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•••• W••••• M•••••••••
Legal name T•••• W••••• M••••••••• L••
Latest filing Nov 11, 2024
First filing on the tape Sep 20, 2024 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
4 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$0 as of Nov 11, 2024
Sep 20, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Nov 11, 2024
Sep 20, 20240 then
Employees (5.A)8 as of Nov 11, 2024
Sep 20, 20241 then
Private funds: no history
Practice profile
derived from the filing of Nov 11, 2024; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- 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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- D•• H• S••••• to P••••••• C••••••Dec 20, 2024 · Other
Joined, latest
- D•• H• S••••• from C••••••Nov 7, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J••••• A• · Co-Ceo And Managing Partnercontrolsince 11/2024 · owns less than 5%
- T•••••• J•••••••• P••• · Co-Ceo And Managing Partnercontrolsince 11/2024 · owns less than 5%
- H•••••••• J••••• A• · Membercontrolsince 11/2024 · owns 50% to 75% of T•••• H•••••••• L••
- T•••••• J•••••••• P••• · Membercontrolsince 11/2024 · owns 50% to 75% of T•••• H•••••••• L••
- A••••••• M••••••• S••••••• · Chief Compliance Officersince 11/2024 · owns less than 5%
Entity owners
- T•••• H•••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Nov 6, 2024 to Nov 11, 2024
- Employees · 2 to 8Nov 6, 2024 to Nov 11, 2024
- State-registered IARs · 2 to 4Nov 6, 2024 to Nov 11, 2024
- Advisory employees · 1 to 2Sep 30, 2024 to Nov 1, 2024
- Employees · 1 to 2Sep 30, 2024 to Nov 1, 2024
- HQ city · unset to NEWPORT BEACHSep 30, 2024 to Nov 1, 2024
- HQ state · unset to CASep 30, 2024 to Nov 1, 2024
- State-registered IARs · 0 to 2Sep 30, 2024 to Nov 1, 2024
Signals
5 dated events
- D•• H• S••••• left T•••• W••••• M••••••••• for P••••••• C•••••• (registered 2025-05-08)Dec 20, 2024 · Advisor changed firm · fact
- Kent Samuel Noel (Member) no longer on Schedule A of T•••• W••••• M••••••••• (listed 2024-09-30, absent 2024-11-01)Nov 1, 2024 · Control person left · inference
- Paul Jonathan Tenney (Co-Ceo And Managing Partner) appeared on Schedule A of T•••• W••••• M•••••••••Nov 1, 2024 · Control person joined · fact
- A Jacob Halladay (Co-Ceo, Managing Partner, And Cco) appeared on Schedule A of T•••• W••••• M•••••••••Nov 1, 2024 · Control person joined · fact
- T•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 20, 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.
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