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••• F•••••••• S•••••••••
Legal name J• T••• F••••••••• I•••
Latest filing Aug 18, 2026
First filing on the tape Sep 17, 2013 · 35 filings
SEC status approved since Sep 23, 2013
RAUM
$262M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
83%
$218M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$29.1M
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$262M as of Aug 18, 2026
Mar 12, 2014$51.0M then
HNW client RAUM$159M as of Aug 18, 2026
Mar 27, 2018$39.4M then
State-registered IARs (5.B.3)8 as of Aug 18, 2026
Mar 12, 20145 then
Employees (5.A)11 as of Aug 18, 2026
Mar 12, 20147 then
Private funds1 as of Aug 18, 2026
Mar 29, 20241 then
RAUM +1.8% over the last fiscal year+13% a year over threeIARs 5 to 8offices 1 to 2
Practice profile
derived from the filing of Aug 18, 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
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $29.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $217,450derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consultingreportedItem 5.G
- Custody
- $79.0M, 265 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M61%
- Individuals$59.1M23%
- Investment companies$18.2M6.9%
- Pension and profit-sharing plans$14.1M5.4%
- Pooled investment vehicles$9.7M3.7%
- Corporations and businesses$1.8M0.7%
- Individual clients
- 211reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,205reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.0M for 265 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.83 fund_share=0.11 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• S•••• T•••Certified Financial Planner | Abilene, Tx | Sep 20, 2007 | 22 y | 2 |
| B•••• E• M••••• | Abilene, Tx | Sep 4, 2014 | 12 y | 0 |
| J•••• L••••••Certified Financial Planner | Abilene, Tx | Jul 20, 2021 | 11 y | 0 |
| C••• B•••••• H••• | Abilene, Tx | Jan 20, 2023 | 22 y | 2 |
| I•••• C•••••• T••••Certified Financial Planner | Abilene, Tx | Jan 16, 2025 | 12 y | 0 |
| K•••• S••• H•••••• | Abilene, Tx | Jan 27, 2025 | 10 y | 0 |
| J••• B••• R••••••Certified Financial Planner | Abilene, Tx | Jun 7, 2025 | 13 y | 4 |
| W•••••• B•••• V••• | Abilene, Tx | Jan 4, 2026 | 12 y | 0 |
| C••••• R••• R••••• | Abilene, Tx | Mar 22, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount1 left over 36 months
Left, latest
- D•••••• S•••• H••••• to T•••••• P•••••••• A•••••••• L••Oct 6, 2025 · RIA to RIA
- H•••• H••••• H•••••• to H• C•••• F•••••••• S••••••••Mar 27, 2017 · Other
Joined, latest
- J••• B••• R•••••• from B•• F•••••••• A•••••••• L••Jun 7, 2025 · RIA to RIA
- C••• B•••••• H••• from P•••••• A•••••••• L•••Jan 20, 2023 · Other
- D•••••• S•••• H••••• from E••••• J••••May 24, 2010 · Other
- H•••• H••••• H•••••• from N••••••••• M••••• I••••••••• S•••••••••Apr 13, 2010 · Other
- J••••• S•••• T••• from B••••• F•••••••• A•••••••Sep 20, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• P•••••• O••••••••• F•••• L• | Other Private Fund | $3.7M | 0 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• D••••••• S•••• · Secretary/Shareholdercontrolsince 05/2017 · owns 10% to 25%
- T•••• J•••••• S•••• · President/Ceocontrolsince 08/2007 · owns 75% or more
- G•••••• M••••••• M•••••• · Chief Compliance Officersince 08/2023 · owns less than 5%
- M•••••• B••••• E• · Shareholder; Chief Financial Officersince 01/2018 · owns less than 5%
- S•••••• H••••• K••• · Shareholdersince 04/2017 · owns less than 5%
- S•••••• L•••••• T•• · Shareholdersince 04/2017 · owns less than 5%
- S•••••• Z••••••• K••• · Shareholdersince 04/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Abilene, Tx · principal | 9 | 2 | 0 | ||
| Granbury, Tx | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Granbury, TX2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 30, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-03-25 and 2026-03-30; the peer median change was 0.0% (965 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,184 to 1,205Aug 7, 2025 to Mar 30, 2026
- Advisory employees · 7 to 8Aug 7, 2025 to Mar 30, 2026
- Corporate clients · unset to 7.0Aug 7, 2025 to Mar 30, 2026
- HNW clients · 68 to 72Aug 7, 2025 to Mar 30, 2026
- Individual clients · 189 to 211Aug 7, 2025 to Mar 30, 2026
- Assets in custody · $23.3M to $79.0MAug 7, 2025 to Mar 30, 2026
- Employees · 9 to 11Aug 7, 2025 to Mar 30, 2026
- State-registered IARs · 5 to 8Aug 7, 2025 to Mar 30, 2026
- Other offices · 1 to 2Aug 7, 2025 to Mar 30, 2026
- Discretionary RAUM · $235M to $244MAug 7, 2025 to Mar 30, 2026
- HNW RAUM · $160M to $159MAug 7, 2025 to Mar 30, 2026
- Individual RAUM · $56.0M to $59.1MAug 7, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $22.0M to $18.4MAug 7, 2025 to Mar 30, 2026
- Pension RAUM · $18.4M to $14.1MAug 7, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $7.8M to $9.7MAug 7, 2025 to Mar 30, 2026
- RAUM · $257M to $262MAug 7, 2025 to Mar 30, 2026
- Financial planning clients · 251-500 to 251-500Mar 25, 2025 to Jul 1, 2025
- Accounts · 1,152 to 1,184Mar 29, 2024 to Mar 25, 2025
- HNW clients · 58 to 68Mar 29, 2024 to Mar 25, 2025
- Individual clients · 179 to 189Mar 29, 2024 to Mar 25, 2025
- Pooled vehicle clients · unset to 1.0Mar 29, 2024 to Mar 25, 2025
- Assets in custody · unset to 23254102.0Mar 29, 2024 to Mar 25, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $190M to $235MMar 29, 2024 to Mar 25, 2025
- HNW RAUM · $129M to $160MMar 29, 2024 to Mar 25, 2025
- Individual RAUM · $50.1M to $56.0MMar 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $13.3M to $22.0MMar 29, 2024 to Mar 25, 2025
- Pension RAUM · $11.8M to $18.4MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · unset to 7803744.0Mar 29, 2024 to Mar 25, 2025
- RAUM · $203M to $257MMar 29, 2024 to Mar 25, 2025
- Accounts · 1,000 to 1,152Sep 16, 2023 to Mar 29, 2024
- Advisory employees · 8 to 7Sep 16, 2023 to Mar 29, 2024
- HNW clients · 41 to 58Sep 16, 2023 to Mar 29, 2024
- Individual clients · 215 to 179Sep 16, 2023 to Mar 29, 2024
- Employees · 11 to 9Sep 16, 2023 to Mar 29, 2024
- Financial planning clients · 101-250 to 251-500Sep 16, 2023 to Mar 29, 2024
- State-registered IARs · 8 to 5Sep 16, 2023 to Mar 29, 2024
- Private funds · unset to 1Sep 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $170M to $190MSep 16, 2023 to Mar 29, 2024
- HNW RAUM · $98.6M to $129MSep 16, 2023 to Mar 29, 2024
Signals
5 dated events
- D•••••• S•••• H••••• left T••• F•••••••• S••••••••• for T•••••• P•••••••• A•••••••• L•• (registered 2026-01-08)Oct 6, 2025 · Advisor changed firm · fact
- D•••••• Ian M••••••• (Chief Compliance Officer) no longer on Schedule A of T••• F•••••••• S••••••••• (listed 2023-03-20, absent 2023-09-16)Sep 16, 2023 · Control person left · inference
- Michael Matthew Giggey (Chief Compliance Officer) appeared on Schedule A of T••• F•••••••• S•••••••••Sep 16, 2023 · Control person joined · fact
- D•••••• Ian M••••••• (Chief Compliance Officer) appeared on Schedule A of T••• F•••••••• S•••••••••Mar 26, 2019 · Control person joined · fact
- T••• F•••••••• S••••••••• filed its initial SEC registration (Form ADV)Sep 17, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T••• F•••••••• S••••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 817-573-8326reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-970-8093reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 325-480-1587reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/T•••-FINANCIAL-S•••••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- teamfinancialstrategies.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 325-480-1587reportedpublic record, Form ADV, Aug 18, 2026
- Contact form
- teamfinancialstrategies.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- t••• profile url
- teamfinancialstrategies.com/team-member-01reportedpublished 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
- $29.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026