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.
SEC-registered adviser
Tci Wealth Advisors, Inc.
Latest filing Aug 27, 2026
First filing on the tape Dec 1, 2011 · 71 filings
SEC status approved since Aug 30, 1990
RAUM
$5.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$5.2B individuals and HNW
Advisors
45
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
72
45 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$5.4B as of Aug 27, 2026
Mar 29, 2012$1.0B then
HNW client RAUM$4.3B as of Aug 27, 2026
Mar 28, 2018$2.0B then
State-registered IARs (5.B.3)41 as of Aug 27, 2026
Mar 8, 201313 then
Employees (5.A)72 as of Aug 27, 2026
Mar 8, 201335 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 34 to 41offices 5 to 6
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $452,505derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 6.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +21%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 3,500reportedItem 5.H
- Custody
- $537M, 3,268 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.3B81%
- Individuals$817M15%
- Pension and profit-sharing plans$123M2.3%
- Charitable organizations$45.1M0.8%
- Corporations and businesses$33.8M0.6%
- Individual clients
- 1,899reported
- HNW clients
- 1,290reported
- Pension plan clients
- 49reported
- Charitable clients
- 8reported
- Accounts
- 11,863reported
- Financial planning clients
- 3,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $537M for 3,268 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
46 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Gerhard Riebe | Tucson, Az | Aug 31, 1994 | 38 y | 0 |
| John Joseph StephensCertified Financial Planner, Chartered Financial Analyst | Tucson, Az | Feb 24, 2000 | 26 y | 0 |
| Samuel Thomas SwiftCertified Financial Planner, Chartered Financial Analyst | Tucson, Az | Jul 21, 2008 | 20 y | 0 |
| Michael Anthony GrossoCertified Financial Planner | Scottsdale, Az | Aug 6, 2008 | 28 y | 0 |
| Michael AbeshausCertified Financial Planner | Flagstaff, Az | Jan 21, 2009 | 17 y | 0 |
| Justin Matthew ThomasCertified Financial Planner | Reno, Nv | Jun 29, 2010 | 19 y | 1 |
| Guy Wesley HolmanCertified Financial Planner | Denver, Co | Nov 4, 2010 | 27 y | 2 |
| Jennifer MeansCertified Financial Planner | Tucson, Az | Sep 22, 2015 | 12 y | 0 |
| Kyle Taylor LarsonCertified Financial Planner | Tucson, Az | Jan 17, 2017 | 10 y | 0 |
| Vanessa Burke LeeCertified Financial Planner | Tucson, Az | Oct 27, 2017 | 11 y | 1 |
| Scott William StyrmoeCertified Financial Planner | Tucson, Az | Nov 13, 2017 | 19 y | 5 |
| Justin Ryan RodriguezCertified Financial Planner | Scottsdale, Az | Jul 6, 2018 | 11 y | 1 |
| Cody Andrew CassidyCertified Financial Planner | Tucson, Az | Oct 30, 2018 | 11 y | 1 |
| Lauren WilliamsCertified Financial Planner | Tucson, Az | Mar 29, 2019 | 12 y | 1 |
| Joshua RennieCertified Financial Planner | Tucson, Az | Nov 21, 2019 | 21 y | 0 |
| Troy Dillon ChraneCertified Financial Planner | Missoula, Mt | Jul 21, 2020 | 11 y | 1 |
| Lily Worth GravesCertified Financial Planner | Tucson, Az | Dec 11, 2020 | 11 y | 1 |
| Addison Jacob AdelbergCertified Financial Planner | Tucson, Az | May 9, 2022 | 12 y | 0 |
| Robert Glenn RyndersCertified Financial Planner | Tucson, Az | May 12, 2022 | 10 y | 0 |
| Scott Schmidt BennettCertified Financial Planner | Tucson, Az | May 13, 2022 | 10 y | 2 |
| Thomas Edward LoganCertified Financial Planner | Scottsdale, Az | Aug 30, 2022 | 11 y | 0 |
| Kayla Ashley Marjanovic | Denver, Co | Nov 14, 2022 | 11 y | 3 |
| Constance Chan | Reno, Nv | Oct 9, 2023 | 13 y | 0 |
| Ryan HalvorsonCertified Financial Planner | Tucson, Az | Dec 14, 2023 | 14 y | 2 |
| Joshua James Baird | Tucson, Az | Aug 23, 2024 | 12 y | 1 |
| Jerico Rom Bernardo MaddelaCertified Financial Planner | Tucson, Az | Sep 20, 2024 | 18 y | 1 |
| Andrea FrazerCertified Financial Planner | Tucson, Az | Oct 25, 2024 | 25 y | 1 |
| Kristofer Garrett LyonsCertified Financial Planner, Chartered Financial Consultant | Flagstaff, Az | Nov 1, 2024 | 14 y | 1 |
| Jose Luis Yanez | Tucson, Az | Nov 18, 2024 | 14 y | 1 |
| Casey Ready O'DonovanCertified Financial Planner | Tucson, Az | Dec 2, 2024 | 15 y | 2 |
| Benjamin Eugene Kappler | Tucson, Az | Dec 6, 2024 | 11 y | 0 |
| Bradley Alan HostetlerCertified Financial Planner | Tucson, Az | Feb 15, 2025 | 11 y | 0 |
| Marshall Wellington Riebe | Tucson, Az | Feb 26, 2025 | 10 y | 0 |
| Juan Diego SiccoCertified Financial Planner, Chartered Financial Analyst | Scottsdale, Az | Feb 28, 2025 | 11 y | 0 |
| Hayley Malone | Reno, Nv | Apr 9, 2025 | 11 y | 0 |
| John Ryan Kilkenny | Denver, Co | Apr 21, 2025 | 10 y | 0 |
| Michael Kullman PreisChartered Financial Analyst | Tucson, Az | Jun 15, 2025 | 23 y | 3 |
| Adam Michael Sullivan | Tucson, Az | Dec 15, 2025 | 16 y | 0 |
| Ashley Nicole Boykin | Tucson, Az | Dec 19, 2025 | 12 y | 0 |
| Robert Petrillo | Tucson, Az | Feb 13, 2026 | 13 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Shawn Anthony Best to Meridian Wealth Management, LLCOct 2, 2023 · RIA to RIA
- Adam Hicks to Fulcrum Capital, LLCApr 14, 2022 · RIA to RIA
- David A. Niichel to Ironwood Financial, LLCDec 11, 2020 · RIA to RIA
- Marc Campbell to Five Oceans AdvisorsJun 24, 2020 · RIA to a newly registered adviser
- Scott Schmidt Bennett to Tci Foundation Inc.Feb 27, 2020 · Other
- Chad William Lawyer to Life Strategy PartnersOct 11, 2019 · Other
Joined, latest
- Amy Lynn Richardson from Charles Schwab & Co., Inc.May 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- Isaac Edward Walshaw from Schwab Wealth Advisory, Inc.Apr 2, 2026 · Other
- Michael Kullman Preis from Dimensional Fund Advisors LPJun 15, 2025 · Other
- Casey Ready O'Donovan from Cliftonlarsonallen Wealth Advisors, LLCDec 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jose Luis Yanez from Vanguard Advisers, Inc.Nov 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- Kristofer Garrett Lyons from Charles Schwab & Co., Inc.Nov 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- Andrea Frazer from Charles Schwab & Co., Inc.Oct 25, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jerico Rom Bernardo Maddela from Charles Schwab & Co., Inc.Sep 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- Joshua James Baird from Percension Wealth Advisors, LLCAug 23, 2024 · Other
- Ryan Halvorson from Morgan StanleyDec 14, 2023 · Wirehouse to independent RIA
- Kayla Ashley Marjanovic from Shepherd Wealth & Retirement LLCNov 14, 2022 · RIA to RIA
- Shawn Anthony Best from United Capital Financial AdvisorsMay 13, 2022 · Affiliated broker-dealer or bank to independent RIA
- Scott Schmidt Bennett from Tci Foundation Inc.May 13, 2022 · Other
- Lily Worth Graves from Tci Foundation Inc.Dec 11, 2020 · Other
- Troy Dillon Chrane from Pathfinder Planning And InvestmentsJul 21, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Narelle Simone Gehner · Shareholder And Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- Wesley Guy Holman · Shareholdercontrolsince 01/2012 · owns 5% to 10%
- Meredith Ashley Swift · Shareholder And Chief Operations Officercontrolsince 01/2023 · owns less than 5%
- Thomas Samuel Swift · Chief Executive Officer And Presidentcontrolsince 01/2023 · owns 5% to 10%
- Ramiro Arturo Tellez · Shareholder And Chief Practice Officercontrolsince 01/2023 · owns less than 5%
- Anthony Michael Grosso · Trusteecontrolsince 12/2015 · owns 75% or more of Michael Anthony Grosso Living Trust
- Joseph John Stephens · Trusteecontrolsince 11/1995 · owns 50% to 75% of John J. And Kelly H. Stephens Family Trust
- Ann Julie Thomas · Grantor And Trusteecontrolsince 01/2023 · owns F of The Justin M & Julie A. Thomas Family Trust
- Matthew Justin Thomas · Grantor And Trusteecontrolsince 01/2023 · owns F of The Justin M & Julie A. Thomas Family Trust
- Ann Catherine Nichols · Shareholdersince 05/2008 · owns 5% to 10%
- Gerhard Kenneth Riebe · Shareholdersince 02/2021 · owns 5% to 10%
- Michael Abeshaus · Trusteesince 08/1998 · owns 75% or more of The Michael And Michelle Abeshaus Family Trust
- Lee Douglas Nelson · Trusteesince 06/2017 · owns 75% or more of The Doug And Brenda Nelson 2017 Living Trust
- H Kelly Stephens · Trusteesince 11/1995 · owns 50% to 75% of John J. And Kelly H. Stephens Family Trust
Entity owners
- John J. And Kelly H. Stephens Family Trust · Shareholderdirect · owns 10% to 25%
- Michael Anthony Grosso Living Trust · Shareholderdirect · owns 5% to 10%
- The Doug And Brenda Nelson 2017 Living Trust · Shareholderdirect · owns 5% to 10%
- The Justin M & Julie A. Thomas · Shareholderdirect · owns 5% to 10%
- The Justin M & Julie A. Thomas Family Trust · Shareholderdirect · owns 5% to 10%
- The Michael And Michelle Abeshaus Family Trust · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Tucson, Az · principal | 44 | 8 | 0 | ||
| Scottsdale, Az | 11 | 2 | 0 | ||
| Denver, Co | 9 | 3 | 0 | ||
| Reno, Nv | 5 | 0 | 0 | ||
| Flagstaff, Az | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ8 employees
- Denver, CO4 employees
- Reno, NV4 employees
- Flagstaff, AZ1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 27, 2026GROSSO, MICHAEL, ANTHONY (TRUSTEE) left Schedule A between the filings of 2023-01-31 and 2026-08-27peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 27, 2026STEPHENS, JOHN, JOSEPH (TRUSTEE) left Schedule A between the filings of 2023-01-31 and 2026-08-27peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 27, 2026THOMAS, JUSTIN, MATTHEW (GRANTOR AND TRUSTEE) left Schedule A between the filings of 2023-01-31 and 2026-08-27peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Aug 27, 2026THOMAS, JULIE, ANN (GRANTOR AND TRUSTEE) left Schedule A between the filings of 2023-01-31 and 2026-08-27peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Advisory employees · 43 to 45Mar 4, 2026 to Apr 22, 2026
- Employees · 71 to 72Mar 4, 2026 to Apr 22, 2026
- State-registered IARs · 42 to 41Mar 4, 2026 to Apr 22, 2026
- Accounts · 11,010 to 11,863Feb 2, 2026 to Mar 4, 2026
- Advisory employees · 39 to 43Feb 2, 2026 to Mar 4, 2026
- Corporate clients · 21 to 22Feb 2, 2026 to Mar 4, 2026
- HNW clients · 1,100 to 1,290Feb 2, 2026 to Mar 4, 2026
- Individual clients · 1,868 to 1,899Feb 2, 2026 to Mar 4, 2026
- Pension plan clients · 45 to 49Feb 2, 2026 to Mar 4, 2026
- Assets in custody · $4.5B to $537MFeb 2, 2026 to Mar 4, 2026
- Employees · 60 to 71Feb 2, 2026 to Mar 4, 2026
- State-registered IARs · 39 to 42Feb 2, 2026 to Mar 4, 2026
- Discretionary RAUM · $4.5B to $5.3BFeb 2, 2026 to Mar 4, 2026
- HNW RAUM · $3.5B to $4.3BFeb 2, 2026 to Mar 4, 2026
- Individual RAUM · $806M to $817MFeb 2, 2026 to Mar 4, 2026
- Non-discretionary RAUM · $5.8M to $22.5MFeb 2, 2026 to Mar 4, 2026
- Pension RAUM · $116M to $123MFeb 2, 2026 to Mar 4, 2026
- RAUM · $4.5B to $5.4BFeb 2, 2026 to Mar 4, 2026
- Advisory employees · 40 to 39Aug 27, 2025 to Oct 29, 2025
- Pooled vehicle clients · unset to 0.0Aug 27, 2025 to Oct 29, 2025
- Employees · 61 to 60Aug 27, 2025 to Oct 29, 2025
- State-registered IARs · 40 to 39Aug 27, 2025 to Oct 29, 2025
- Pooled vehicle RAUM · unset to 0.0Aug 27, 2025 to Oct 29, 2025
- Advisory employees · 38 to 40May 9, 2025 to Jul 10, 2025
- Employees · 60 to 61May 9, 2025 to Jul 10, 2025
- Financial planning clients · More than 500 to More than 500May 9, 2025 to Jul 10, 2025
- State-registered IARs · 33 to 40May 9, 2025 to Jul 10, 2025
- Other offices · 5 to 6May 9, 2025 to Jul 10, 2025
- Advisory employees · 39 to 38Apr 14, 2025 to May 9, 2025
- Employees · 61 to 60Apr 14, 2025 to May 9, 2025
- State-registered IARs · 34 to 33Apr 14, 2025 to May 9, 2025
- Accounts · 10,252 to 11,010Feb 27, 2025 to Apr 14, 2025
- Advisory employees · 41 to 39Feb 27, 2025 to Apr 14, 2025
- Charity clients · 7 to 8Feb 27, 2025 to Apr 14, 2025
- Corporate clients · 22 to 21Feb 27, 2025 to Apr 14, 2025
- HNW clients · 1,004 to 1,100Feb 27, 2025 to Apr 14, 2025
- Individual clients · 1,843 to 1,868Feb 27, 2025 to Apr 14, 2025
- Pension plan clients · 49 to 45Feb 27, 2025 to Apr 14, 2025
- Assets in custody · $4.1B to $4.5BFeb 27, 2025 to Apr 14, 2025
- Employees · 63 to 61Feb 27, 2025 to Apr 14, 2025
Signals
13 dated events
- Juan Andres Martinez Miranda registered as an investment adviser representative at Tci Wealth Advisors, Inc.Sep 14, 2026 · Advisor registered · fact
- Clarkson Robert Swift (Trustee) no longer on Schedule A of Tci Wealth Advisors, Inc. (listed 2023-12-20, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- Yvonne Lisa Swift (Trustee) no longer on Schedule A of Tci Wealth Advisors, Inc. (listed 2023-12-20, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- Shawn Anthony Best left Tci Wealth Advisors, Inc. for Meridian Wealth Management, Llc (registered 2023-09-28)Oct 2, 2023 · Advisor changed firm · fact
- Meredith Ashley Swift (Shareholder And Chief Operations Officer) appeared on Schedule A of Tci Wealth Advisors, Inc.Jan 31, 2023 · Control person joined · fact
- Ann Julie Thomas (Grantor And Trustee) appeared on Schedule A of Tci Wealth Advisors, Inc.Jan 31, 2023 · Control person joined · fact
- Matthew Justin Thomas (Grantor And Trustee) appeared on Schedule A of Tci Wealth Advisors, Inc.Jan 31, 2023 · Control person joined · fact
- Adam Hicks left Tci Wealth Advisors, Inc. for Fulcrum Capital, Llc (registered 2022-05-05)Apr 14, 2022 · Advisor changed firm · fact
- Ann Lori Booth-Houle (Director) no longer on Schedule A of Tci Wealth Advisors, Inc. (listed 2021-03-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Narelle Simone Gehner (Chief Compliance Officer) appeared on Schedule A of Tci Wealth Advisors, Inc.Jan 22, 2021 · Control person joined · fact
- Thomas Samuel Swift (Shareholder And Chief Investment Officer) appeared on Schedule A of Tci Wealth Advisors, Inc.Mar 16, 2020 · Control person joined · fact
- Michael Abeshaus (Director) appeared on Schedule A of Tci Wealth Advisors, Inc.Mar 16, 2020 · Control person joined · fact
- Ramiro Arturo Tellez (Shareholder And Chief Operating Officer) appeared on Schedule A of Tci Wealth Advisors, Inc.Mar 16, 2020 · 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
- Business phone
- 877-733-1859reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/TCI-WEALTH-ADVISORS-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- TCIWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 520-733-1477reportedpublic record, Form ADV, Aug 27, 2026
- Team page
- tciwealth.com/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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026