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•••• P•••••• W•••••
Latest filing May 6, 2026
First filing on the tape Feb 22, 2024 · 9 filings
SEC status approved since Mar 26, 2024
RAUM
$515M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
100%
$515M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$257M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$515M as of May 6, 2026
May 1, 2025$600M then
HNW client RAUM$324M as of May 6, 2026
May 1, 2025$147M then
State-registered IARs (5.B.3)3 as of May 6, 2026
May 1, 20253 then
Employees (5.A)3 as of May 6, 2026
May 1, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $257MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.8MderivedHNW RAUM over HNW clients
- Average account
- $8.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$324M63%
- Individuals$191M37%
- Individual clients
- 25reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 58reported
- Financial planning clients
- 0reported
- 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
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••••••• P••••••• J••• · Managing Member And Chief Compliance Officercontrolsince 02/2024 · owns 50% to 75%
- T•••••• J•••••• D•••• · Managing Membercontrolsince 02/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
- T••••investment adviseryRAUM $5.1B
- T•••••• K•••••• • A••••••••• L••investment adviseryRAUM $717M
Advisers that list T•••• P•••••• W••••• as a related person
- 287792 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing May 6, 2026RAUM per account of $8,875,816 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 5.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 69 to 58May 1, 2025 to Mar 31, 2026
- HNW clients · 31 to 30May 1, 2025 to Mar 31, 2026
- Individual clients · 38 to 25May 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $462M to $334MMay 1, 2025 to Mar 31, 2026
- HNW RAUM · $147M to $324MMay 1, 2025 to Mar 31, 2026
- Individual RAUM · $453M to $191MMay 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $138M to $181MMay 1, 2025 to Mar 31, 2026
- RAUM · $600M to $515MMay 1, 2025 to Mar 31, 2026
- Accounts · 55 to 69Sep 3, 2024 to May 1, 2025
- HNW clients · 55 to 31Sep 3, 2024 to May 1, 2025
- Individual clients · unset to 38.0Sep 3, 2024 to May 1, 2025
- Financial planning clients · 0 to 0Sep 3, 2024 to May 1, 2025
- Discretionary RAUM · $239M to $462MSep 3, 2024 to May 1, 2025
- HNW RAUM · $239M to $147MSep 3, 2024 to May 1, 2025
- Individual RAUM · unset to 452710897.0Sep 3, 2024 to May 1, 2025
- Non-discretionary RAUM · $0 to $138MSep 3, 2024 to May 1, 2025
- RAUM · $239M to $600MSep 3, 2024 to May 1, 2025
- Accounts · 0 to 55Jun 3, 2024 to Sep 3, 2024
- Advisory employees · 2 to 3Jun 3, 2024 to Sep 3, 2024
- HNW clients · unset to 55.0Jun 3, 2024 to Sep 3, 2024
- Employees · 2 to 3Jun 3, 2024 to Sep 3, 2024
- Insurance-licensed employees · 2 to 3Jun 3, 2024 to Sep 3, 2024
- State-registered IARs · 2 to 3Jun 3, 2024 to Sep 3, 2024
- Discretionary RAUM · $0 to $239MJun 3, 2024 to Sep 3, 2024
- HNW RAUM · unset to 238968103.0Jun 3, 2024 to Sep 3, 2024
- RAUM · $0 to $239MJun 3, 2024 to Sep 3, 2024
Signals
2 dated events
- T•••• P•••••• W••••• reported RAUM $599.7M, up 151% from $239.0M (2024-09-03 to 2025-05-01)May 1, 2025 · RAUM change · derived
- T•••• P•••••• W••••• filed its initial SEC registration (Form ADV)Feb 22, 2024 · 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
- Principal office phone
- 3123004781reportedpublic record, Form ADV, May 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $257Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026