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•••• C••••••

Former SEC-registered adviserHouston, TexasCRD 114247SEC 801-63372IAPD
Legal name T•••• C•••••• M••••••••• I•••
Latest filing Mar 30, 2017
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$288M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$288M as of Mar 30, 2017
Mar 29, 2012$399M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2017
Mar 28, 20134 then
Employees (5.A)4 as of Mar 30, 2017
Mar 28, 20135 then
Private funds: no history
RAUM -15% over the last fiscal year-5.0% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$72.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
146reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • C•••••••• J••••• J•••••• · President, Secretary, Director And Chief Compliance Officercontrol
      since 07/2005 · owns 25% to 50%
    • W••••••••• F••••• M••••••••• · Treasurer & Directorcontrol
      since 06/2015 · owns 25% to 50%
    • W••••••• D••••••• R••••• · Chief Investment Officer, Chief Executive Officer & Directorcontrol
      since 11/2015 · owns 10% to 25%
    • R••••••••• F••••••••• S••••••• · Shareholder
      since 12/2015 · owns 10% to 25%
    • W••••••••• B•••••• J•••• · Investment Committee Member
      since 01/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 145 to 146
      Dec 13, 2016 to Mar 30, 2017
    • Discretionary RAUM · $279M to $288M
      Dec 13, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $62.8M to $0
      Dec 13, 2016 to Mar 30, 2017
    • RAUM · $342M to $288M
      Dec 13, 2016 to Mar 30, 2017
    • Advisory employees · 5 to 4
      Aug 9, 2016 to Nov 14, 2016
    • Employees · 6 to 4
      Aug 9, 2016 to Nov 14, 2016
    • State-registered IARs · 5 to 4
      Aug 9, 2016 to Nov 14, 2016
    • Discretionary RAUM · $316M to $279M
      Aug 9, 2016 to Nov 14, 2016
    • Non-discretionary RAUM · $58.7M to $62.8M
      Aug 9, 2016 to Nov 14, 2016
    • RAUM · $375M to $342M
      Aug 9, 2016 to Nov 14, 2016
    • Advisory employees · 6 to 5
      Mar 31, 2016 to Aug 9, 2016
    • Employees · 7 to 6
      Mar 31, 2016 to Aug 9, 2016
    • Insurance-licensed employees · 1 to 0
      Mar 31, 2016 to Aug 9, 2016
    • State-registered IARs · 6 to 5
      Mar 31, 2016 to Aug 9, 2016
    • Accounts · 144 to 145
      Mar 30, 2016 to Mar 31, 2016
    • Discretionary RAUM · $281M to $316M
      Mar 30, 2016 to Mar 31, 2016
    • RAUM · $340M to $375M
      Mar 30, 2016 to Mar 31, 2016
    • Accounts · 155 to 144
      Nov 13, 2015 to Mar 30, 2016
    • Advisory activities · 2 to 4
      Nov 13, 2015 to Mar 30, 2016
    • Discretionary RAUM · $290M to $281M
      Nov 13, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $62.0M to $58.7M
      Nov 13, 2015 to Mar 30, 2016
    • RAUM · $352M to $340M
      Nov 13, 2015 to Mar 30, 2016
    • Related adviser · true to false
      Nov 13, 2015 to Mar 30, 2016
    • Accounts · 148 to 155
      Mar 31, 2015 to Nov 13, 2015
    • Advisory employees · 5 to 6
      Mar 31, 2015 to Nov 13, 2015
    • Employees · 6 to 7
      Mar 31, 2015 to Nov 13, 2015
    • State-registered IARs · 5 to 6
      Mar 31, 2015 to Nov 13, 2015
    • Discretionary RAUM · $363M to $290M
      Mar 31, 2015 to Nov 13, 2015
    • Non-discretionary RAUM · $0 to $62.0M
      Mar 31, 2015 to Nov 13, 2015
    • RAUM · $363M to $352M
      Mar 31, 2015 to Nov 13, 2015
    • Related adviser · false to true
      Mar 31, 2015 to Nov 13, 2015
    • Accounts · 154 to 148
      Dec 2, 2014 to Mar 31, 2015
    • Employees · 5 to 6
      Dec 2, 2014 to Mar 31, 2015
    • State-registered IARs · 4 to 5
      Dec 2, 2014 to Mar 31, 2015
    • Discretionary RAUM · $309M to $363M
      Dec 2, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $80.7M to $0
      Dec 2, 2014 to Mar 31, 2015
    • RAUM · $390M to $363M
      Dec 2, 2014 to Mar 31, 2015
    • Accounts · 165 to 154
      Mar 27, 2014 to Jul 30, 2014
    • Discretionary RAUM · $307M to $309M
      Mar 27, 2014 to Jul 30, 2014
    • Non-discretionary RAUM · $28.4M to $80.7M
      Mar 27, 2014 to Jul 30, 2014
    Signals
    No event on the tape.
    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