18, 2022$15.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 13, 2024
Mar 18, 20220 then
Employees (5.A)8 as of Mar 13, 2024
Mar 18, 20222 then
Private funds: no history
RAUM +1076% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
- RAUM per advisor
- $29.0MderivedRAUM 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
- $16.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1076%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$116M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- K••••••• M••••••• J••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- P••• M••••••• H••••••• · Founder/Director/Ciocontrolsince 03/2021 · owns less than 5%
- P••• M••••••• H••••••• · Founder/Director/Ciocontrolsince 07/2022 · owns 50% to 75% of D••• G••••• T•••• L••••••
Entity owners
- D••• G••••• T•••• L•••••• · Directordirect · owns 75% or more
Related persons
Schedule D 7.A
- T••• G••••• M••••••••• L••••••investment advisern
Advisers that list T••• G••••• L•••••• as a related person
- 332224 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 7May 16, 2023 to Mar 13, 2024
- Advisory employees · 4 to 5May 16, 2023 to Mar 13, 2024
- State-registered IARs · 1 to 4May 16, 2023 to Mar 13, 2024
- Discretionary RAUM · $10.2M to $116MMay 16, 2023 to Mar 13, 2024
- RAUM · $10.2M to $116MMay 16, 2023 to Mar 13, 2024
- Accounts · 1 to 4Mar 27, 2023 to May 16, 2023
- Advisory employees · 1 to 4Mar 27, 2023 to May 16, 2023
- Employees · 2 to 8Mar 27, 2023 to May 16, 2023
- State-registered IARs · 0 to 1Mar 27, 2023 to May 16, 2023
- Discretionary RAUM · $9.9M to $10.2MMar 27, 2023 to May 16, 2023
- RAUM · $9.9M to $10.2MMar 27, 2023 to May 16, 2023
- Business name · D••• G••••• to T••• G••••• L••••••Aug 18, 2022 to Mar 27, 2023
- Legal name · D••• G••••• L•••••• to T••• G••••• L••••••Aug 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $15.0M to $9.9MAug 18, 2022 to Mar 27, 2023
- RAUM · $15.0M to $9.9MAug 18, 2022 to Mar 27, 2023
- Accounts · unset to 1.0Jan 7, 2022 to Mar 18, 2022
- Discretionary RAUM · unset to 15000000.0Jan 7, 2022 to Mar 18, 2022
- Non-discretionary RAUM · unset to 0.0Jan 7, 2022 to Mar 18, 2022
- RAUM · unset to 15000000.0Jan 7, 2022 to Mar 18, 2022
Signals
6 dated events
- T••• G••••• L•••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $116.0M)May 2, 2025 · Left the SEC roster · derived
- L••••• T••• S••••••• (Chief Compliance Officer) no longer on Schedule A of T••• G••••• L•••••• (listed 2022-03-18, absent 2022-07-18)Jul 18, 2022 · Control person left · inference
- J••• M•••••• K•••••• (Chief Compliance Officer) appeared on Schedule A of T••• G••••• L••••••Jul 18, 2022 · Control person joined · fact
- Rochelle Christine Jervier (Chief Compliance Officer) no longer on Schedule A of T••• G••••• L•••••• (listed 2021-08-06, absent 2022-01-07)Jan 7, 2022 · Control person left · inference
- L••••• T••• S••••••• (Chief Compliance Officer) appeared on Schedule A of T••• G••••• L••••••Jan 7, 2022 · Control person joined · fact
- D••• G••••• filed its initial SEC registration (Form ADV)Aug 6, 2021 · 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