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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SEC-registered adviser
T•• C•••••• A•••••••• I•••
Latest filing Jun 10, 2026
First filing on the tape Jan 25, 2012 · 17 filings
SEC status approved since May 21, 2021
RAUM
$178M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
88%
$157M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$178M as of Jun 10, 2026
Jan 25, 2012$50.7M then
HNW client RAUM$129M as of Jun 10, 2026
Jan 31, 2022$106M then
State-registered IARs (5.B.3)3 as of Jun 10, 2026
Jan 31, 20225 then
Employees (5.A)4 as of Jun 10, 2026
Jan 31, 20225 then
Private funds: no history
RAUM +3.3% over the last fiscal year+7.0% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Jun 10, 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
- RAUM per advisor
- $35.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $818,400derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- 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
- High-net-worth individuals$129M73%
- Individuals$27.8M16%
- Corporations and businesses$17.3M9.7%
- State and municipal entities$2.5M1.4%
- Charitable organizations$1.2M0.7%
- Individual clients
- 61reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 217reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L••• C•••• | College Station, Tx | Jan 1, 2004 | 32 y | 0 |
| J•••• M•••••• L••••• | College Station, Tx | Sep 6, 2012 | 18 y | 0 |
| A•••• J••• T••••• | College Station, Tx | Jan 16, 2015 | 12 y | 0 |
| K••• A••••• C•• | College Station, Tx | Dec 13, 2023 | 13 y | 0 |
| I•••• S•••• A•••••••• | College Station, Tx | Mar 18, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- I•••• S•••• A•••••••• from E••••••• W•••••• L••Mar 18, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R•••••• L••• · Presidentcontrolsince 06/2003 · owns 25% to 50%
- L•••••• J••••• M•••••• · Chief Compliance Officer/Shareholdercontrolsince 08/2008 · owns 25% to 50%
- L••••••••• D••••••• E••••• · Shareholdercontrolsince 07/2005 · owns 10% to 25%
- T•••••• A••••• J••• · Shareholdercontrolsince 07/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•••••••• D••••• • C••••• P•••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| College Station, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 10, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- business activity changedChange between filings · filing Jun 10, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-03-19, yes on the filing of 2026-06-10peers: independent wealth managers, $100M to $500M (5,676)
- advisor count dropChange between filings · filing Mar 19, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-01-27 and 2026-03-19; the peer median change was 0.0% (965 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.6% percentile
What changed
consecutive filings, newest first
- Advisory activities · 1 to 2Mar 19, 2026 to Jun 10, 2026
- Accounts · 240 to 217Jul 28, 2025 to Jan 23, 2026
- Advisory employees · 4 to 1Jul 28, 2025 to Jan 23, 2026
- Corporate clients · 11 to 10Jul 28, 2025 to Jan 23, 2026
- HNW clients · 46 to 38Jul 28, 2025 to Jan 23, 2026
- Individual clients · 66 to 61Jul 28, 2025 to Jan 23, 2026
- Employees · 5 to 4Jul 28, 2025 to Jan 23, 2026
- State-registered IARs · 4 to 3Jul 28, 2025 to Jan 23, 2026
- HNW RAUM · $123M to $129MJul 28, 2025 to Jan 23, 2026
- Individual RAUM · $29.9M to $27.8MJul 28, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $172M to $178MJul 28, 2025 to Jan 23, 2026
- RAUM · $172M to $178MJul 28, 2025 to Jan 23, 2026
- Advisory employees · 5 to 4Jan 27, 2025 to Jul 28, 2025
- Financial planning clients · unset to Jan 27, 2025 to Jul 28, 2025
- State-registered IARs · 5 to 4Jan 27, 2025 to Jul 28, 2025
- Accounts · 239 to 240Jan 16, 2024 to Jan 27, 2025
- Corporate clients · 10 to 11Jan 16, 2024 to Jan 27, 2025
- HNW clients · 45 to 46Jan 16, 2024 to Jan 27, 2025
- Individual clients · 72 to 66Jan 16, 2024 to Jan 27, 2025
- HNW RAUM · $111M to $123MJan 16, 2024 to Jan 27, 2025
- Individual RAUM · $25.0M to $29.9MJan 16, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $152M to $172MJan 16, 2024 to Jan 27, 2025
- RAUM · $152M to $172MJan 16, 2024 to Jan 27, 2025
- Accounts · 214 to 239Jan 31, 2023 to Jan 16, 2024
- Advisory employees · 4 to 5Jan 31, 2023 to Jan 16, 2024
- Charity clients · unset to 2.0Jan 31, 2023 to Jan 16, 2024
- Corporate clients · 8 to 10Jan 31, 2023 to Jan 16, 2024
- HNW clients · 46 to 45Jan 31, 2023 to Jan 16, 2024
- Individual clients · 58 to 72Jan 31, 2023 to Jan 16, 2024
- Employees · 4 to 5Jan 31, 2023 to Jan 16, 2024
- State-registered IARs · 4 to 5Jan 31, 2023 to Jan 16, 2024
- HNW RAUM · $103M to $111MJan 31, 2023 to Jan 16, 2024
- Individual RAUM · $17.6M to $25.0MJan 31, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $145M to $152MJan 31, 2023 to Jan 16, 2024
- RAUM · $145M to $152MJan 31, 2023 to Jan 16, 2024
- Accounts · 224 to 214Jan 31, 2022 to Jan 25, 2023
- Corporate clients · 10 to 8Jan 31, 2022 to Jan 25, 2023
- HNW clients · 52 to 46Jan 31, 2022 to Jan 25, 2023
- Individual clients · 71 to 58Jan 31, 2022 to Jan 25, 2023
- Employees · 5 to 4Jan 31, 2022 to Jan 25, 2023
Signals
3 dated events
- Nmn Durwood Thompson (Vice President) no longer on Schedule A of T•• C•••••• A•••••••• I••• (listed 2022-01-31, absent 2023-01-25)Jan 25, 2023 · Control person left · inference
- John Aubry Taylor (Shareholder) appeared on Schedule A of T•• C•••••• A•••••••• I•••Jul 16, 2021 · Control person joined · fact
- T•• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 22, 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 email
- f•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 979-260-9696reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 979-260-9696reportedpublic record, Form ADV, Jun 10, 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
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026