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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Former SEC-registered adviser

T•• F•••••••• A••••••• G••••• L••

Former SEC-registered adviserHouston, TexasCRD 109558SEC 801-54599IAPD
Latest filing Mar 23, 2024
First filing on the tape Mar 15, 2012 · 20 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.2B as of Mar 22, 2024
Mar 15, 2012$512M then
HNW client RAUM$1.2B as of Mar 22, 2024
Mar 19, 2018$811M then
State-registered IARs (5.B.3)10 as of Mar 22, 2024
Mar 15, 20120 then
Employees (5.A)22 as of Mar 22, 2024
Mar 13, 201314 then
Private funds: no history
RAUM +5.3% over the last fiscal year+4.6% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 23, 2024; every figure names its basis
RAUM per advisor
$124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$508,674derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$49.4M, 12 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B96%
  • Individuals$16.8M1.4%
  • Charitable organizations$14.4M1.2%
  • Pension and profit-sharing plans$12.3M1.0%
  • Corporations and businesses$1.5M0.1%
Individual clients
57reported
HNW clients
322reported
Pension plan clients
10reported
Charitable clients
5reported
Accounts
2,434reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$49.4M for 12 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••••• C•••••• B••• · Chief Administrative Officercontrol
      since 05/1997 · owns less than 5%
    • A•••••••• R••••••• J••••• · Chief Executive Officer, Secretary, & Directorcontrol
      since 06/1997 · owns less than 5%
    • B••••• N•••••• L••• · Chief Planning Officercontrol
      since 01/2017 · owns less than 5%
    • M•••••••• J•••• D•••• · Chief Compliance Officercontrol
      since 01/2017 · owns less than 5%
    • N•••••• D•••••• A••••• · President & Directorcontrol
      since 01/2017 · owns less than 5%
    • O••••••• L•••••••• D•••• · Chief Operating Officercontrol
      since 01/2024 · owns less than 5%
    • R•••• S•••••• J••••• · Chief Investment Officer & Directorcontrol
      since 01/2017 · owns less than 5%
    • S•••••• T•••••• S•••• · Chief Investment Strategist & Directorcontrol
      since 02/2022 · owns less than 5%
    • S••••••• R•••• E••••• · Directorcontrol
      since 02/2022 · owns less than 5%
    • A•••••••• R••••••• J••••• · Ownercontrol
      since 12/2022 · owns 50% to 75% of F•••••••• A••••••• G•••• H••••••• I•••
    • E•••••• S•••••• A••••• · Chairman Of Investment Committee
      since 01/2020 · owns less than 5%
    Entity owners
    • F•••••••• A••••••• G•••• H••••••• I••• · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Houston, Tx · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,300 to 2,434
      Mar 31, 2023 to Mar 22, 2024
    • Corporate clients · unset to 5.0
      Mar 31, 2023 to Mar 22, 2024
    • HNW clients · 316 to 322
      Mar 31, 2023 to Mar 22, 2024
    • Individual clients · 56 to 57
      Mar 31, 2023 to Mar 22, 2024
    • Assets in custody · $54.6M to $49.4M
      Mar 31, 2023 to Mar 22, 2024
    • Discretionary RAUM · $1.2B to $1.2B
      Mar 31, 2023 to Mar 22, 2024
    • HNW RAUM · $1.1B to $1.2B
      Mar 31, 2023 to Mar 22, 2024
    • Individual RAUM · $19.6M to $16.8M
      Mar 31, 2023 to Mar 22, 2024
    • Pension RAUM · $20.2M to $12.3M
      Mar 31, 2023 to Mar 22, 2024
    • RAUM · $1.2B to $1.2B
      Mar 31, 2023 to Mar 22, 2024
    • Business name · T•• F•••••••• A••••••• G••••• I••• to T•• F•••••••• A••••••• G••••• L••
      Mar 28, 2023 to Mar 31, 2023
    • Legal name · T•• F•••••••• A••••••• G••••• I••• to T•• F•••••••• A••••••• G••••• L••
      Mar 28, 2023 to Mar 31, 2023
    • Accounts · 2,154 to 2,300
      Oct 24, 2022 to Mar 28, 2023
    • HNW clients · 247 to 316
      Oct 24, 2022 to Mar 28, 2023
    • Individual clients · 117 to 56
      Oct 24, 2022 to Mar 28, 2023
    • Pension plan clients · 8 to 10
      Oct 24, 2022 to Mar 28, 2023
    • Assets in custody · $62.2M to $54.6M
      Oct 24, 2022 to Mar 28, 2023
    • Employees · 20 to 22
      Oct 24, 2022 to Mar 28, 2023
    • Organization form · Corporation to Limited Liability Company
      Oct 24, 2022 to Mar 28, 2023
    • Discretionary RAUM · $1.2B to $1.2B
      Oct 24, 2022 to Mar 28, 2023
    • HNW RAUM · $1.1B to $1.1B
      Oct 24, 2022 to Mar 28, 2023
    • Individual RAUM · $42.1M to $19.6M
      Oct 24, 2022 to Mar 28, 2023
    • Pension RAUM · $12.8M to $20.2M
      Oct 24, 2022 to Mar 28, 2023
    • RAUM · $1.2B to $1.2B
      Oct 24, 2022 to Mar 28, 2023
    • Accounts · 2,033 to 2,154
      Mar 29, 2021 to Mar 25, 2022
    • Advisory employees · 8 to 10
      Mar 29, 2021 to Mar 25, 2022
    • HNW clients · 297 to 247
      Mar 29, 2021 to Mar 25, 2022
    • Individual clients · 41 to 117
      Mar 29, 2021 to Mar 25, 2022
    • Pension plan clients · 6 to 8
      Mar 29, 2021 to Mar 25, 2022
    • Assets in custody · $78.2M to $62.2M
      Mar 29, 2021 to Mar 25, 2022
    • Employees · 18 to 20
      Mar 29, 2021 to Mar 25, 2022
    • State-registered IARs · 8 to 10
      Mar 29, 2021 to Mar 25, 2022
    • Discretionary RAUM · $1.1B to $1.2B
      Mar 29, 2021 to Mar 25, 2022
    • HNW RAUM · $1.0B to $1.1B
      Mar 29, 2021 to Mar 25, 2022
    • Individual RAUM · $9.9M to $42.1M
      Mar 29, 2021 to Mar 25, 2022
    • Pension RAUM · $10.9M to $12.8M
      Mar 29, 2021 to Mar 25, 2022
    • RAUM · $1.1B to $1.2B
      Mar 29, 2021 to Mar 25, 2022
    • Accounts · 1,977 to 2,033
      Jun 23, 2020 to Mar 26, 2021
    • Advisory employees · 11 to 8
      Jun 23, 2020 to Mar 26, 2021
    • HNW clients · 227 to 297
      Jun 23, 2020 to Mar 26, 2021
    Signals
    17 dated events
    • J••• D•••• M••••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jul 12, 2024 · Advisor changed firm · fact
    • L••••••• D•••• O•••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • R•••••• J••••• A••••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • S••••• A••••• E••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • C••••••••• T••• P•••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • R••••• L••••• R••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • S••••• J••••• R••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • T••••• S••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • N••••• L••• B•••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • D••••• A••••• N••••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-10)
      Jun 21, 2024 · Advisor changed firm · fact
    • J••• C••• left T•• F•••••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-03)
      Jun 21, 2024 · Advisor changed firm · fact
    • T•• F•••••••• A••••••• G••••• L••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Houston, TX): 10 of 11 registered, on the same day
      Jun 21, 2024 · Firm absorbed (people side) · derived
    • D•••• L••••••• O•••••• (Chief Operating Officer) appeared on Schedule A of T•• F•••••••• A••••••• G••••• L••
      Mar 22, 2024 · Control person joined · fact
    • A••• C•••••••• left T•• F•••••••• A••••••• G••••• L•• for A•••• W••••• M••••••••• L•• (registered 2023-08-07)
      Dec 6, 2022 · Advisor changed firm · fact
    • Edward Ryan Scharar (Director) appeared on Schedule A of T•• F•••••••• A••••••• G••••• L••
      Mar 25, 2022 · Control person joined · fact
    • Randolph Donald Waesche (Chairman) no longer on Schedule A of T•• F•••••••• A••••••• G••••• L•• (listed 2021-03-29, absent 2022-03-25)
      Mar 25, 2022 · Control person left · inference
    • Randolph Donald Waesche (Chairman) appeared on Schedule A of T•• F•••••••• A••••••• G••••• L••
      Mar 25, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026