DFX Intelligence
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T•• P•••• I•••
Wealth manager with institutional or fund business, reporting $416M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $416M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +4.1%
- Private clients
- 32% of RAUM, $135M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- institutional share of RAUM 0.670255852523658
- Contact points 2
Every filed figure, and the identifiersCRD 316015 · SEC 801-123219 · 13 filingsShowHide
CRD 316015SEC 801-123219First filing on the tape Jan 12, 2022, latest Apr 6, 2026SEC status approved since Feb 11, 2022IAPD
RAUM
$416M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
32%
$135M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$416M as of Apr 6, 2026
Mar 31, 2023$100M then
HNW client RAUM$135M as of Apr 6, 2026
Mar 31, 2023$70.0M then
State-registered IARs (5.B.3)0 as of Apr 6, 2026
Mar 31, 20230 then
Employees (5.A)11 as of Apr 6, 2026
Mar 31, 20236 then
Private funds: 1
RAUM +4.1% over the last fiscal year+61% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $13.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%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 assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $415M, 29 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$252M60%
- High-net-worth individuals$135M32%
- Corporations and businesses$27.4M6.6%
- Pooled investment vehicles$2.0M0.5%
- Individual clients
- n/areported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $415M for 29 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.32 fund_share=0.61 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• P•••• D•••••• A••••• M••••• F••• I•no longer reported | Hedge Fund | $30.0M | 34 | Sep 22, 2021 |
| T•• P•••• L••••• Y•••• M••••• F••• I•no longer reported | Hedge Fund | $5.0M | 4 | Sep 22, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••• A•••••••• · Managing Partnercontrolsince 05/2019 · owns 25% to 50%
- C••• N••••••••• J••••• · Chief Investment Officercontrolsince 02/2020 · owns 10% to 25%
- F•••••• M••• · Partnercontrolsince 05/2019 · owns 25% to 50%
- O•••• N••••••• · Chief Compliance Officercontrolsince 01/2022 · owns 5% to 10%
- R••••••• A•••• W•••• · Vp Of Capital Formationcontrolsince 06/2023 · owns 5% to 10%
- D••••••••• S•••• · Managing Membersince 01/2022 · owns F of U••••••••• H••••••• L••
Entity owners
- U••••••••• H••••••• L•• · Non-Operating Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 6, 2026peers: independent wealth managers, $100M to $500M (5,679)
- institutional asset share shiftChange between filings · filing Apr 6, 2026institutional share of RAUM moved from 50.0% to 67.0% between the annual amendments of 2025-03-28 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,679)
- discretionary share shiftChange between filings · filing Apr 6, 2026discretionary share of RAUM moved from 88.0% to 52.0% between the annual amendments of 2025-03-28 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,679)
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 50.0% to 32.0% between the annual amendments of 2025-03-28 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,679)
- client mix shiftChange between filings · filing Apr 6, 2026private-client share of RAUM moved from 50.0% to 32.0% between the annual amendments of 2025-03-28 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 25 to 30Dec 12, 2025 to Mar 31, 2026
- Advisory activities · 2 to 3Dec 12, 2025 to Mar 31, 2026
- Business name · T•• P•••• L•• to T•• P•••• I•••Dec 12, 2025 to Mar 31, 2026
- Corporate clients · 15 to 3Dec 12, 2025 to Mar 31, 2026
- HNW clients · 10 to 22Dec 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 1.0Dec 12, 2025 to Mar 31, 2026
- Assets in custody · $400M to $415MDec 12, 2025 to Mar 31, 2026
- Employees · 17 to 11Dec 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $350M to $215MDec 12, 2025 to Mar 31, 2026
- HNW RAUM · $200M to $135MDec 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $50.0M to $201MDec 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 2049831.0Dec 12, 2025 to Mar 31, 2026
- RAUM · $400M to $416MDec 12, 2025 to Mar 31, 2026
- Employees · 12 to 17May 27, 2025 to Dec 12, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 27, 2025
- Legal name · T•• P•••• L•• to T•• P•••• I•••Mar 28, 2025 to May 27, 2025
- Accounts · 22 to 25Oct 8, 2024 to Mar 28, 2025
- Corporate clients · unset to 15.0Oct 8, 2024 to Mar 28, 2025
- HNW clients · 20 to 10Oct 8, 2024 to Mar 28, 2025
- Assets in custody · $250M to $400MOct 8, 2024 to Mar 28, 2025
- HQ city · unset to Oct 8, 2024 to Mar 28, 2025
- HQ state · unset to Oct 8, 2024 to Mar 28, 2025
- Organization form · Limited Liability Company to CorporationOct 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $200M to $350MOct 8, 2024 to Mar 28, 2025
- RAUM · $250M to $400MOct 8, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Mar 26, 2024 to Jun 10, 2024
- Assets in custody · unset to 250000000.0Mar 26, 2024 to Jun 10, 2024
- Custody of client assets · false to trueMar 26, 2024 to Jun 10, 2024
- Employees · 11 to 12Mar 26, 2024 to Jun 10, 2024
- Accounts · 7 to 22Oct 30, 2023 to Mar 26, 2024
- HNW clients · unset to 20.0Oct 30, 2023 to Mar 26, 2024
- Employees · 5 to 11Oct 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $125M to $200MOct 30, 2023 to Mar 26, 2024
- HNW RAUM · $100M to $200MOct 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $0 to $50.0MOct 30, 2023 to Mar 26, 2024
- RAUM · $125M to $250MOct 30, 2023 to Mar 26, 2024
- Accounts · 4 to 7May 5, 2023 to Oct 30, 2023
- Pooled vehicle clients · 3.0 to unsetMay 5, 2023 to Oct 30, 2023
- Employees · 6 to 5May 5, 2023 to Oct 30, 2023
- HQ city · DENVER to unsetMay 5, 2023 to Oct 30, 2023
Signals
5 dated events
- ••• LockedMar 28, 2025 · RAUM change · derived
- ••• LockedMar 26, 2024 · RAUM change · derived
- ••• LockedOct 30, 2023 · Control person joined · fact
- ••• LockedMar 31, 2023 · Control person joined · fact
- ••• LockedJan 12, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Apr 6, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 6, 2026
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
- Wealth manager with institutional or fund businessderiveda 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