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••••• W••••• P••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Sep 26, 2025 · 5 filings
SEC status approved since Nov 14, 2025
RAUM
$75.1M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
87%
$65.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$37.6M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$75.1M as of Jul 16, 2026
Sep 26, 2025$0 then
HNW client RAUM$31.7M as of Jul 16, 2026
Mar 3, 2026$31.7M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Sep 26, 20251 then
Employees (5.A)5 as of Jul 16, 2026
Sep 26, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
- RAUM per advisor
- $37.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 283derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $991,334derivedHNW RAUM over HNW clients
- Average account
- $92,541derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 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, hourly, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$33.3M44%
- High-net-worth individuals$31.7M42%
- Pension and profit-sharing plans$10.1M13%
- Individual clients
- 533reported
- HNW clients
- 32reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 812reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 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 |
|---|---|---|---|---|
| K••••••••• G•••••• L••••Certified Financial Planner | Riverside, Ct | Feb 4, 2026 | 12 y | 2 |
| F••• M•••••• S•••• | Riverside, Ct | Feb 5, 2026 | 20 y | 4 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- F•••••• L••• N••••• to T••••• C•••••• M••••••••• L••Aug 24, 2026 · Other
Joined, latest
- F••• M•••••• S•••• from C• A••••••• S•••••••Feb 5, 2026 · RIA to a newly registered adviser
- F•••••• L••• N••••• from C• A••••••• S•••••••Feb 5, 2026 · RIA to a newly registered adviser
- K••••••••• G•••••• L•••• from C• A••••••• S•••••••Feb 4, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C• A••••••• S•••••••Feb 4, 2026 · Williamston, Mi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• A••••• R••• · Chief Operating Officercontrolsince 04/2026 · owns less than 5%
- S••••• F••••••• N••••• · Chief Investment Officercontrolsince 02/2026 · owns less than 5%
- S••••• F•••• M•••••• · Presidentcontrolsince 02/2026 · owns 25% to 50%
- T•••••• M••••••• B••••••• · Chief Executive Officercontrolsince 02/2025 · owns 25% to 50%
- B••••••• S••••••••• M•••••• · Chief Compliance Officersince 09/2025 · owns less than 5%
Entity owners
- F• S•••• T•••• · Shareholderdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Riverside, Ct | 2 | 2 | 0 | ||
| Clearwater, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 3 to 4Mar 3, 2026 to Apr 27, 2026
- Accounts · 0 to 812Jan 28, 2026 to Mar 3, 2026
- Advisory employees · 1 to 3Jan 28, 2026 to Mar 3, 2026
- HNW clients · unset to 32.0Jan 28, 2026 to Mar 3, 2026
- Individual clients · unset to 533.0Jan 28, 2026 to Mar 3, 2026
- Pension plan clients · unset to 17.0Jan 28, 2026 to Mar 3, 2026
- Employees · 1 to 5Jan 28, 2026 to Mar 3, 2026
- State-registered IARs · 0 to 3Jan 28, 2026 to Mar 3, 2026
- Other offices · 0 to 3Jan 28, 2026 to Mar 3, 2026
- Discretionary RAUM · $0 to $65.1MJan 28, 2026 to Mar 3, 2026
- HNW RAUM · unset to 31722702.0Jan 28, 2026 to Mar 3, 2026
- Individual RAUM · unset to 33347298.0Jan 28, 2026 to Mar 3, 2026
- Non-discretionary RAUM · $0 to $10.1MJan 28, 2026 to Mar 3, 2026
- Pension RAUM · unset to 10073579.0Jan 28, 2026 to Mar 3, 2026
- RAUM · $0 to $75.1MJan 28, 2026 to Mar 3, 2026
- Related bank · true to falseJan 28, 2026 to Mar 3, 2026
- Advisory employees · 2 to 1Sep 26, 2025 to Jan 28, 2026
- Employees · 2 to 1Sep 26, 2025 to Jan 28, 2026
- Insurance-licensed employees · 1 to 0Sep 26, 2025 to Jan 28, 2026
- State-registered IARs · 1 to 0Sep 26, 2025 to Jan 28, 2026
- Organization form · Limited Liability Company to CorporationSep 26, 2025 to Jan 28, 2026
Signals
3 dated events
- F•••••• L••• N••••• left T••••• W••••• P••••••• L•• for T••••• C•••••• M••••••••• L•• (registered 2026-08-26)Aug 24, 2026 · Advisor changed firm · fact
- 2 advisors left C• A••••••• S••••••• (Williamston, MI) for T••••• W••••• P••••••• L•• on the same dayFeb 4, 2026 · Team lift-out · derived
- Matthew Benjamin T•••••, registered through T••••• C•••••• M••••••••• L•• (Riverside, CT), is a direct owner of T••••• W••••• P••••••• L••, an adviser first registered 2025-09-26Sep 26, 2025 · Owner of a newly registered adviser · 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
- Business phone
- 800-871-1219reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (800) 781-1219reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $37.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026