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•••••• L••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape May 16, 2017 · 28 filings
SEC status approved since May 24, 2017
RAUM
$521M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$502M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$86.9M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$521M as of Mar 27, 2026
Mar 22, 2018$144M then
HNW client RAUM$442M as of Mar 27, 2026
Mar 22, 2018$110M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 22, 20180 then
Employees (5.A)7 as of Mar 27, 2026
Mar 22, 20184 then
Private funds1 as of Mar 27, 2026
Mar 22, 20211 then
RAUM +13% over the last fiscal year+16% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 27, 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
- $86.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $576,519derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $218M, 198 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$442M85%
- Individuals$59.7M11%
- Pooled investment vehicles$14.1M2.7%
- Charitable organizations$4.7M0.9%
- Corporations and businesses$635,0380.1%
- Individual clients
- 222reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 904reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $218M for 198 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P••• W•••••••• | Houston, Tx | Dec 5, 2011 | 25 y | 2 |
| A•••••• L••••••• G••••• | Houston, Tx | Mar 6, 2013 | 18 y | 1 |
| L•••• B•••• B•••Certified Financial Planner | Houston, Tx | Sep 26, 2014 | 34 y | 4 |
| J••• J••••• H••••• | Houston, Tx | Nov 30, 2018 | 13 y | 0 |
| A••••• M•••• M••••Certified Financial Planner | Houston, Tx | Sep 26, 2019 | 12 y | 0 |
| C••••••• S••••• G••••• | Houston, Tx | Oct 30, 2024 | 14 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 headcount1 left over 36 months
Left, latest
- L•••• C•••• L•• to F•••••••• P•••• I•••Aug 11, 2025 · RIA to RIA
Joined, latest
- L•••• C•••• L•• from V•••• F•••••••• A•••••••• I•••Jul 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- L•••• B•••• B••• from W•••• F•••• A•••••••Sep 26, 2014 · Other
- A•••••• L••••••• G••••• from S••••• A•••• M••••••••• L••Mar 6, 2013 · Other
- J••• P••• W•••••••• from S••••• A•••• M••••••••• L••Dec 5, 2011 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••• L••••• D•••••• O•••••• F••• I• L• | Hedge Fund | $12.7M | 27 | Sep 28, 2020 |
Owners and control persons
Schedule A and B, latest filing
- W••••••••• J•••• P••• · Member/Chief Compliance Officer/ Chief Executive Officercontrolsince 09/2011 · owns 25% to 50%
- B•••• L••••• B•••• · Ownercontrolsince 03/2014 · owns 50% to 75% of L••••••• F••••••••• L••
- B•••• L••••• A•• · Ownercontrolsince 03/2014 · owns 50% to 75% of L••••••• F••••••••• L••
- G•••••• A••••••• L••••••• · Member/Portfolio Analystsince 12/2017 · owns less than 5%
- H•••••• J•••• J••••• · Member/Directorsince 12/2019 · owns less than 5%
Entity owners
- L••••••• F••••••••• L•• · Partner/Memberdirect · owns less than 5%
- P•• A•••• M••••••••• L• · Partner/Memberdirect · owns 25% to 50%
- D••• R••••• D••••••••• O• T•••• L•••••• P•••••• · L•••••• Partnerindirect · owns 25% to 50% of R• • D• R•••••• L•
- R• • D• R•••••• L• · Memberindirect · owns 25% to 50% of P•• A•••• M••••••••• L•
- R••••• C••••••••• T•••• · Memberindirect · owns 75% or more of R••• R•••••• L•
- R••• R•••••• L• · Memberindirect · owns 25% to 50% of P•• A•••• M••••••••• L•
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 | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- The Woodlands, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 854 to 904Jul 7, 2025 to Mar 27, 2026
- Advisory employees · 7 to 6Jul 7, 2025 to Mar 27, 2026
- HNW clients · 124 to 134Jul 7, 2025 to Mar 27, 2026
- Individual clients · 213 to 222Jul 7, 2025 to Mar 27, 2026
- Assets in custody · $153M to $218MJul 7, 2025 to Mar 27, 2026
- Employees · 8 to 7Jul 7, 2025 to Mar 27, 2026
- State-registered IARs · 7 to 6Jul 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $444M to $514MJul 7, 2025 to Mar 27, 2026
- HNW RAUM · $382M to $442MJul 7, 2025 to Mar 27, 2026
- Individual RAUM · $59.4M to $59.7MJul 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $16.4M to $7.2MJul 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $13.9M to $14.1MJul 7, 2025 to Mar 27, 2026
- RAUM · $460M to $521MJul 7, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Apr 24, 2025 to Jul 7, 2025
- Accounts · 781 to 854Sep 16, 2024 to Apr 24, 2025
- Advisory employees · 6 to 7Sep 16, 2024 to Apr 24, 2025
- HNW clients · 105 to 124Sep 16, 2024 to Apr 24, 2025
- Individual clients · 202 to 213Sep 16, 2024 to Apr 24, 2025
- Assets in custody · unset to 153386738.0Sep 16, 2024 to Apr 24, 2025
- Custody of client assets · false to trueSep 16, 2024 to Apr 24, 2025
- Employees · 7 to 8Sep 16, 2024 to Apr 24, 2025
- Financial planning clients · 51-100 to 0Sep 16, 2024 to Apr 24, 2025
- State-registered IARs · 6 to 7Sep 16, 2024 to Apr 24, 2025
- Discretionary RAUM · $352M to $444MSep 16, 2024 to Apr 24, 2025
- HNW RAUM · $304M to $382MSep 16, 2024 to Apr 24, 2025
- Individual RAUM · $57.3M to $59.4MSep 16, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $27.7M to $16.4MSep 16, 2024 to Apr 24, 2025
- Pooled vehicle RAUM · $12.7M to $13.9MSep 16, 2024 to Apr 24, 2025
- RAUM · $380M to $460MSep 16, 2024 to Apr 24, 2025
- Accounts · 737 to 781Mar 28, 2023 to Mar 28, 2024
- Charity clients · unset to 1.0Mar 28, 2023 to Mar 28, 2024
- HNW clients · 91 to 105Mar 28, 2023 to Mar 28, 2024
- Individual clients · 198 to 202Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $300M to $352MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $261M to $304MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $58.3M to $57.3MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $35.0M to $27.7MMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $12.8M to $12.7MMar 28, 2023 to Mar 28, 2024
- RAUM · $335M to $380MMar 28, 2023 to Mar 28, 2024
- Accounts · 656 to 737Jul 29, 2022 to Mar 28, 2023
Signals
4 dated events
- L•••• C•••• L•• left T•••••• L••••• P•••••••• L•• for F•••••••• P•••• I••• (registered 2026-06-05)Aug 11, 2025 · Advisor changed firm · fact
- Glen Richard Rawson (Owner) no longer on Schedule A of T•••••• L••••• P•••••••• L•• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M•••• Dawn Rawson (Owner) no longer on Schedule A of T•••••• L••••• P•••••••• L•• (listed 2023-03-28, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- T•••••• L••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 16, 2017 · 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 email
- info@trinitylegacy.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-999-8053reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/trinity-legacy-partners-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.T••••••L•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-999-8053reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- TRINITYLEGACY.COM/contactreportedpublished 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
- $86.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026