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.

Former SEC-registered adviser

Palantir Capital Management, Ltd.

Former SEC-registered adviserHouston, TexasCRD 131625SEC 801-63362IAPD
Latest filing Apr 13, 2015
First filing on the tape Mar 23, 2012 · 8 filings
RAUM
$168M
reported, Item 5.F
Discretionary
26%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$168M as of Feb 20, 2015
Mar 23, 2012$90.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 20, 2015
Mar 21, 20133 then
Employees (5.A)3 as of Feb 20, 2015
Mar 21, 20133 then
Private funds: no history
RAUM -14% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 13, 2015; every figure names its basis
RAUM per advisor
$56.1MderivedRAUM 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
$950,961derivedRAUM over accounts (5.F.2.f)
Discretionary
26%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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
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
177reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Edwin Thomas Samuels · Managing Partnercontrol
    since 03/2004 · owns 75% or more
  • Ann Cimalie Zoy · Chief Compliance Officercontrol
    since 03/2004 · owns less than 5%
  • Edwin Thomas Samuels · Managing Membercontrol
    since 03/2004 · owns 75% or more of Tes Financial, LLC
Entity owners
  • Tes Financial, LLC · General Partner
    direct · 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 · 198 to 177
    Aug 15, 2014 to Feb 20, 2015
  • Financial planning clients · 11-25 to 1-10
    Aug 15, 2014 to Feb 20, 2015
  • Discretionary RAUM · $75.2M to $44.2M
    Aug 15, 2014 to Feb 20, 2015
  • Non-discretionary RAUM · $120M to $124M
    Aug 15, 2014 to Feb 20, 2015
  • RAUM · $195M to $168M
    Aug 15, 2014 to Feb 20, 2015
  • Accounts · 190 to 198
    Mar 21, 2013 to Mar 24, 2014
  • Discretionary RAUM · $72.4M to $75.2M
    Mar 21, 2013 to Mar 24, 2014
  • Non-discretionary RAUM · $104M to $120M
    Mar 21, 2013 to Mar 24, 2014
  • RAUM · $177M to $195M
    Mar 21, 2013 to Mar 24, 2014
  • Accounts · 197 to 190
    Nov 19, 2012 to Mar 21, 2013
  • Advisory employees · 1 to 3
    Nov 19, 2012 to Mar 21, 2013
  • Financial planning clients · 1-10 to 11-25
    Nov 19, 2012 to Mar 21, 2013
  • Discretionary RAUM · $85.6M to $72.4M
    Nov 19, 2012 to Mar 21, 2013
  • Non-discretionary RAUM · $5.3M to $104M
    Nov 19, 2012 to Mar 21, 2013
  • RAUM · $90.9M to $177M
    Nov 19, 2012 to Mar 21, 2013
  • Advisory employees · unset to 1.0
    Mar 23, 2012 to Nov 19, 2012
  • Employees · unset to 3.0
    Mar 23, 2012 to Nov 19, 2012
  • State-registered IARs · unset to 3.0
    Mar 23, 2012 to Nov 19, 2012
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