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••• V••••• F•••••••• A•••••••
Legal name T••• V••••• M• L••
Latest filing Feb 17, 2026
First filing on the tape Jul 21, 2022 · 18 filings
SEC status approved since Aug 19, 2022
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$272M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$272M as of Feb 17, 2026
Mar 14, 2023$168M then
HNW client RAUM$159M as of Feb 17, 2026
Mar 14, 2023$106M then
State-registered IARs (5.B.3)3 as of Feb 17, 2026
Mar 14, 20232 then
Employees (5.A)9 as of Feb 17, 2026
Mar 14, 20234 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
- RAUM per advisor
- $90.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $230,293derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $272MreportedItem 5.I
- Custody
- $91.4M, 135 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M58%
- Individuals$113M42%
- Individual clients
- 283reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,180reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $91.4M for 135 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
4 left, 0 joined in 12 months
net -4 in 12 months4 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- S••••••• M•••••• P••••••••• to L•• F•••••••• L••Aug 20, 2026 · RIA to affiliated broker-dealer or bank
- N••••• A••••• P••••• to L•• F•••••••• L••Jul 2, 2026 · RIA to affiliated broker-dealer or bank
- D•••• W•••••• P••••••••• to L•• F•••••••• L••Jul 2, 2026 · RIA to affiliated broker-dealer or bank
- C•••••••• M••••••• T••••• to C•• F••••••••Jun 30, 2026 · RIA to a state-registered adviser
Joined, latest
- C•••••••• M••••••• T••••• from B••••• F•••••••• G••••Nov 2, 2023 · RIA to RIA
- N••••• A••••• P••••• from G•••••••• W••••• P•••••••Sep 7, 2022 · RIA to a newly registered adviser
- D•••• W•••••• P••••••••• from G•••••••• W••••• P•••••••Sep 6, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Jul 2, 2026 · Woodbury, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• D••••• W•••••• · Founder And Chief Compliance Officercontrolsince 07/2022 · 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 |
|---|---|---|---|---|---|
| Wayzata, Mn | 0 | 0 | 1 | ||
| Woodbury, Mn · principal | 0 | 0 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Wayzata, MN1 employees
What changed
consecutive filings, newest first
- Accounts · 1,121 to 1,180Feb 14, 2025 to Feb 17, 2026
- HNW clients · 117 to 84Feb 14, 2025 to Feb 17, 2026
- Individual clients · 241 to 283Feb 14, 2025 to Feb 17, 2026
- Assets in custody · $58.9M to $91.4MFeb 14, 2025 to Feb 17, 2026
- Employees · 6 to 9Feb 14, 2025 to Feb 17, 2026
- Discretionary RAUM · $234M to $272MFeb 14, 2025 to Feb 17, 2026
- HNW RAUM · $179M to $159MFeb 14, 2025 to Feb 17, 2026
- Individual RAUM · $55.2M to $113MFeb 14, 2025 to Feb 17, 2026
- RAUM · $234M to $272MFeb 14, 2025 to Feb 17, 2026
- Accounts · 1,022 to 1,121Jan 27, 2025 to Feb 14, 2025
- HNW clients · 56 to 117Jan 27, 2025 to Feb 14, 2025
- Individual clients · 298 to 241Jan 27, 2025 to Feb 14, 2025
- Assets in custody · $121M to $58.9MJan 27, 2025 to Feb 14, 2025
- Financial planning clients · 101-250 to 11-25Jan 27, 2025 to Feb 14, 2025
- Discretionary RAUM · $200M to $234MJan 27, 2025 to Feb 14, 2025
- HNW RAUM · $98.8M to $179MJan 27, 2025 to Feb 14, 2025
- Individual RAUM · $101M to $55.2MJan 27, 2025 to Feb 14, 2025
- RAUM · $200M to $234MJan 27, 2025 to Feb 14, 2025
- Other offices · 0 to 1Apr 12, 2024 to Jun 17, 2024
- Accounts · 930 to 1,022Nov 2, 2023 to Jan 31, 2024
- Advisory employees · 2 to 3Nov 2, 2023 to Jan 31, 2024
- HNW clients · 79 to 56Nov 2, 2023 to Jan 31, 2024
- Individual clients · 240 to 298Nov 2, 2023 to Jan 31, 2024
- Assets in custody · $89.2M to $121MNov 2, 2023 to Jan 31, 2024
- Employees · 4 to 6Nov 2, 2023 to Jan 31, 2024
- State-registered IARs · 2 to 3Nov 2, 2023 to Jan 31, 2024
- Other offices · 1 to 0Nov 2, 2023 to Jan 31, 2024
- Discretionary RAUM · $168M to $200MNov 2, 2023 to Jan 31, 2024
- HNW RAUM · $106M to $98.8MNov 2, 2023 to Jan 31, 2024
- Individual RAUM · $62.3M to $101MNov 2, 2023 to Jan 31, 2024
- RAUM · $168M to $200MNov 2, 2023 to Jan 31, 2024
- Accounts · 907 to 930Dec 20, 2022 to Mar 14, 2023
- Advisory activities · 2 to 3Dec 20, 2022 to Mar 14, 2023
- HNW clients · 39 to 79Dec 20, 2022 to Mar 14, 2023
- Individual clients · 257 to 240Dec 20, 2022 to Mar 14, 2023
- Assets in custody · unset to 89211616.0Dec 20, 2022 to Mar 14, 2023
- Custody of client assets · false to trueDec 20, 2022 to Mar 14, 2023
- Financial planning clients · unset to 101-250Dec 20, 2022 to Mar 14, 2023
- Discretionary RAUM · $149M to $168MDec 20, 2022 to Mar 14, 2023
- HNW RAUM · $65.1M to $106MDec 20, 2022 to Mar 14, 2023
Signals
7 dated events
- T••• V••••• F•••••••• A••••••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $271.7M)Sep 1, 2026 · Left the SEC roster · derived
- S••••••• M•••••• P••••••••• left T••• V••••• F•••••••• A••••••• for L•• F•••••••• L•• (registered 2026-05-04)Aug 20, 2026 · Advisor changed firm · fact
- N••••• A••••• P••••• left T••• V••••• F•••••••• A••••••• for L•• F•••••••• L•• (registered 2026-05-04)Jul 2, 2026 · Advisor changed firm · fact
- D•••• W•••••• P••••••••• left T••• V••••• F•••••••• A••••••• for L•• F•••••••• L•• (registered 2026-04-24)Jul 2, 2026 · Advisor changed firm · fact
- 2 advisors left T••• V••••• F•••••••• A••••••• (Woodbury, MN) for L•• F•••••••• L•• on the same dayJul 2, 2026 · Team lift-out · derived
- C•••••••• M••••••• T••••• left T••• V••••• F•••••••• A••••••• for C•• F•••••••• (registered 2026-05-08)Jun 30, 2026 · Advisor changed firm · fact
- T••• V••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 21, 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.
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