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.

Former SEC-registered adviser

Tcg Advisors, LP

Former SEC-registered adviserAustin, TexasCRD 112685SEC 801-60365IAPD
Latest filing Jun 5, 2020
First filing on the tape Nov 21, 2011 · 20 filings
RAUM
$3.6B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
10%
$361M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
99
37 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$3.5M gross assets
History
20 filings and snapshots on the tape
RAUM$3.6B as of Feb 26, 2020
Mar 26, 2012$347M then
HNW client RAUM$271M as of Feb 26, 2020
Mar 29, 2018$35.8M then
State-registered IARs (5.B.3)12 as of Feb 26, 2020
Apr 1, 20131 then
Employees (5.A)99 as of Feb 26, 2020
Apr 1, 201313 then
Private funds1 as of Feb 26, 2020
Mar 31, 20141 then
RAUM +28% over the last fiscal year+43% a year over threeIARs 12 to 15offices 2 to 1
Practice profile
derived from the filing of Jun 5, 2020; every figure names its basis
RAUM per advisor
$240MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
76%derivedof RAUM
Institutional
65%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.6derivedItem 5.A over advisors
Advisors per office
7.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-31%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$3.5M, 1 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$2.0B56%
  • Pooled investment vehicles$542M15%
  • High-net-worth individuals$271M7.5%
  • Investment companies$271M7.5%
  • Charitable organizations$264M7.3%
  • Individuals$89.6M2.5%
  • Pension and profit-sharing plans$63.3M1.8%
  • Corporations and businesses$56.9M1.6%
  • Banks and thrifts$9.1M0.3%
  • Insurance companies$8.3M0.2%
  • Other investment advisers$491,4330.0%
Individual clients
435reported
HNW clients
127reported
Pension plan clients
1reported
Charitable clients
5reported
Accounts
1,774reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$3.5M for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    5 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Tcg Growth & Income Fund, LLCno longer reportedPrivate Equity Fund$5.1M1Mar 31, 2015
    Tcg Select Investors, LLCno longer reportedOther Private Fund$4.7M23Aug 27, 2013
    Tcg Select Investors Two, LLCOther Private Fund$2.7M25Apr 21, 2014
    Master Elite Sma, LLCno longer reportedPrivate Equity Fund$1.1M1Mar 31, 2015
    Tcg Select Investors Three, LLCno longer reportedOther Private Fund$016Apr 21, 2014
    Owners and control persons
    Schedule A and B, latest filing
    • Ernesto Jaime Barraza · Chief Technology Officercontrol
      since 01/2002 · owns less than 5%
    • Wayne Mike Cochran · Chairmancontrol
      since 12/2003 · owns less than 5%
    • Christopher Scott Hauptmann · Chief Operations Officercontrol
      since 01/2002 · owns less than 5%
    • James Christopher Jamail · Chief Marketing Officercontrol
      since 01/2013 · owns less than 5%
    • Alan Jeffrey Montgomery · Presidentcontrol
      since 05/2016 · owns less than 5%
    • Joseph John Pesce · Ceocontrol
      since 12/2003 · owns less than 5%
    • Joseph John Pesce · General Partnercontrol
      since 12/2003 · owns 25% to 50% of Tcg Group Holdings, Llp
    • Joseph John Pesce · Managercontrol
      since 12/2003 · owns F of Total Compensation Group Investment Advisory Services, LLC
    • L Bryan Goodwin · Chief Compliance Officer
      since 03/2020 · owns less than 5%
    Entity owners
    • Tcg Group Holdings, Llp · Limited Partner
      direct · owns 75% or more
    • Total Compensation Group Investment Advisory Services Management, LLC · General Partner
      direct · owns less than 5%
    • Tcg Group Holdings, Llp · Member
      indirect · owns 75% or more of Total Compensation Group Investment Advisory Services Management, LLC
    Related persons
    Schedule D 7.A
    • Total Compensation Group Consulting, LP
      LP sponsory
    Advisers that list Tcg Advisors, LP as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Fort Worth, TX2 employees
    What changed
    consecutive filings, newest first
    • State-registered IARs · 12 to 15
      Feb 26, 2020 to Mar 26, 2020
    • Accounts · 1,733 to 1,774
      May 3, 2019 to Feb 26, 2020
    • Advisory employees · 30 to 37
      May 3, 2019 to Feb 26, 2020
    • Charity clients · 7 to 5
      May 3, 2019 to Feb 26, 2020
    • Corporate clients · 6 to 12
      May 3, 2019 to Feb 26, 2020
    • HNW clients · 84 to 127
      May 3, 2019 to Feb 26, 2020
    • Individual clients · 730 to 435
      May 3, 2019 to Feb 26, 2020
    • Pension plan clients · 14 to 1
      May 3, 2019 to Feb 26, 2020
    • Pooled vehicle clients · 129 to 156
      May 3, 2019 to Feb 26, 2020
    • Assets in custody · $6.2M to $3.5M
      May 3, 2019 to Feb 26, 2020
    • Employees · 90 to 99
      May 3, 2019 to Feb 26, 2020
    • Insurance-licensed employees · 1 to 0
      May 3, 2019 to Feb 26, 2020
    • Other offices · 2 to 1
      May 3, 2019 to Feb 26, 2020
    • Private funds · 2 to 1
      May 3, 2019 to Feb 26, 2020
    • Discretionary RAUM · $2.1B to $2.7B
      May 3, 2019 to Feb 26, 2020
    • HNW RAUM · $120M to $271M
      May 3, 2019 to Feb 26, 2020
    • Individual RAUM · $89.2M to $89.6M
      May 3, 2019 to Feb 26, 2020
    • Non-discretionary RAUM · $684M to $870M
      May 3, 2019 to Feb 26, 2020
    • Pension RAUM · $146M to $63.3M
      May 3, 2019 to Feb 26, 2020
    • Pooled vehicle RAUM · $186M to $542M
      May 3, 2019 to Feb 26, 2020
    • RAUM · $2.8B to $3.6B
      May 3, 2019 to Feb 26, 2020
    • Accounts · 1,165 to 1,733
      Sep 18, 2018 to Mar 29, 2019
    • Advisory employees · 20 to 30
      Sep 18, 2018 to Mar 29, 2019
    • Charity clients · 5 to 7
      Sep 18, 2018 to Mar 29, 2019
    • Corporate clients · 7 to 6
      Sep 18, 2018 to Mar 29, 2019
    • HNW clients · 2 to 84
      Sep 18, 2018 to Mar 29, 2019
    • Individual clients · 516 to 730
      Sep 18, 2018 to Mar 29, 2019
    • Pension plan clients · unset to 14.0
      Sep 18, 2018 to Mar 29, 2019
    • Pooled vehicle clients · 2 to 129
      Sep 18, 2018 to Mar 29, 2019
    • Assets in custody · $6.0M to $6.2M
      Sep 18, 2018 to Mar 29, 2019
    • Employees · 22 to 90
      Sep 18, 2018 to Mar 29, 2019
    • Financial planning clients · 11-25 to 251-500
      Sep 18, 2018 to Mar 29, 2019
    • Legal name · TOTAL COMPENSATION GROUP INVESTMENT ADVISORY SERVICES, LP to TCG ADVISORS, LP
      Sep 18, 2018 to Mar 29, 2019
    • Other offices · 0 to 2
      Sep 18, 2018 to Mar 29, 2019
    • Discretionary RAUM · $1.5B to $2.1B
      Sep 18, 2018 to Mar 29, 2019
    • HNW RAUM · $35.8M to $120M
      Sep 18, 2018 to Mar 29, 2019
    • Individual RAUM · $187M to $89.2M
      Sep 18, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $231M to $684M
      Sep 18, 2018 to Mar 29, 2019
    • Pension RAUM · unset to 146131904.0
      Sep 18, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · $3.9M to $186M
      Sep 18, 2018 to Mar 29, 2019
    Signals
    6 dated events
    • Blain Kevin Mcneill (Chief Investment Officer) no longer on Schedule A of Tcg Advisors, Lp (listed 2020-03-26, absent 2020-06-05)
      Jun 5, 2020 · Control person left · inference
    • Tcg Advisors, Lp reported RAUM $3.6B, up 28% from $2.8B (2019-05-03 to 2020-02-26)
      Feb 26, 2020 · RAUM change · derived
    • Tcg Advisors, Lp reported RAUM $2.8B, up 60% from $1.8B (2018-09-18 to 2019-03-29)
      Mar 29, 2019 · RAUM change · derived
    • Ernesto Jaime Barraza (Chief Technology Officer) appeared on Schedule A of Tcg Advisors, Lp
      Mar 29, 2019 · Control person joined · fact
    • Tcg Advisors, Lp reported 12 state-registered advisory representatives, up from 1 (2017-05-01 to 2018-03-29)
      Mar 29, 2018 · Advisor headcount change · derived
    • Tcg Advisors, Lp reported RAUM $1.8B, up 43% from $1.2B (2017-05-01 to 2018-03-29)
      Mar 29, 2018 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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
    Across the graphs

    Tcg Advisors, LP is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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