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T•••• I••••••••• M••••••••• L••
Independent wealth manager, based in Plano, Texas, reporting $235M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $235M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 96% of RAUM, $226M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
custody of client assets (Item 9.A): no on the filing of 2025-11-04, yes on the filing of 2026-03-03
custody of client assets (Item 9.A) 1- Contact points 5
Every filed figure, and the identifiersCRD 167750 · SEC 801-121011 · 11 filingsShowHide
CRD 167750SEC 801-121011First filing on the tape Mar 30, 2021, latest Mar 3, 2026SEC status approved since Apr 29, 2021IAPD
RAUM
$235M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$226M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$235M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$235M as of Mar 3, 2026
Mar 7, 2022$160M then
HNW client RAUM$198M as of Mar 3, 2026
Mar 7, 2022$121M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 7, 20221 then
Employees (5.A)1 as of Mar 3, 2026
Mar 7, 20221 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $235MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 151derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $404,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $13.9M, 28 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$198M84%
- Individuals$27.9M12%
- Pension and profit-sharing plans$9.2M3.9%
- Individual clients
- 97reported
- HNW clients
- 54reported
- Pension plan clients
- 280reported
- Charitable clients
- 0reported
- Accounts
- 581reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.9M for 28 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| W•••••• R••• T•••• | Plano, Tx | Jun 12, 2013 | 26 y | 3 |
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
none on the tape
Joined, latest
- W•••••• R••• T•••• from T• W••••• M••••••••• L••Jun 12, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• W••••••• R••• · President, Chief Compliance Officercontrolsince 04/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 3, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-04, yes on the filing of 2026-03-03peers: independent wealth managers, $100M to $500M (5,682)
What changed
consecutive filings, newest first
- Accounts · 509 to 581Nov 4, 2025 to Mar 3, 2026
- HNW clients · 59 to 54Nov 4, 2025 to Mar 3, 2026
- Individual clients · 46 to 97Nov 4, 2025 to Mar 3, 2026
- Pension plan clients · 1 to 280Nov 4, 2025 to Mar 3, 2026
- Assets in custody · unset to 13872899.0Nov 4, 2025 to Mar 3, 2026
- Custody of client assets · false to trueNov 4, 2025 to Mar 3, 2026
- Discretionary RAUM · $199M to $231MNov 4, 2025 to Mar 3, 2026
- HNW RAUM · $172M to $198MNov 4, 2025 to Mar 3, 2026
- Individual RAUM · $26.4M to $27.9MNov 4, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $7.6M to $4.3MNov 4, 2025 to Mar 3, 2026
- Pension RAUM · $3.3M to $9.2MNov 4, 2025 to Mar 3, 2026
- RAUM · $206M to $235MNov 4, 2025 to Mar 3, 2026
- Accounts · 444 to 509Feb 27, 2024 to Jan 31, 2025
- HNW clients · 43 to 59Feb 27, 2024 to Jan 31, 2025
- Individual clients · 60 to 46Feb 27, 2024 to Jan 31, 2025
- Pension plan clients · 0 to 1Feb 27, 2024 to Jan 31, 2025
- Financial planning clients · 1-10 to 11-25Feb 27, 2024 to Jan 31, 2025
- Discretionary RAUM · $168M to $199MFeb 27, 2024 to Jan 31, 2025
- HNW RAUM · $142M to $172MFeb 27, 2024 to Jan 31, 2025
- Individual RAUM · $29.1M to $26.4MFeb 27, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $3.6M to $7.6MFeb 27, 2024 to Jan 31, 2025
- Pension RAUM · $0 to $3.3MFeb 27, 2024 to Jan 31, 2025
- RAUM · $171M to $206MFeb 27, 2024 to Jan 31, 2025
- Accounts · 408 to 444Sep 12, 2023 to Feb 27, 2024
- Advisory activities · 4 to 5Sep 12, 2023 to Feb 27, 2024
- HNW clients · 40 to 43Sep 12, 2023 to Feb 27, 2024
- Individual clients · 66 to 60Sep 12, 2023 to Feb 27, 2024
- Pension plan clients · 2 to 0Sep 12, 2023 to Feb 27, 2024
- Financial planning clients · 0 to 1-10Sep 12, 2023 to Feb 27, 2024
- Discretionary RAUM · $150M to $168MSep 12, 2023 to Feb 27, 2024
- HNW RAUM · $131M to $142MSep 12, 2023 to Feb 27, 2024
- Individual RAUM · $21.7M to $29.1MSep 12, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $6.0M to $3.6MSep 12, 2023 to Feb 27, 2024
- Pension RAUM · $2.9M to $0Sep 12, 2023 to Feb 27, 2024
- RAUM · $156M to $171MSep 12, 2023 to Feb 27, 2024
- Accounts · 405 to 408Aug 29, 2022 to Feb 27, 2023
- Advisory activities · 3 to 4Aug 29, 2022 to Feb 27, 2023
- HNW clients · 41 to 40Aug 29, 2022 to Feb 27, 2023
- Individual clients · 62 to 66Aug 29, 2022 to Feb 27, 2023
- Discretionary RAUM · $153M to $150MAug 29, 2022 to Feb 27, 2023
Signals
1 dated events
- ••• LockedMar 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••• I••••••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 3, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $235Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026