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•• W••••• A•••••••• L••

Former SEC-registered adviserSan Antonio, TexasCRD 150508SEC 801-70282IAPD
Latest filing Mar 19, 2024
First filing on the tape Jan 20, 2012 · 45 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$38.9M gross assets
History
45 filings and snapshots on the tape
RAUM$845M as of Mar 31, 2023
Mar 30, 2012$178M then
HNW client RAUM$0 as of Mar 19, 2024
Mar 28, 2018$125M then
State-registered IARs (5.B.3)1 as of Mar 19, 2024
Mar 30, 20120 then
Employees (5.A)2 as of Mar 19, 2024
Mar 22, 20134 then
Private funds4 as of Mar 19, 2024
Mar 22, 20131 then
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 19, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
4 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T•• O••••••••• F••• L•• S••••• 3• O••• E•• S••••••••• I•Hedge Fund$23.1M26Mar 31, 2020
T•• O••••••••• F••• L•• S••••• 2• C••••• E•• S•••••••••Hedge Fund$7.0M46Mar 31, 2020
S••• B•••••• V•••••••• L••Private Equity Fund$5.1M6Mar 22, 2013
T•• O••••••••• F••• L•• S••••• 1• O••• E•• S•••••••••Hedge Fund$3.7M19Mar 31, 2020
Owners and control persons
Schedule A and B, latest filing
  • G•••••• S•••••• · Ccocontrol
    since 02/2023 · owns less than 5%
  • G••••• B••••• R•••••• · Ceo And Director
    since 07/2013 · owns less than 5%
  • G•••••• C••••••• J••• · Chief Information Officer
    since 07/2013 · owns less than 5%
  • S••••••••• A••• J••• · Chief Financial Officer
    since 07/2013 · owns less than 5%
Entity owners
  • T•••• P••••••• B••• · Managing Member
    direct · owns 75% or more
  • S•••••••• B••••••••• I••• · Shareholder
    indirect · owns 75% or more of T•••• P••••••• B•••
Related persons
Schedule D 7.A
  • T•••• P••••••• B•••
    y
  • T•• I•••••••• G••••
    real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 377.0 to unset
    May 25, 2023 to Mar 19, 2024
  • Advisory employees · 1 to 0
    May 25, 2023 to Mar 19, 2024
  • Advisory activities · 6 to 1
    May 25, 2023 to Mar 19, 2024
  • Charity clients · unset to 0.0
    May 25, 2023 to Mar 19, 2024
  • HNW clients · 72 to 0
    May 25, 2023 to Mar 19, 2024
  • Individual clients · 56 to 0
    May 25, 2023 to Mar 19, 2024
  • Pension plan clients · unset to 0.0
    May 25, 2023 to Mar 19, 2024
  • Pooled vehicle clients · 4 to 0
    May 25, 2023 to Mar 19, 2024
  • Assets in custody · 698524534.0 to unset
    May 25, 2023 to Mar 19, 2024
  • Custody of client assets · true to false
    May 25, 2023 to Mar 19, 2024
  • Employees · 3 to 2
    May 25, 2023 to Mar 19, 2024
  • Insurance-licensed employees · 1 to 0
    May 25, 2023 to Mar 19, 2024
  • State-registered IARs · 2 to 1
    May 25, 2023 to Mar 19, 2024
  • Discretionary RAUM · 815530186.0 to unset
    May 25, 2023 to Mar 19, 2024
  • HNW RAUM · $781M to $0
    May 25, 2023 to Mar 19, 2024
  • Individual RAUM · $18.3M to $0
    May 25, 2023 to Mar 19, 2024
  • Non-discretionary RAUM · 29262578.0 to unset
    May 25, 2023 to Mar 19, 2024
  • Pension RAUM · $5.7M to $0
    May 25, 2023 to Mar 19, 2024
  • Pooled vehicle RAUM · $38.9M to $0
    May 25, 2023 to Mar 19, 2024
  • RAUM · 844792764.0 to unset
    May 25, 2023 to Mar 19, 2024
  • Accounts · 365 to 377
    Mar 30, 2022 to Mar 31, 2023
  • Advisory employees · 4 to 1
    Mar 30, 2022 to Mar 31, 2023
  • Business name · A••••••• W••••• A•••••••• L•• to T•• W••••• A•••••••• L••
    Mar 30, 2022 to Mar 31, 2023
  • Charity clients · 6.0 to unset
    Mar 30, 2022 to Mar 31, 2023
  • Corporate clients · 20 to 0
    Mar 30, 2022 to Mar 31, 2023
  • HNW clients · 262 to 72
    Mar 30, 2022 to Mar 31, 2023
  • Individual clients · 68 to 56
    Mar 30, 2022 to Mar 31, 2023
  • Assets in custody · $876M to $699M
    Mar 30, 2022 to Mar 31, 2023
  • Employees · 5 to 3
    Mar 30, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 0 to 1
    Mar 30, 2022 to Mar 31, 2023
  • Financial planning clients · 101-250 to 0
    Mar 30, 2022 to Mar 31, 2023
  • State-registered IARs · 5 to 2
    Mar 30, 2022 to Mar 31, 2023
  • Legal name · A••••••• W••••• A•••••••• L•• to T•• W••••• A•••••••• L••
    Mar 30, 2022 to Mar 31, 2023
  • Other offices · 2 to 0
    Mar 30, 2022 to Mar 31, 2023
  • Discretionary RAUM · $876M to $816M
    Mar 30, 2022 to Mar 31, 2023
  • HNW RAUM · $724M to $781M
    Mar 30, 2022 to Mar 31, 2023
  • Individual RAUM · $12.3M to $18.3M
    Mar 30, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $7.0M to $29.3M
    Mar 30, 2022 to Mar 31, 2023
  • Pension RAUM · $2.9M to $5.7M
    Mar 30, 2022 to Mar 31, 2023
  • Pooled vehicle RAUM · $32.5M to $38.9M
    Mar 30, 2022 to Mar 31, 2023
Signals
4 dated events
  • S•••• B••••• G•••• left T•• W••••• A•••••••• L•• for L••••• K••• C•••••• M••••••••• C••••••••• (registered 2023-09-08)
    Sep 8, 2023 · Advisor changed firm · fact
  • S•••••• G••••• (Cco) appeared on Schedule A of T•• W••••• A•••••••• L••
    Mar 31, 2023 · Control person joined · fact
  • C•••••• A•• M•••••• left T•• W••••• A•••••••• L•• for B•••••••• A•••• M••••••••• L•• (registered 2023-02-15)
    Feb 15, 2023 · Advisor changed firm · fact
  • T•• W••••• A•••••••• L•• reported RAUM $882.6M, up 230% from $267.0M (2021-03-31 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
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