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•• M••••• F••• S••••

Former SEC-registered adviserOverland Park, KansasCRD 165877SEC 801-77297IAPD
Legal name T•• M••••• F••• S••••••••• L••
Latest filing Sep 6, 2016
First filing on the tape Oct 22, 2012 · 20 filings
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$127M as of Feb 1, 2016
Mar 18, 2013$75.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 1, 2016
Mar 18, 20132 then
Employees (5.A)6 as of Feb 1, 2016
Mar 18, 20132 then
Private funds: no history
RAUM +2.4% over the last fiscal year+19% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 6, 2016; every figure names its basis
RAUM per advisor
$31.7MderivedRAUM 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
$124,143derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
0.8derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+2.4%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,020reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••••• E•••••• R•••••• · Chief Operating Officercontrol
      since 10/2012 · owns less than 5%
    • B•••••• C•••••••• M••••• · Chief Compliance Officercontrol
      since 10/2012 · owns less than 5%
    • B••••• J•••• B•••••• · Presidentcontrol
      since 02/2016 · owns less than 5%
    • S••••• R••••••• · Chief Financial Officercontrol
      since 09/2014 · owns less than 5%
    Entity owners
    • T••• H•••••••• L•• · Sole Member
      direct · owns 75% or more
    • F•••••••• E••••••• I••• · Member
      indirect · owns 75% or more of M••••••• A••••••••• S•• I• L•• · public reporting company
    • K••••• C••• 7•• A••••••••• L•• · Member
      indirect · owns 75% or more of T••• H•••••••• L••
    • M••••••• A••••••••• S•• I• L•• · Shareholder
      indirect · owns 75% or more of M••••••• H••••• I• I•••
    • M••••••• H••••• I• I••• · Shareholder
      indirect · owns 75% or more of M••••••• H••••• I•• I•••
    • M••••••• H••••• I•• I••• · Member
      indirect · owns 75% or more of K••••• C••• 7•• A••••••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list T•• M••••• F••• S•••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Houston, TX
    • Houston, TX
    • Sugar Land, TX
    • The Woodlands, TX
    What changed
    consecutive filings, newest first
    • Accounts · 893 to 1,020
      Aug 18, 2015 to Feb 1, 2016
    • Advisory employees · 3 to 4
      Aug 18, 2015 to Feb 1, 2016
    • Employees · 5 to 6
      Aug 18, 2015 to Feb 1, 2016
    • State-registered IARs · 3 to 4
      Aug 18, 2015 to Feb 1, 2016
    • Discretionary RAUM · $124M to $127M
      Aug 18, 2015 to Feb 1, 2016
    • RAUM · $124M to $127M
      Aug 18, 2015 to Feb 1, 2016
    • Accounts · 838 to 893
      Dec 15, 2014 to Mar 25, 2015
    • Advisory employees · 2 to 3
      Dec 15, 2014 to Mar 25, 2015
    • Employees · 3 to 5
      Dec 15, 2014 to Mar 25, 2015
    • State-registered IARs · 2 to 3
      Dec 15, 2014 to Mar 25, 2015
    • Discretionary RAUM · $104M to $124M
      Dec 15, 2014 to Mar 25, 2015
    • RAUM · $104M to $124M
      Dec 15, 2014 to Mar 25, 2015
    • Accounts · 724 to 838
      Sep 23, 2013 to Mar 13, 2014
    • Employees · 2 to 3
      Sep 23, 2013 to Mar 13, 2014
    • Discretionary RAUM · $75.9M to $104M
      Sep 23, 2013 to Mar 13, 2014
    • RAUM · $75.9M to $104M
      Sep 23, 2013 to Mar 13, 2014
    • Accounts · 0 to 724
      Nov 16, 2012 to Mar 18, 2013
    • Advisory employees · 1 to 2
      Nov 16, 2012 to Mar 18, 2013
    • Employees · 1 to 2
      Nov 16, 2012 to Mar 18, 2013
    • State-registered IARs · 1 to 2
      Nov 16, 2012 to Mar 18, 2013
    • Legal name · T•• M••••• F••• S•••• - HOUSTON, LLC to T•• M••••• F••• S••••••••• L••
      Nov 16, 2012 to Mar 18, 2013
    • Discretionary RAUM · $0 to $75.9M
      Nov 16, 2012 to Mar 18, 2013
    • RAUM · $0 to $75.9M
      Nov 16, 2012 to Mar 18, 2013
    • Advisory employees · unset to 1.0
      Oct 22, 2012 to Nov 16, 2012
    • BD registered reps · unset to 0.0
      Oct 22, 2012 to Nov 16, 2012
    • Employees · unset to 1.0
      Oct 22, 2012 to Nov 16, 2012
    • State-registered IARs · unset to 1.0
      Oct 22, 2012 to Nov 16, 2012
    Signals
    1 dated events
    • T•• M••••• F••• S•••• filed its initial SEC registration (Form ADV)
      Oct 22, 2012 · 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.
    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