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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••••• C•••••• M••••••••• I••
Legal name T••••• C•••••• M••••••••• I•••
Latest filing Jan 26, 2026
First filing on the tape Jan 26, 2021 · 14 filings
SEC status approved since Feb 25, 2021
RAUM
$266M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$239M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$66.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$266M as of Jan 26, 2026
Jan 19, 2022$165M then
HNW client RAUM$174M as of Jan 26, 2026
Jan 19, 2022$81.1M then
State-registered IARs (5.B.3)4 as of Jan 26, 2026
Jan 19, 20223 then
Employees (5.A)5 as of Jan 26, 2026
Jan 19, 20224 then
Private funds: no history
RAUM +18% over the last fiscal year+23% a year over threeIARs 3 to 4offices 1 to 0
Practice profile
derived from the filing of Jan 26, 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
- 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
- RAUM per advisor
- $66.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $312,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $141M, 156 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M66%
- Individuals$64.3M24%
- Charitable organizations$15.4M5.8%
- Corporations and businesses$8.3M3.1%
- Pension and profit-sharing plans$3.5M1.3%
- Individual clients
- 155reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 850reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $141M for 156 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• B••••••• E••••Certified Financial Planner, Personal Financial Specialist | Matthews, Nc | Jun 24, 2002 | 28 y | 1 |
| C•••••• W•••••• | Matthews, Nc | May 15, 2015 | 12 y | 0 |
| B•••••• P••••• K•••••• | Matthews, Nc | Nov 25, 2020 | 11 y | 0 |
| S•••• J•••••• K••••Certified Financial Planner | Matthews, Nc | Jun 11, 2025 | 11 y | 0 |
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
- W•••••• B••••••• E•••• from R••••• B••• • C••• L••Jun 24, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• W••••••• B••••••• · President And Chief Compliance Officercontrolsince 05/2002 · owns 75% or more
- K••••••• B••••••• P••••• · Financial Plannersince 01/2024 · owns 5% to 10%
- W••••••• C•••••• · Financial Plannersince 01/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Matthews, Nc · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 804 to 850Oct 20, 2025 to Jan 26, 2026
- Corporate clients · 9 to 5Oct 20, 2025 to Jan 26, 2026
- HNW clients · 65 to 85Oct 20, 2025 to Jan 26, 2026
- Individual clients · 162 to 155Oct 20, 2025 to Jan 26, 2026
- Assets in custody · $120M to $141MOct 20, 2025 to Jan 26, 2026
- Employees · 4 to 5Oct 20, 2025 to Jan 26, 2026
- Discretionary RAUM · $225M to $266MOct 20, 2025 to Jan 26, 2026
- HNW RAUM · $131M to $174MOct 20, 2025 to Jan 26, 2026
- Individual RAUM · $67.9M to $64.3MOct 20, 2025 to Jan 26, 2026
- Pension RAUM · $4.9M to $3.5MOct 20, 2025 to Jan 26, 2026
- RAUM · $225M to $266MOct 20, 2025 to Jan 26, 2026
- Advisory employees · 3 to 4Jul 22, 2025 to Oct 20, 2025
- State-registered IARs · 3 to 4Jul 22, 2025 to Oct 20, 2025
- Financial planning clients · 1-10 to 1-10Jan 15, 2025 to Jul 22, 2025
- Other offices · 1 to 0Jan 15, 2025 to Jul 22, 2025
- Accounts · 721 to 804Aug 14, 2024 to Jan 15, 2025
- Corporate clients · unset to 9.0Aug 14, 2024 to Jan 15, 2025
- HNW clients · 55 to 65Aug 14, 2024 to Jan 15, 2025
- Individual clients · 164 to 162Aug 14, 2024 to Jan 15, 2025
- Assets in custody · $27.2M to $120MAug 14, 2024 to Jan 15, 2025
- Discretionary RAUM · $183M to $225MAug 14, 2024 to Jan 15, 2025
- HNW RAUM · $101M to $131MAug 14, 2024 to Jan 15, 2025
- Individual RAUM · $62.3M to $67.9MAug 14, 2024 to Jan 15, 2025
- Pension RAUM · $2.3M to $4.9MAug 14, 2024 to Jan 15, 2025
- RAUM · $183M to $225MAug 14, 2024 to Jan 15, 2025
- Accounts · 689 to 721Nov 9, 2023 to Jan 31, 2024
- HNW clients · 44 to 55Nov 9, 2023 to Jan 31, 2024
- Assets in custody · $72.3M to $27.2MNov 9, 2023 to Jan 31, 2024
- Discretionary RAUM · $144M to $183MNov 9, 2023 to Jan 31, 2024
- HNW RAUM · $71.2M to $101MNov 9, 2023 to Jan 31, 2024
- Individual RAUM · $58.9M to $62.3MNov 9, 2023 to Jan 31, 2024
- Pension RAUM · $1.5M to $2.3MNov 9, 2023 to Jan 31, 2024
- RAUM · $144M to $183MNov 9, 2023 to Jan 31, 2024
- Other offices · 0 to 1May 10, 2023 to Nov 9, 2023
- Accounts · 709 to 689Sep 27, 2022 to Jan 27, 2023
- Individual clients · 159 to 164Sep 27, 2022 to Jan 27, 2023
- Pension plan clients · 5.0 to unsetSep 27, 2022 to Jan 27, 2023
- Assets in custody · unset to 72282059.0Sep 27, 2022 to Jan 27, 2023
- Custody of client assets · false to trueSep 27, 2022 to Jan 27, 2023
- Financial planning clients · 11-25 to 1-10Sep 27, 2022 to Jan 27, 2023
Signals
1 dated events
- T••••• C•••••• M••••••••• I•• filed its initial SEC registration (Form ADV)Jan 26, 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
- info@tasselcapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 704-814-6780reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-814-6780reportedpublic record, Form ADV, Jan 26, 2026
- Contact form
- tasselcapital.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026