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•• B•••• G••••
Wealth manager with institutional or fund businessWrightsville Beach, North CarolinaCRD 335020SEC 801-132479websiteIAPD
Legal name T•• B•••• G••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 3, 2025 · 5 filings
SEC status approved since Apr 21, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
30%
$38.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.8M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$132M as of Mar 25, 2026
Apr 3, 2025$0 then
HNW client RAUM$28.7M as of Mar 25, 2026
Apr 3, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Apr 3, 20250 then
Employees (5.A)3 as of Mar 25, 2026
Apr 3, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $65.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $901,541derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 70%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$92.7M70%
- High-net-worth individuals$28.7M22%
- Individuals$10.2M7.7%
- Individual clients
- 40reported
- HNW clients
- 18reported
- Pension plan clients
- 24reported
- Charitable clients
- n/areported
- Accounts
- 146reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.3 fund_share=0.0 institutional_share=0.7 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• E•••••••• B••••••••• | Wrightsville Beach, Nc | May 8, 2025 | 11 y | 0 |
| M•••••• T••••• B•••••••••Certified Financial Planner | Wrightsville Beach, Nc | May 14, 2025 | 22 y | 1 |
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
- M•••••• T••••• B••••••••• from N••••••••• M••••• I••••••••• S•••••••••May 14, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• L•••••• E•••••••• · President And Chief Compliance Officercontrolsince 01/2025 · owns less than 5%
- B••••••••• M••••••• T••••• · Investment Advisorcontrolsince 05/2025 · owns less than 5%
Entity owners
- B•••• C••• · 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 |
|---|---|---|---|---|---|
| Wrightsville Beach, Nc · 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
- high institutional concentrationStatic outlier · filing Mar 25, 2026institutional share of RAUM of 70% against a peer median of 0% (5678 comparable advisers, 100.0th percentile, 23.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 57 to 146Sep 8, 2025 to Mar 25, 2026
- HNW clients · 11 to 18Sep 8, 2025 to Mar 25, 2026
- Individual clients · 29 to 40Sep 8, 2025 to Mar 25, 2026
- Pension plan clients · 17 to 24Sep 8, 2025 to Mar 25, 2026
- Employees · 2 to 3Sep 8, 2025 to Mar 25, 2026
- Discretionary RAUM · $102M to $120MSep 8, 2025 to Mar 25, 2026
- HNW RAUM · $17.6M to $28.7MSep 8, 2025 to Mar 25, 2026
- Individual RAUM · $9.6M to $10.2MSep 8, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $0 to $11.9MSep 8, 2025 to Mar 25, 2026
- Pension RAUM · $75.1M to $92.7MSep 8, 2025 to Mar 25, 2026
- RAUM · $102M to $132MSep 8, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Jul 14, 2025 to Sep 8, 2025
- Accounts · 0 to 57May 27, 2025 to Jul 14, 2025
- Charity clients · 0.0 to unsetMay 27, 2025 to Jul 14, 2025
- Corporate clients · 0.0 to unsetMay 27, 2025 to Jul 14, 2025
- HNW clients · 0 to 11May 27, 2025 to Jul 14, 2025
- Individual clients · 0 to 29May 27, 2025 to Jul 14, 2025
- Pension plan clients · 0 to 17May 27, 2025 to Jul 14, 2025
- Pooled vehicle clients · 0.0 to unsetMay 27, 2025 to Jul 14, 2025
- Employees · 1 to 2May 27, 2025 to Jul 14, 2025
- Discretionary RAUM · $0 to $102MMay 27, 2025 to Jul 14, 2025
- HNW RAUM · $0 to $17.6MMay 27, 2025 to Jul 14, 2025
- Individual RAUM · $0 to $9.6MMay 27, 2025 to Jul 14, 2025
- Pension RAUM · $0 to $75.1MMay 27, 2025 to Jul 14, 2025
- Pooled vehicle RAUM · 0.0 to unsetMay 27, 2025 to Jul 14, 2025
- RAUM · $0 to $102MMay 27, 2025 to Jul 14, 2025
- HQ city · to WRIGHTSVILLE BEACHApr 3, 2025 to May 27, 2025
- HQ state · to NCApr 3, 2025 to May 27, 2025
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
- Business phone
- 910-240-9818reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (704) 502-6069reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $65.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026