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•••••• M••••••••• I•••
Legal name T•• C•••••• M••••••••• I•••••••••
Latest filing Aug 17, 2026
First filing on the tape Jul 1, 2026 · 2 filings
SEC status approved since Jul 23, 2026
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$95.4M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$29.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$118M as of Aug 17, 2026
Jul 1, 2026$118M then
HNW client RAUM$76.5M as of Aug 17, 2026
Jul 1, 2026$76.5M then
State-registered IARs (5.B.3)4 as of Aug 17, 2026
Jul 1, 20264 then
Employees (5.A)5 as of Aug 17, 2026
Jul 1, 20265 then
Private funds1 as of Aug 17, 2026
Jul 1, 20261 then
Practice profile
derived from the filing of Aug 17, 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 private 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
- $29.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $304,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $18.9M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.5M65%
- Pooled investment vehicles$21.0M18%
- Individuals$18.9M16%
- Charitable organizations$1.8M1.5%
- Individual clients
- 81reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 388reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.9M for 1 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.18 institutional_share=0.02 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 |
|---|---|---|---|---|
| T••••• R•••••• G••••• | Raleigh, Nc | Apr 18, 2008 | 22 y | 1 |
| G••••• J••• G••••• | J•••Son City, Ny | Jan 31, 2013 | 13 y | 0 |
| E••••• L•••••••• | Greer, Sc | Aug 14, 2023 | 26 y | 0 |
| M•••••• H••••••• | Raleigh, Nc | Jan 3, 2024 | 13 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
- M•••••• L•• H•••• to E•••••••• A•••••••• L••Jan 18, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- T••••• R•••••• G••••• from N•• C•••••• M••••••••• I•••Apr 18, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Raleigh, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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.
How to reach
public business contact points only, each with its source
- Business email
- information@trgcap.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 607-217-4146reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-239-4163reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/3798933/admin/dashboardreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-239-4163reportedpublic record, Form ADV, Aug 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
- $29.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026