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
M••• W••••• A•••••••
Legal name T••••••• W••••• S••••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Jul 30, 2025 · 5 filings
SEC status approved since Aug 29, 2025
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$172M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$172M
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$172M as of Jun 9, 2026
Jul 30, 2025$0 then
HNW client RAUM$155M as of Jun 9, 2026
Sep 26, 2025$123M then
State-registered IARs (5.B.3)1 as of Jun 9, 2026
Jul 30, 20251 then
Employees (5.A)3 as of Jun 9, 2026
Jul 30, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $516,689derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $161M, 75 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M90%
- Individuals$16.9M9.8%
- Individual clients
- 31reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 333reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $161M for 75 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• L•••• H••••••••• T•••••••Certified Financial Planner | Timonium, Md | Aug 29, 2025 | 23 y | 4 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- J•••• A•••••• K•••• to L•• F•••••••• L••Aug 10, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••• A•••••• K•••• from E•••• I••••• A•••••••• I•••Apr 20, 2026 · RIA to RIA
- A••••• L•••• H••••••••• T••••••• from S••• W•••••Aug 29, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• A•••••• L•••• · Owner,controlsince 07/2025 · 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 |
|---|---|---|---|---|---|
| Timonium, Md · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 9, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-03-25, yes on the filing of 2026-06-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 25, 2026 to Jun 9, 2026
- Accounts · 205 to 333Sep 26, 2025 to Jan 7, 2026
- Charity clients · unset to 0.0Sep 26, 2025 to Jan 7, 2026
- Corporate clients · unset to 0.0Sep 26, 2025 to Jan 7, 2026
- HNW clients · 37 to 50Sep 26, 2025 to Jan 7, 2026
- Individual clients · 16 to 31Sep 26, 2025 to Jan 7, 2026
- Pension plan clients · unset to 0.0Sep 26, 2025 to Jan 7, 2026
- Pooled vehicle clients · unset to 0.0Sep 26, 2025 to Jan 7, 2026
- Assets in custody · $0 to $161MSep 26, 2025 to Jan 7, 2026
- Employees · 1 to 3Sep 26, 2025 to Jan 7, 2026
- Financial planning clients · 0 to 51-100Sep 26, 2025 to Jan 7, 2026
- Discretionary RAUM · $131M to $172MSep 26, 2025 to Jan 7, 2026
- HNW RAUM · $123M to $155MSep 26, 2025 to Jan 7, 2026
- Individual RAUM · $7.5M to $16.9MSep 26, 2025 to Jan 7, 2026
- Pension RAUM · unset to 0.0Sep 26, 2025 to Jan 7, 2026
- Pooled vehicle RAUM · unset to 0.0Sep 26, 2025 to Jan 7, 2026
- RAUM · $131M to $172MSep 26, 2025 to Jan 7, 2026
- Accounts · 0 to 205Jul 30, 2025 to Sep 26, 2025
- HNW clients · unset to 37.0Jul 30, 2025 to Sep 26, 2025
- Individual clients · unset to 16.0Jul 30, 2025 to Sep 26, 2025
- Financial planning clients · 0 to 0Jul 30, 2025 to Sep 26, 2025
- HQ city · to TIMONIUMJul 30, 2025 to Sep 26, 2025
- HQ state · to MDJul 30, 2025 to Sep 26, 2025
- Discretionary RAUM · $0 to $131MJul 30, 2025 to Sep 26, 2025
- HNW RAUM · unset to 123052373.0Jul 30, 2025 to Sep 26, 2025
- Individual RAUM · unset to 7478776.0Jul 30, 2025 to Sep 26, 2025
- RAUM · $0 to $131MJul 30, 2025 to Sep 26, 2025
Signals
1 dated events
- J•••• A•••••• K•••• left M••• W••••• A••••••• for L•• F•••••••• L•• (registered 2026-09-08)Aug 10, 2026 · Advisor changed firm · 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
- (410) 683-9263reportedpublic record, Form ADV, Jun 9, 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
- $172Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026