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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••• W••••• I••••••••• M••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Mar 10, 2025 · 6 filings
SEC status approved since Mar 31, 2025
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Aug 17, 2026
Mar 10, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Aug 17, 2026
Mar 10, 20250 then
Employees (5.A)5 as of Aug 17, 2026
Mar 10, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Aug 17, 2026; 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
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 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
- portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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 AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• R•••••• M••••••• | Charlottesville, Va | Oct 10, 2025 | 23 y | 2 |
| B•••• K•••• W••••Chartered Financial Analyst | Charlotte, Nc | Oct 16, 2025 | 32 y | 0 |
| M••••• E••••Chartered Financial Analyst | Huntersville, Nc | Oct 30, 2025 | 14 y | 0 |
| C•••••• E••••• J•••••Chartered Financial Analyst | Matthews, Nc | Nov 4, 2025 | 38 y | 0 |
| R••• A• M•••••Chartered Financial Analyst | Charlotte, Nc | Nov 10, 2025 | 18 y | 0 |
| E••• A•••••• S•••• | Charlotte, Nc | Feb 26, 2026 | 12 y | 0 |
| N•••••• M•••••••• | Hoboken, Nj | Apr 21, 2026 | 19 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- N•••••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 21, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• R•••••• M••••••• from D•••••••• • C•••••• L••Oct 10, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• D•••• · Elected Managercontrolsince 10/2025 · owns less than 5%
- D••••• J••••• J• · Elected Managercontrolsince 10/2025 · owns less than 5%
- I••••••• J•••••• R••• · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
- M••••••••• N•••••• · President And Chief Executive Officercontrolsince 02/2025 · owns less than 5%
- O•••••• C••••••••• P•••••• · Elected Managercontrolsince 04/2026 · owns less than 5%
Entity owners
- T••••••• I•••••••• A•• A•••••• · Sole 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 |
|---|---|---|---|---|---|
| Charlotte, Nc | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 2 to 5Jan 21, 2026 to Mar 27, 2026
- Employees · 2 to 5Jan 21, 2026 to Mar 27, 2026
- Insurance-licensed employees · 1 to 2Jan 21, 2026 to Mar 27, 2026
- State-registered IARs · 0 to 3Jan 21, 2026 to Mar 27, 2026
Signals
No event on the tape.
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
- Firm profile
- linkedin.com/company/tiaareportedpublic record, Form ADV, Sep 18, 2026
- Website
- tiaa.orgreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-490-9000reportedpublic record, Form ADV, Aug 17, 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
- No RAUM reportedderiveda 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