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• C•••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Sep 16, 1996
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.2B as of Aug 26, 2026
Mar 30, 2012$384M then
HNW client RAUM$1.1B as of Aug 26, 2026
Mar 19, 2018$533M then
State-registered IARs (5.B.3)8 as of Aug 26, 2026
Feb 15, 20135 then
Employees (5.A)13 as of Aug 26, 2026
Feb 15, 201311 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $5.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B91%
- Individuals$90.4M7.3%
- Charitable organizations$15.3M1.2%
- Pension and profit-sharing plans$186,2900.0%
- Individual clients
- 195reported
- HNW clients
- 250reported
- Pension plan clients
- 1reported
- Charitable clients
- 5reported
- Accounts
- 251reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• G••••• T•••••••Personal Financial Specialist | Memphis, Tn | Apr 1, 2004 | 34 y | 0 |
| C••••••••• L•• L•••Certified Financial Planner | Memphis, Tn | Mar 20, 2012 | 19 y | 0 |
| J••• R••••• H••••••Certified Financial Planner | Memphis, Tn | Mar 22, 2012 | 21 y | 0 |
| C•••• P• P••••• | Memphis, Tn | Jul 16, 2018 | 19 y | 1 |
| J•••• M•••••• D••••••• | Memphis, Tn | Aug 7, 2018 | 40 y | 0 |
| J•• M••••• M••••••• | Memphis, Tn | Jan 1, 2025 | 19 y | 0 |
| J••• M••••••• S••••• | Memphis, Tn | Mar 25, 2025 | 10 y | 0 |
| N••••• G• T•••••••Certified Financial Planner | Memphis, Tn | Jun 11, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- N••••• G• T••••••• from N•• E•••••• S••••••••• C•••••••••Jun 11, 2026 · Other
- C•••• P• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 16, 2018 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M•••••••• C••••• · Directorcontrolsince 01/2017 · owns 5% to 10%
- H••••••• J•••• R••••• · Directorcontrolsince 01/2017 · owns 10% to 25%
- K•••• B••••• J•••• · Directorcontrolsince 07/2023 · owns 5% to 10%
- L•••• C••••••••• L•• · Director, Chief Compliance Officercontrolsince 01/2017 · owns 5% to 10%
- M•••••••• J••• M••••• · Membercontrolsince 01/2025 · owns less than 5%
- S•••••• J•••• M••••••• · Membercontrolsince 01/2023 · owns 5% to 10%
- S•••••• J•••• M••••••• · Directorcontrolsince 09/2017 · owns 5% to 10%
- T•••••••• N•••••• G• · Membercontrolsince 01/2023 · owns 5% to 10%
- T•••••••• N•••••• G••••• · Managing Membercontrolsince 01/1997 · owns less than 5%
- T•••••••• N•••••• G••••• · Trusteecontrolsince 01/2022 · owns 75% or more of N••••• G••••• T••••••• R•••••••• T•••• F•• M••••••••• I••••••••
Entity owners
- N••••• G••••• T••••••• R•••••••• T•••• F•• M••••••••• I•••••••• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Memphis, Tn · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 26, 2026M•••••••• J••• M••••• (MEMBER) appeared on Schedule A between the filings of 2024-02-13 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,362)
- account count collapseChange between filings · filing Feb 12, 2026accounts (Item 5.F.2.f) moved from 429.0 to 251.0 (-41.0%) between the annual amendments of 2025-02-05 and 2026-02-12; the peer median change was +6.0% (1206 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 2.2% percentile
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Feb 12, 2026 to Aug 26, 2026
- Employees · 15 to 13Feb 12, 2026 to Aug 26, 2026
- State-registered IARs · 9 to 8Feb 12, 2026 to Aug 26, 2026
- Accounts · 429 to 251Feb 5, 2025 to Feb 12, 2026
- HNW clients · 228 to 250Feb 5, 2025 to Feb 12, 2026
- Assets in custody · $200M to $222MFeb 5, 2025 to Feb 12, 2026
- Employees · 14 to 15Feb 5, 2025 to Feb 12, 2026
- Discretionary RAUM · $1.1B to $1.2BFeb 5, 2025 to Feb 12, 2026
- HNW RAUM · $986M to $1.1BFeb 5, 2025 to Feb 12, 2026
- Individual RAUM · $88.3M to $90.4MFeb 5, 2025 to Feb 12, 2026
- Pension RAUM · $166,429 to $186,290Feb 5, 2025 to Feb 12, 2026
- RAUM · $1.1B to $1.2BFeb 5, 2025 to Feb 12, 2026
- Accounts · 416 to 429Feb 13, 2024 to Feb 5, 2025
- HNW clients · 209 to 228Feb 13, 2024 to Feb 5, 2025
- Individual clients · 201 to 195Feb 13, 2024 to Feb 5, 2025
- Assets in custody · $167M to $200MFeb 13, 2024 to Feb 5, 2025
- Employees · 13 to 14Feb 13, 2024 to Feb 5, 2025
- Financial planning clients · 0 to 0Feb 13, 2024 to Feb 5, 2025
- Discretionary RAUM · $971M to $1.1BFeb 13, 2024 to Feb 5, 2025
- HNW RAUM · $869M to $986MFeb 13, 2024 to Feb 5, 2025
- Individual RAUM · $90.1M to $88.3MFeb 13, 2024 to Feb 5, 2025
- Pension RAUM · $146,730 to $166,429Feb 13, 2024 to Feb 5, 2025
- RAUM · $971M to $1.1BFeb 13, 2024 to Feb 5, 2025
- Accounts · 404 to 416Mar 9, 2023 to Feb 13, 2024
- Charity clients · 4 to 5Mar 9, 2023 to Feb 13, 2024
- HNW clients · 191 to 209Mar 9, 2023 to Feb 13, 2024
- Individual clients · 206 to 201Mar 9, 2023 to Feb 13, 2024
- Pension plan clients · 3 to 1Mar 9, 2023 to Feb 13, 2024
- Assets in custody · $128M to $167MMar 9, 2023 to Feb 13, 2024
- Discretionary RAUM · $846M to $971MMar 9, 2023 to Feb 13, 2024
- HNW RAUM · $743M to $869MMar 9, 2023 to Feb 13, 2024
- Individual RAUM · $87.7M to $90.1MMar 9, 2023 to Feb 13, 2024
- Pension RAUM · $13.8M to $146,730Mar 9, 2023 to Feb 13, 2024
- RAUM · $846M to $971MMar 9, 2023 to Feb 13, 2024
- Accounts · 400 to 404Feb 3, 2022 to Mar 9, 2023
- Advisory employees · 8 to 9Feb 3, 2022 to Mar 9, 2023
- Advisory activities · 2 to 3Feb 3, 2022 to Mar 9, 2023
- HNW clients · 208 to 191Feb 3, 2022 to Mar 9, 2023
- Individual clients · 185 to 206Feb 3, 2022 to Mar 9, 2023
- Assets in custody · $138M to $128MFeb 3, 2022 to Mar 9, 2023
Signals
2 dated events
- J•••• B•••• K••• (Director) appeared on Schedule A of T• C•••••• M••••••••• L••Feb 13, 2024 · Control person joined · fact
- Douglas Lloyd Smith (Member) no longer on Schedule A of T• C•••••• M••••••••• L•• (listed 2021-03-23, absent 2022-01-27)Jan 27, 2022 · Control person left · inference
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
- 901-681-0021reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 901-842-2824reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- TDCAPITALMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 901-681-0021reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- TDCAPITALMANAGEMENT.COM/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- TDCAPITALMANAGEMENT.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026