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• A••••••• L••
Latest filing Jul 1, 2026
First filing on the tape May 29, 2025 · 5 filings
SEC status approved since May 29, 2025
RAUM
$10,715
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10,715 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$10,715 as of Jul 1, 2026
May 29, 2025$0 then
HNW client RAUM$0 as of Jul 1, 2026
May 29, 2025$0 then
State-registered IARs (5.B.3)0 as of Jul 1, 2026
May 29, 20250 then
Employees (5.A)5 as of Jul 1, 2026
May 29, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- unknownderivedRAUM 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
- $824derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$10,715100%
- Individual clients
- 13reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
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
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
- A••••••• P••••• S•• · Chief Compliance Officercontrolsince 10/2025 · owns less than 5%
- H•••••••• S••••• P••••• · Chief Operating Officercontrolsince 11/2025 · owns less than 5%
- K••••• D••••• J••••• · Head Of Tradingcontrolsince 01/2024 · owns less than 5%
- O••••••••• T•••• · Chief Executive Officercontrolsince 01/2024 · owns less than 5%
Entity owners
- T••• E•••••• I•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 13Dec 18, 2025 to Mar 27, 2026
- Individual clients · 5 to 13Dec 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $0 to $10,715Dec 18, 2025 to Mar 27, 2026
- Individual RAUM · $0 to $10,715Dec 18, 2025 to Mar 27, 2026
- RAUM · $0 to $10,715Dec 18, 2025 to Mar 27, 2026
- Individual clients · 0 to 5May 29, 2025 to Oct 1, 2025
- Financial planning clients · 0 to 0May 29, 2025 to Oct 1, 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
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-221-6545reportedpublic record, Form ADV, Jul 1, 2026
- Contact form
- 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
- Independent wealth managerderiveda 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