DFX Intelligence

T•••••• W••••• M••••••••• G•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

T•••••• W••••• M••••••••• G•••• L••

CRD 136485

HOUSTON, TX

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 7
On other graphs: 0
Observed: Dec 14, 2011 to Mar 31, 2026
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $262M••• Locked
Discretionary RAUM: $245M
Private client RAUM: $193Mderived••• Locked
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••• J••••• M•••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	06/2005	Dec 14, 2011	Apr 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• T••••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
THE WOODLANDS	TX	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	4	-4	n/a	0	4	0	0	4

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$262M	$185M	41.6%	n/a	n/a	5	4	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	4	Sep 1, 2026	Jul 16, 2026	HOUSTON, TX	Firm absorbed	RIA to ibd	100.0%

Relationships

Registered with (5)

← J•••• M••• T••••••Advisorregistration: previous registration
Jan 31, 2007 to Sep 1, 2026factForm ADV
← T•••• O••••Advisorregistration: previous registration
Feb 28, 2019 to Sep 1, 2026factForm ADV
← M••••••• C••••Advisorregistration: previous registration
Oct 24, 2022 to Sep 1, 2026factForm ADV
← T••••• R••••

Dated events

Order

Occurred
1 Sep 2026
Firm absorbed
••• Locked
Form ADV
4 advisors
Occurred
1 Sep 2026
Advisor changed firm4 events
Advisor changed firm: 4 on 1 Sep 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
24 Feb 2024
Control person left
••• Locked
Form ADV
Occurred
24 Feb 2024
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 14, 2011
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.