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•••••••• A•• C•••••• I••••••••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since May 28, 2021
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$110M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$114M as of Mar 19, 2026
Mar 29, 2012$46.4M then
HNW client RAUM$110M as of Mar 19, 2026
Mar 30, 2021$98.9M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Mar 19, 2026
Mar 30, 20214 then
Private funds: no history
RAUM +4.3% over the last fiscal year-11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$110M97%
- Corporations and businesses$2.5M2.2%
- Charitable organizations$1.4M1.3%
- Individual clients
- n/areported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 76reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• N•• T•••••••• | Austin, Tx | Jun 16, 2010 | 36 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
- C••••• J•••• Y•••• to B•••••• C•••••• L••May 20, 2021 · RIA to a state-registered adviser
Joined, latest
- C••••• J•••• Y•••• from T••••••• A•••••• N••••••• L••Sep 15, 2020 · Other
- K•••••• N•• T•••••••• from T•••••••• G•••••• • C•• I••••••••• M••••••••• L••Jun 16, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• K••••••• N•• · Chief Executive Officer, Chief Compliance Officer, Chief Portfolio Managercontrolsince 02/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 75 to 76Mar 28, 2025 to Mar 19, 2026
- Charity clients · 1 to 2Mar 28, 2025 to Mar 19, 2026
- HNW clients · 33 to 22Mar 28, 2025 to Mar 19, 2026
- Discretionary RAUM · $109M to $114MMar 28, 2025 to Mar 19, 2026
- HNW RAUM · $105M to $110MMar 28, 2025 to Mar 19, 2026
- RAUM · $109M to $114MMar 28, 2025 to Mar 19, 2026
- Accounts · 38 to 75Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 3 to 5Mar 28, 2024 to Mar 28, 2025
- HNW clients · 34 to 33Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- HQ city · unset to Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $95.6M to $109MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $91.8M to $105MMar 28, 2024 to Mar 28, 2025
- RAUM · $95.6M to $109MMar 28, 2024 to Mar 28, 2025
- Accounts · 85 to 38Jun 7, 2023 to Mar 28, 2024
- HNW clients · 79 to 34Jun 7, 2023 to Mar 28, 2024
- Pension plan clients · 2.0 to unsetJun 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $164M to $95.6MJun 7, 2023 to Mar 28, 2024
- HNW RAUM · $134M to $91.8MJun 7, 2023 to Mar 28, 2024
- Pension RAUM · 26609605.0 to unsetJun 7, 2023 to Mar 28, 2024
- RAUM · $164M to $95.6MJun 7, 2023 to Mar 28, 2024
- Accounts · 99 to 85Mar 30, 2022 to Mar 30, 2023
- HNW clients · 93 to 79Mar 30, 2022 to Mar 30, 2023
- Financial planning clients · 0 to unsetMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $213M to $164MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $174M to $134MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $34.1M to $26.6MMar 30, 2022 to Mar 30, 2023
- RAUM · $213M to $164MMar 30, 2022 to Mar 30, 2023
- Accounts · 96 to 99May 24, 2021 to Mar 30, 2022
- Charity clients · unset to 1.0May 24, 2021 to Mar 30, 2022
- HNW clients · 91 to 93May 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $132M to $213MMay 24, 2021 to Mar 30, 2022
- HNW RAUM · $98.9M to $174MMay 24, 2021 to Mar 30, 2022
- Pension RAUM · $31.0M to $34.1MMay 24, 2021 to Mar 30, 2022
- RAUM · $132M to $213MMay 24, 2021 to Mar 30, 2022
- Advisory employees · 2 to 1May 5, 2021 to May 24, 2021
- Employees · 4 to 3May 5, 2021 to May 24, 2021
- State-registered IARs · 2 to 1May 5, 2021 to May 24, 2021
- Other offices · 3 to 2May 5, 2021 to May 24, 2021
Signals
1 dated events
- T•••••••• A•• C•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2021 · First SEC registration · fact
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 phone
- 202-230-2379reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 202-363-6128reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- T••••••••COMPANY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 202-841-2867reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026