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••••••••• L••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Apr 29, 2016 · 31 filings
SEC status approved since May 18, 2016
RAUM
$809M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
92%
$740M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$162M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$809M as of Mar 27, 2026
Mar 31, 2017$136M then
HNW client RAUM$730M as of Mar 27, 2026
Mar 28, 2018$141M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 31, 20175 then
Employees (5.A)9 as of Mar 27, 2026
Mar 31, 20178 then
Private funds: no history
RAUM +44% over the last fiscal year+28% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $162MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$730M90%
- Pension and profit-sharing plans$29.5M3.6%
- Corporations and businesses$28.1M3.5%
- Charitable organizations$11.1M1.4%
- Individuals$10.1M1.3%
- Individual clients
- 41reported
- HNW clients
- 121reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 563reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| A••••• T••• G•••••••Certified Financial Planner | Houston, Tx | Sep 25, 2003 | 43 y | 2 |
| D•••• C••••••••• S••••• | Houston, Tx | Jul 7, 2015 | 24 y | 4 |
| E•••••••• M• S•••Certified Financial Planner | Houston, Tx | Nov 8, 2016 | 22 y | 3 |
| K•••• B•••• R•••Certified Financial Planner | Houston, Tx | Apr 13, 2018 | 16 y | 1 |
| F•••••••• A••••••• S•••••••• | Houston, Tx | Jun 5, 2026 | 10 y | 3 |
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 headcount1 left over 36 months
Left, latest
- M•••••• D•••••• B•••• to R•• W••••• M•••••••••Dec 6, 2023 · RIA to RIA
- S•••••• J•• P••• to K•••••• W••••• A•••••••• L••Nov 3, 2022 · RIA to RIA
Joined, latest
- F•••••••• A••••••• S•••••••• from F••••• I•••••••••Jun 5, 2026 · RIA to RIA
- M•••••• D•••••• B•••• from S•••••• A•••• M••••••••• L••Jun 26, 2020 · Other
- K•••• B•••• R••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 13, 2018 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• M• S••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 8, 2016 · Other
- S•••••• J•• P••• from A•••• M••••••••• A••••••• I••May 13, 2016 · Other
- D•••• C••••••••• S••••• from L•• F•••••••• L••Jul 7, 2015 · Other
- A••••• T••• G••••••• from L•• F•••••••• L••Sep 25, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A•••••• T••• · Chief Compliance Officer / Chairmancontrolsince 05/2003 · owns 10% to 25%
- R•••• K••••• B•••• · Chief Executive Officercontrolsince 10/2024 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 5 | 1 | 0 | ||
| Kemah, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $562,079,455 to $808,974,525 (+44.0%) between the annual amendments of 2025-02-10 and 2026-03-27; the peer median change was +16.0% (1385 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 522 to 563Feb 10, 2025 to Mar 27, 2026
- Corporate clients · 6 to 10Feb 10, 2025 to Mar 27, 2026
- HNW clients · 107 to 121Feb 10, 2025 to Mar 27, 2026
- Individual clients · 56 to 41Feb 10, 2025 to Mar 27, 2026
- Employees · 8 to 9Feb 10, 2025 to Mar 27, 2026
- Discretionary RAUM · $531M to $780MFeb 10, 2025 to Mar 27, 2026
- HNW RAUM · $479M to $730MFeb 10, 2025 to Mar 27, 2026
- Individual RAUM · $16.3M to $10.1MFeb 10, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $30.8M to $29.5MFeb 10, 2025 to Mar 27, 2026
- Pension RAUM · $30.8M to $29.5MFeb 10, 2025 to Mar 27, 2026
- RAUM · $562M to $809MFeb 10, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Feb 2, 2025 to Feb 10, 2025
- Accounts · 156 to 522Dec 24, 2024 to Feb 2, 2025
- Corporate clients · unset to 6.0Dec 24, 2024 to Feb 2, 2025
- HNW clients · 91 to 107Dec 24, 2024 to Feb 2, 2025
- Individual clients · 51 to 56Dec 24, 2024 to Feb 2, 2025
- Pension plan clients · 5.0 to unsetDec 24, 2024 to Feb 2, 2025
- Financial planning clients · 26-50 to 101-250Dec 24, 2024 to Feb 2, 2025
- Discretionary RAUM · $434M to $531MDec 24, 2024 to Feb 2, 2025
- HNW RAUM · $383M to $479MDec 24, 2024 to Feb 2, 2025
- Individual RAUM · $16.7M to $16.3MDec 24, 2024 to Feb 2, 2025
- Non-discretionary RAUM · $30.4M to $30.8MDec 24, 2024 to Feb 2, 2025
- Pension RAUM · $30.4M to $30.8MDec 24, 2024 to Feb 2, 2025
- RAUM · $464M to $562MDec 24, 2024 to Feb 2, 2025
- Accounts · 458 to 156Jan 3, 2024 to Jan 25, 2024
- Advisory employees · 5 to 4Jan 3, 2024 to Jan 25, 2024
- HNW clients · 85 to 91Jan 3, 2024 to Jan 25, 2024
- Pension plan clients · unset to 5.0Jan 3, 2024 to Jan 25, 2024
- Employees · 9 to 8Jan 3, 2024 to Jan 25, 2024
- Financial planning clients · 51-100 to 26-50Jan 3, 2024 to Jan 25, 2024
- State-registered IARs · 5 to 4Jan 3, 2024 to Jan 25, 2024
- Discretionary RAUM · $378M to $434MJan 3, 2024 to Jan 25, 2024
- HNW RAUM · $339M to $383MJan 3, 2024 to Jan 25, 2024
- Individual RAUM · $17.5M to $16.7MJan 3, 2024 to Jan 25, 2024
- Non-discretionary RAUM · $11.4M to $30.4MJan 3, 2024 to Jan 25, 2024
- Pension RAUM · $11.4M to $30.4MJan 3, 2024 to Jan 25, 2024
- RAUM · $390M to $464MJan 3, 2024 to Jan 25, 2024
- Other offices · 5 to 1Nov 14, 2023 to Dec 22, 2023
- Other offices · 7 to 5Oct 19, 2023 to Nov 14, 2023
- Accounts · 434 to 458Dec 19, 2022 to Mar 10, 2023
Signals
9 dated events
- T••••••••• L••••• A•••••••• L•• reported RAUM $809.0M, up 44% from $562.1M (2025-02-10 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- B•••• K•••• R••• (Chief Executive Officer) appeared on Schedule A of T••••••••• L••••• A•••••••• L••Oct 18, 2024 · Control person joined · fact
- D•••••• M•••••• B•••• (Chief Compliance Officer) no longer on Schedule A of T••••••••• L••••• A•••••••• L•• (listed 2023-11-14, absent 2023-12-22)Dec 22, 2023 · Control person left · inference
- M•••••• D•••••• B•••• left T••••••••• L••••• A•••••••• L•• for R•• W••••• M••••••••• (registered 2023-12-08)Dec 6, 2023 · Advisor changed firm · fact
- S•••••• J•• P••• left T••••••••• L••••• A•••••••• L•• for K•••••• W••••• A•••••••• L•• (registered 2022-11-28)Nov 3, 2022 · Advisor changed firm · fact
- D•••••• M•••••• B•••• (Chief Compliance Officer) appeared on Schedule A of T••••••••• L••••• A•••••••• L••Nov 3, 2022 · Control person joined · fact
- Jon Shannon Pike (Chief Compliance Officer And Vice President) no longer on Schedule A of T••••••••• L••••• A•••••••• L•• (listed 2022-04-01, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- T••••••••• L••••• A•••••••• L•• reported 7 offices beyond its principal office, up from 2 (2021-04-01 to 2022-03-29)Mar 29, 2022 · Office count change · derived
- T••••••••• L••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 29, 2016 · 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
- 713-599-4999reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/tanglewood-legacy-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-599-4999reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $162Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026