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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SEC-registered adviser
T••••• F••••• F••••• O•••••• L••
Latest filing May 13, 2026
First filing on the tape Dec 7, 2022 · 10 filings
SEC status approved since Jan 6, 2023
RAUM
$20.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$20.0M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$3.3M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$20.0M as of May 13, 2026
Mar 21, 2024$1.3M then
HNW client RAUM$20.0M as of May 13, 2026
Mar 21, 2024$1.3M then
State-registered IARs (5.B.3)9 as of May 13, 2026
Mar 21, 20248 then
Employees (5.A)11 as of May 13, 2026
Mar 21, 202413 then
Private funds: no history
RAUM +171% over the last fiscal yearIARs 9 to 9
Practice profile
derived from the filing of May 13, 2026; every figure names its basis
- RAUM per advisor
- $3.3MderivedRAUM 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
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +171%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$20.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••• M•••••• M•••••••• to S•••• I••••• S••••••••• L••May 8, 2023 · Other
Joined, latest
- J•••• M•••••• M•••••••• from T••••• F••••• C•••••• M••••••••• L••Jan 16, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• D••••••• E• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- F•••••• G•••••• J••••• · Co-Trusteecontrolsince 06/2009 · owns 50% to 75% of G••••• J• F••••• A•• K•••• T• F••••• R•••••••• T••••• D•••• M•••• 1• 1•••
- F•••••• K••••• T••••• · Co-Trusteecontrolsince 06/2009 · owns 50% to 75% of G••••• J• F••••• A•• K•••• T• F••••• R•••••••• T••••• D•••• M•••• 1• 1•••
- S•••••••• A•••• M•••• · Co-Trusteecontrolsince 09/2022 · owns F of S••••••• F••••• T•••• D•••• O•••••• 6• 2•••
- W•••• J•••• C• · Owner And Membercontrolsince 09/2022 · owns 50% to 75% of M••• L••
- W•••• M••••••• C• · Owner And Membercontrolsince 09/2022 · owns 50% to 75% of M••• L••
Entity owners
- M••• L•• · Ownerdirect · owns 25% to 50%
- R••• M• S••••••• P•• · Ownerdirect · owns 25% to 50%
- T••••• F••••• C•••••• M••••••••• L•• · Ownerdirect · owns 50% to 75%
- G••••• J• F••••• A•• K•••• T• F••••• R•••••••• T••••• D•••• M•••• 1• 1••• · Ownerindirect · owns 75% or more of T••••• F••••• C•••••• M••••••••• L••
- S••••••• F••••• T•••• D•••• O•••••• 6• 2••• · Owner And Sole Memberindirect · owns 75% or more of R••• M• S••••••• P••
- R••• M• S••••••• · Co-Trusteeindirect · owns F of S••••••• F••••• T•••• D•••• O•••••• 6• 2•••
Related persons
Schedule D 7.A
No related person reported.
Advisers that list T••••• F••••• F••••• O•••••• L•• as a related person
- 142617 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 17Mar 25, 2025 to Mar 24, 2026
- Advisory employees · 5 to 6Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $7.4M to $20.0MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $7.4M to $20.0MMar 25, 2025 to Mar 24, 2026
- RAUM · $7.4M to $20.0MMar 25, 2025 to Mar 24, 2026
- Accounts · 3 to 8Mar 22, 2024 to Mar 25, 2025
- Employees · 13 to 11Mar 22, 2024 to Mar 25, 2025
- Insurance-licensed employees · 7 to 8Mar 22, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 25, 2025
- State-registered IARs · 8 to 9Mar 22, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.3M to $7.4MMar 22, 2024 to Mar 25, 2025
- HNW RAUM · $1.3M to $7.4MMar 22, 2024 to Mar 25, 2025
- RAUM · $1.3M to $7.4MMar 22, 2024 to Mar 25, 2025
- Accounts · 0 to 3Jan 2, 2024 to Mar 21, 2024
- Advisory employees · 7 to 5Jan 2, 2024 to Mar 21, 2024
- Insurance-licensed employees · 0 to 7Jan 2, 2024 to Mar 21, 2024
- Financial planning clients · 0 to 1-10Jan 2, 2024 to Mar 21, 2024
- Other offices · 3 to 1Jan 2, 2024 to Mar 21, 2024
- Discretionary RAUM · $0 to $1.3MJan 2, 2024 to Mar 21, 2024
- HNW RAUM · unset to 1335177.0Jan 2, 2024 to Mar 21, 2024
- RAUM · $0 to $1.3MJan 2, 2024 to Mar 21, 2024
Signals
4 dated events
- E Douglas Connolly (Chief Compliance Officer) appeared on Schedule A of T••••• F••••• F••••• O•••••• L••Mar 21, 2024 · Control person joined · fact
- O••• J••••••• H••• (Chief Compliance Officer) no longer on Schedule A of T••••• F••••• F••••• O•••••• L•• (listed 2024-01-02, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- J•••• M•••••• M•••••••• left T••••• F••••• F••••• O•••••• L•• for S•••• I••••• S••••••••• L•• (registered 2023-11-14)May 8, 2023 · Advisor changed firm · fact
- T••••• F••••• F••••• O•••••• L•• filed its initial SEC registration (Form ADV)Dec 7, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T••••• F••••• F••••• O•••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-226-0280reportedpublic record, Form ADV, May 13, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026