DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•••••• F•••••••• C••••••••• I•••

Independent wealth managerCRD 117465SEC 801-120385website IAPD

Latest filing Sep 3, 2026

First filing on the tape Mar 30, 2012 · 17 filings

SEC status approved since Feb 26, 2021

RAUM

$160M

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

100%

$160M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$80.0M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$160M as of Jan 31, 2026

Mar 30, 2012$46.2M then

HNW client RAUM$150M as of Jan 31, 2026

Feb 2, 2022$111M then

State-registered IARs (5.B.3)2 as of Jan 31, 2026

Mar 30, 20120 then

Employees (5.A)2 as of Jan 31, 2026

Feb 2, 20222 then

Private funds: no history

RAUM +10% over the last fiscal year+10% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Sep 3, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $80.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 40derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $630,088derivedRAUM over accounts (5.F.2.f)
Discretionary: 96%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: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +10%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.3%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $12.6M, 15 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$150M93%
Individuals$10.5M6.5%

Individual clients: 25reported
HNW clients: 55reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 254reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $12.6M for 15 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

0 left, 0 joined in 12 months

net 0 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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T••••••• E•••• E•••• · President & Chief Compliance Officercontrol
since 03/1999 · owns 75% or more

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

Financial planning clients · 1-10 to 1-10
Jan 31, 2026 to Sep 3, 2026
HQ city · to unset
Jan 31, 2026 to Sep 3, 2026
HQ state · to unset
Jan 31, 2026 to Sep 3, 2026
Succession · false to unset
Jan 31, 2026 to Sep 3, 2026
Accounts · 256 to 254
Oct 13, 2025 to Jan 31, 2026
HNW clients · 49 to 55
Oct 13, 2025 to Jan 31, 2026
Individual clients · 30 to 25
Oct 13, 2025 to Jan 31, 2026
Assets in custody · $12.7M to $12.6M
Oct 13, 2025 to Jan 31, 2026
Insurance-licensed employees · 0 to 2
Oct 13, 2025 to Jan 31, 2026
Financial planning clients · 0 to 1-10
Oct 13, 2025 to Jan 31, 2026
State-registered IARs · 1 to 2
Oct 13, 2025 to Jan 31, 2026
Discretionary RAUM · $138M to $153M
Oct 13, 2025 to Jan 31, 2026
HNW RAUM · $130M to $150M
Oct 13, 2025 to Jan 31, 2026
Individual RAUM · $15.2M to $10.5M
Oct 13, 2025 to Jan 31, 2026
Non-discretionary RAUM · $7.7M to $6.8M
Oct 13, 2025 to Jan 31, 2026
RAUM · $145M to $160M
Oct 13, 2025 to Jan 31, 2026
Related adviser · false to true
Oct 13, 2025 to Jan 31, 2026
Financial planning clients · 0 to 0
Jan 8, 2025 to Oct 13, 2025
Accounts · 248 to 256
Jul 1, 2024 to Jan 8, 2025
HNW clients · 47 to 49
Jul 1, 2024 to Jan 8, 2025
Assets in custody · $25.8M to $12.7M
Jul 1, 2024 to Jan 8, 2025
Insurance-licensed employees · 2 to 0
Jul 1, 2024 to Jan 8, 2025
HQ city · unset to
Jul 1, 2024 to Jan 8, 2025
HQ state · unset to
Jul 1, 2024 to Jan 8, 2025
State-registered IARs · 2 to 1
Jul 1, 2024 to Jan 8, 2025
Discretionary RAUM · $128M to $138M
Jul 1, 2024 to Jan 8, 2025
HNW RAUM · $120M to $130M
Jul 1, 2024 to Jan 8, 2025
Individual RAUM · $14.5M to $15.2M
Jul 1, 2024 to Jan 8, 2025
Non-discretionary RAUM · $6.9M to $7.7M
Jul 1, 2024 to Jan 8, 2025
RAUM · $135M to $145M
Jul 1, 2024 to Jan 8, 2025
Accounts · 250 to 248
Feb 9, 2023 to Feb 2, 2024
HNW clients · 45 to 47
Feb 9, 2023 to Feb 2, 2024
Individual clients · 32 to 30
Feb 9, 2023 to Feb 2, 2024
Assets in custody · $9.4M to $25.8M
Feb 9, 2023 to Feb 2, 2024
Employees · 3 to 2
Feb 9, 2023 to Feb 2, 2024
Insurance-licensed employees · 1 to 2
Feb 9, 2023 to Feb 2, 2024
Other offices · 1 to 0
Feb 9, 2023 to Feb 2, 2024
Discretionary RAUM · $113M to $128M
Feb 9, 2023 to Feb 2, 2024
HNW RAUM · $106M to $120M
Feb 9, 2023 to Feb 2, 2024
Individual RAUM · $13.5M to $14.5M
Feb 9, 2023 to Feb 2, 2024

Signals

1 dated events

T•••••• F•••••••• C••••••••• I••• filed its initial SEC registration (Form ADV)
Jan 27, 2021 · First SEC registration · 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: 206-347-8882reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 206-842-1422reportedpublished by the firm, firm site, Sep 16, 2026
Website: T••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 206 842-1422reportedpublic record, Form ADV, Sep 3, 2026
Contact form: t••••••.comreportedpublished by the firm, firm site, Sep 16, 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: $80.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026