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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Former SEC-registered adviser
T••••••• A•••••••• I•••
Legal name T••••••• A••••••• I•••
Latest filing Jun 12, 2023
First filing on the tape Nov 29, 2011 · 29 filings
RAUM
$55.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$46.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$27.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$55.5M as of Mar 16, 2023
Mar 29, 2012$151M then
HNW client RAUM$39.3M as of Mar 16, 2023
Mar 26, 2018$129M then
State-registered IARs (5.B.3)2 as of Mar 16, 2023
Mar 29, 20120 then
Employees (5.A)4 as of Mar 16, 2023
Mar 26, 20135 then
Private funds: no history
RAUM -84% over the last fiscal year-42% a year over threeIARs 7 to 2
Practice profile
derived from the filing of Jun 12, 2023; every figure names its basis
- RAUM per advisor
- $27.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $430,101derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -84%derivedbetween the last two annual amendments
- Advisor growth, one year
- -71%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -78%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $34.7M, 53 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$39.3M71%
- Insurance companies$8.8M16%
- Individuals$7.4M13%
- Individual clients
- 42reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 129reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.7M for 53 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• T••••• P•••• | Houston, Tx | May 18, 2009 | 33 y | 0 |
| J•• C••••• V••••••Chartered Financial Analyst | Houston, Tx | Jun 12, 2023 | 32 y | 1 |
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
- T••••• L•• P•••• to C••••• • A••••••••• I•••Mar 16, 2023 · RIA to affiliated broker-dealer or bank
- C•••••• A•••••• M••••• to T•• W••••• M•••••••••Feb 24, 2023 · RIA to a newly registered adviser
- J••••••• H••••••• S••••••• to T•• W••••• M•••••••••Feb 24, 2023 · RIA to a newly registered adviser
- A••••• G••••• M•••• to T•• W••••• M•••••••••Feb 24, 2023 · RIA to a newly registered adviser
- M••••• S•••••• T•••••• to S••• I••••••••• C••••••Aug 3, 2010 · Other
Joined, latest
- J•• C••••• V•••••• from P••••••• I••••••••• L••Jun 12, 2023 · Other
- C•••••• A•••••• M••••• from P••••••• I••••••••• L••Jul 19, 2018 · Other
- A••••• G••••• M•••• from P••••••• I••••••••• L••Jul 19, 2018 · Other
- M••••• S•••••• T•••••• from S•••••• E••••• A•••••••• L•May 26, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for T•• W••••• M•••••••••Feb 24, 2023 · Houston, Tx · Firm absorbed
- 2 joined from P••••••• I••••••••• L••Jul 30, 2018 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• W••••••• T••••• · Presidentcontrolsince 09/2009 · owns 50% to 75%
- V••••••• J••• C••••• · Chief Executive Officer, Chief Compliance Officercontrolsince 09/2009 · owns 50% to 75%
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 4 to 2Mar 16, 2023 to Apr 28, 2023
- Accounts · 750 to 129Mar 16, 2022 to Mar 16, 2023
- Advisory employees · 6 to 2Mar 16, 2022 to Mar 16, 2023
- Advisory activities · 6 to 3Mar 16, 2022 to Mar 16, 2023
- BD registered reps · 6 to 4Mar 16, 2022 to Mar 16, 2023
- Corporate clients · 4.0 to unsetMar 16, 2022 to Mar 16, 2023
- HNW clients · 169 to 32Mar 16, 2022 to Mar 16, 2023
- Individual clients · 165 to 42Mar 16, 2022 to Mar 16, 2023
- Pension plan clients · 5.0 to unsetMar 16, 2022 to Mar 16, 2023
- Assets in custody · $114M to $34.7MMar 16, 2022 to Mar 16, 2023
- Employees · 7 to 4Mar 16, 2022 to Mar 16, 2023
- State-registered IARs · 7 to 2Mar 16, 2022 to Mar 16, 2023
- Discretionary RAUM · $348M to $55.5MMar 16, 2022 to Mar 16, 2023
- HNW RAUM · $281M to $39.3MMar 16, 2022 to Mar 16, 2023
- Individual RAUM · $48.6M to $7.4MMar 16, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $6.5M to $0Mar 16, 2022 to Mar 16, 2023
- Pension RAUM · 12305533.0 to unsetMar 16, 2022 to Mar 16, 2023
- RAUM · $355M to $55.5MMar 16, 2022 to Mar 16, 2023
- Accounts · 718 to 750Mar 19, 2021 to Mar 16, 2022
- BD registered reps · 8 to 6Mar 19, 2021 to Mar 16, 2022
- Charity clients · 2.0 to unsetMar 19, 2021 to Mar 16, 2022
- Corporate clients · 9 to 4Mar 19, 2021 to Mar 16, 2022
- HNW clients · 159 to 169Mar 19, 2021 to Mar 16, 2022
- Individual clients · 161 to 165Mar 19, 2021 to Mar 16, 2022
- Assets in custody · $120M to $114MMar 19, 2021 to Mar 16, 2022
- Employees · 8 to 7Mar 19, 2021 to Mar 16, 2022
- State-registered IARs · 6 to 7Mar 19, 2021 to Mar 16, 2022
- Discretionary RAUM · $311M to $348MMar 19, 2021 to Mar 16, 2022
- HNW RAUM · $230M to $281MMar 19, 2021 to Mar 16, 2022
- Individual RAUM · $49.4M to $48.6MMar 19, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $25.9M to $6.5MMar 19, 2021 to Mar 16, 2022
- Pension RAUM · $30.7M to $12.3MMar 19, 2021 to Mar 16, 2022
- RAUM · $337M to $355MMar 19, 2021 to Mar 16, 2022
- Accounts · 699 to 718Sep 29, 2020 to Mar 19, 2021
- Advisory activities · 5 to 6Sep 29, 2020 to Mar 19, 2021
- Corporate clients · 10 to 9Sep 29, 2020 to Mar 19, 2021
- HNW clients · 136 to 159Sep 29, 2020 to Mar 19, 2021
- Individual clients · 153 to 161Sep 29, 2020 to Mar 19, 2021
- Assets in custody · $42.9M to $120MSep 29, 2020 to Mar 19, 2021
- Discretionary RAUM · $265M to $311MSep 29, 2020 to Mar 19, 2021
Signals
6 dated events
- T••••• L•• P•••• left T••••••• A•••••••• I••• for C••••• • A••••••••• I••• (registered 2022-12-08)Mar 16, 2023 · Advisor changed firm · fact
- T••••••• A•••••••• I••• reported RAUM $55.5M, down 84% from $354.8M (2022-03-16 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- A••••• G••••• M•••• left T••••••• A•••••••• I••• for T•• W••••• M••••••••• (registered 2022-10-03)Feb 24, 2023 · Advisor changed firm · fact
- C•••••• A•••••• M••••• left T••••••• A•••••••• I••• for T•• W••••• M••••••••• (registered 2022-10-03)Feb 24, 2023 · Advisor changed firm · fact
- J••••••• H••••••• S••••••• left T••••••• A•••••••• I••• for T•• W••••• M••••••••• (registered 2022-10-03)Feb 24, 2023 · Advisor changed firm · fact
- T••••••• A•••••••• I•••'s advisors moved to T•• W••••• M••••••••• (Houston, TX): 3 of 5 registered, on the same dayFeb 24, 2023 · Firm absorbed (people side) · derived
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
- Website
- TRISTAR.USreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026