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••••• C•••••• L••
Latest filing Jun 29, 2026
First filing on the tape Mar 16, 2012 · 43 filings
SEC status approved since Mar 25, 1975
RAUM
$7.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.6%
$397M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$792M
derived; firm RAUM over IAPD count
Employees
39
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$7.1B as of Jun 29, 2026
Mar 16, 2012$13B then
HNW client RAUM$370M as of Jun 29, 2026
Mar 29, 2018$2.5B then
State-registered IARs (5.B.3)8 as of Jun 29, 2026
Mar 1, 20130 then
Employees (5.A)39 as of Jun 29, 2026
Mar 1, 201348 then
Private funds7 as of Jun 29, 2026
Mar 16, 20124 then
RAUM -1.9% over the last fiscal year-7.1% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
- RAUM per advisor
- $792MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $32.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.3derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $638M, 4 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$5.1B72%
- Pooled investment vehicles$1.2B16%
- High-net-worth individuals$370M5.2%
- Charitable organizations$206M2.9%
- Pension and profit-sharing plans$180M2.5%
- Corporations and businesses$44.2M0.6%
- Individuals$27.1M0.4%
- Individual clients
- 45reported
- HNW clients
- 142reported
- Pension plan clients
- 4reported
- Charitable clients
- 7reported
- Accounts
- 222reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $638M for 4 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.06 fund_share=0.88 institutional_share=0.05 related_bd=true related_bank=true bd_reps=18.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J•••••• M•••••Certified Financial Planner | Stamford, Ct | Oct 9, 2014 | 31 y | 1 |
| J••• J•• H•••Chartered Financial Analyst | Stamford, Ct | Oct 9, 2014 | 23 y | 1 |
| P•••• N•• O•••••• | Stamford, Ct | Oct 9, 2014 | 25 y | 1 |
| R•••• R•••••••• D• B••• | Stamford, Ct | Oct 10, 2014 | 34 y | 1 |
| J••• D•••••• S••••• | Stamford, Ct | Oct 28, 2014 | 36 y | 1 |
| R••••• Q•••••• W•••••• | Stamford, Ct | Oct 28, 2014 | 28 y | 0 |
| T••••• H••••• S•••••• | Stamford, Ct | Oct 28, 2014 | 28 y | 0 |
| F•••• H••• H•••••••Chartered Financial Analyst | Stamford, Ct | Feb 10, 2015 | 28 y | 0 |
| A•••• A••••• E•••• | Stamford, Ct | Oct 21, 2022 | 10 y | 0 |
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
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• P•••••••• L•• | Hedge Fund | $388M | 74 | Mar 16, 2012 |
| T•••••• B••••• I••••••••• V•••• F••• •••• | Other Private Fund | $194M | 47 | Mar 30, 2015 |
| T•••••• B••••• I••••••••• V•••• F••• ••••• | Other Private Fund | $110M | 59 | Mar 30, 2015 |
| V••••••••• P•••••••• L•• | Hedge Fund | $98.4M | 36 | Mar 16, 2012 |
| T•••••• B••••• I••••••••• P••••••• L•• | Hedge Fund | $94.0M | 25 | Mar 16, 2012 |
| T•••••• B••••• V•••• F••• ••••no longer reported | Other Private Fund | $59.7M | 31 | Mar 30, 2015 |
| G••••• I•••••••• V•••• F••• L••••••no longer reported | Hedge Fund | $43.1M | 37 | Mar 30, 2015 |
| T•••••• B••••• G••••• H••• D••••••• V•••• F••• | Other Private Fund | $9.4M | 20 | Mar 30, 2015 |
| T•••••• B••••• G••••• H••• D••••••• P••••••• L•• | Hedge Fund | $6.9M | 9 | Mar 16, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D• B•••• R••••• R•••••••• · Member Of Management Committeecontrolsince 06/2024 · owns less than 5%
- H•••• J•••• J•• · Member Of Management Committeecontrolsince 01/2021 · owns less than 5%
- M•••••• J••••• J•••••• · Member Of Management Committeecontrolsince 06/2024 · owns less than 5%
- S••••••• T•••••• H••••• · Member Of Management Committeecontrolsince 10/1997 · owns less than 5%
- S•••••• J•••• D•••••• · Member Of Management Committeecontrolsince 10/1997 · owns 5% to 10%
- W••••••• R•••••• Q•••••• · Member Of Management Committeecontrolsince 10/1997 · owns less than 5%
- A•••••• L••••• J••• · Chief Compliance Officersince 10/2024 · owns less than 5%
- F•••• G•••• C••••••••• · Chief Operations Officersince 04/1999 · owns less than 5%
Entity owners
- A•• T••• L•• · Managing Memberdirect · owns 75% or more
- A••••••••• M••••••• G••••• I••• · Managing Memberindirect · owns 75% or more of A•• T••• L•• · public reporting company
Related persons
Schedule D 7.A
- A•• D••••••••• I•••broker-dealern
- A•• F•••• L••investment adviserbankpooled vehicle sponsornRAUM $18B
Advisers that list T•••••• B••••• C•••••• L•• as a related person
- 153456 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palm Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 226 to 222Sep 29, 2025 to Mar 30, 2026
- BD registered reps · 20 to 18Sep 29, 2025 to Mar 30, 2026
- Charity clients · 9 to 7Sep 29, 2025 to Mar 30, 2026
- Corporate clients · unset to 3.0Sep 29, 2025 to Mar 30, 2026
- HNW clients · 147 to 142Sep 29, 2025 to Mar 30, 2026
- Individual clients · 42 to 45Sep 29, 2025 to Mar 30, 2026
- Pension plan clients · 3 to 4Sep 29, 2025 to Mar 30, 2026
- Pooled vehicle clients · 18 to 15Sep 29, 2025 to Mar 30, 2026
- Assets in custody · $588M to $638MSep 29, 2025 to Mar 30, 2026
- Employees · 41 to 39Sep 29, 2025 to Mar 30, 2026
- State-registered IARs · 9 to 8Sep 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $7.3B to $7.1BSep 29, 2025 to Mar 30, 2026
- HNW RAUM · $338M to $370MSep 29, 2025 to Mar 30, 2026
- Individual RAUM · $25.1M to $27.1MSep 29, 2025 to Mar 30, 2026
- Pension RAUM · $166M to $180MSep 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.0B to $1.2BSep 29, 2025 to Mar 30, 2026
- RAUM · $7.3B to $7.1BSep 29, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Sep 29, 2025
- Accounts · 242 to 226Dec 24, 2024 to Mar 28, 2025
- Charity clients · 12 to 9Dec 24, 2024 to Mar 28, 2025
- HNW clients · 165 to 147Dec 24, 2024 to Mar 28, 2025
- Individual clients · 36 to 42Dec 24, 2024 to Mar 28, 2025
- Pension plan clients · 4 to 3Dec 24, 2024 to Mar 28, 2025
- Pooled vehicle clients · 19 to 18Dec 24, 2024 to Mar 28, 2025
- Assets in custody · $587M to $588MDec 24, 2024 to Mar 28, 2025
- Employees · 42 to 41Dec 24, 2024 to Mar 28, 2025
- State-registered IARs · 10 to 9Dec 24, 2024 to Mar 28, 2025
- Discretionary RAUM · $8.9B to $7.3BDec 24, 2024 to Mar 28, 2025
- HNW RAUM · $373M to $338MDec 24, 2024 to Mar 28, 2025
- Individual RAUM · $23.4M to $25.1MDec 24, 2024 to Mar 28, 2025
- Pension RAUM · $238M to $166MDec 24, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $1.0BDec 24, 2024 to Mar 28, 2025
- RAUM · $8.9B to $7.3BDec 24, 2024 to Mar 28, 2025
- Accounts · 256 to 242Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 21 to 20Mar 30, 2023 to Mar 28, 2024
- Charity clients · 14 to 12Mar 30, 2023 to Mar 28, 2024
- HNW clients · 174 to 165Mar 30, 2023 to Mar 28, 2024
- Individual clients · 38 to 36Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 6 to 4Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 18 to 19Mar 30, 2023 to Mar 28, 2024
Signals
5 dated events
- Jeffrey Jason Minard (Member Of Management Committee) appeared on Schedule A of T•••••• B••••• C•••••• L••Jul 23, 2024 · Control person joined · fact
- Raymundus Roger De Bree (Member Of Management Committee) appeared on Schedule A of T•••••• B••••• C•••••• L••Jul 23, 2024 · Control person joined · fact
- T•••••• B••••• C•••••• L•• reported RAUM $8.9B, down 30% from $12.7B (2022-07-07 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Hetherington William Browne (Member Of Management Committee) no longer on Schedule A of T•••••• B••••• C•••••• L•• (listed 2021-07-14, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Jay John Hill (Member Of Management Committee) appeared on Schedule A of T•••••• B••••• C•••••• L••Mar 29, 2021 · Control person joined · 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
- Firm profile
- linkedin.com/company/tweedy-browne.companyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tweedyetfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203)703-0600reportedpublic record, Form ADV, Jun 29, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $792Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026