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.

Former SEC-registered adviser

Tci Foundation Inc.

Former SEC-registered adviserTucson, ArizonaCRD 169921SEC 801-79117IAPD
Latest filing Mar 30, 2021
First filing on the tape Jan 16, 2014 · 20 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
20
20 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 30, 2021
Mar 16, 20151 then
Employees (5.A)20 as of Mar 30, 2021
Mar 16, 20152 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 6
Practice profile
derived from the filing of Mar 30, 2021; 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
3.3derivedItem 5.A over advisors
Advisors per office
1.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Financial planning clients
620reportedItem 5.H
Ownership
controlled by a public reporting companyderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • controlled by a public reporting company (10.A)
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
n/areported
Financial planning clients
620reported
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Narelle Simone Gehner · Chief Compliance Officercontrol
    since 01/2021 · owns less than 5%
  • Ann Catherine Nichols · Directorcontrol
    since 02/2015 · owns less than 5%
  • Clarkson Robert Swift · Directorcontrol
    since 10/2013 · owns less than 5%
  • Thomas Samuel Swift · Directorcontrol
    since 10/2013 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Denver, CO3 employees
  • Scottsdale, AZ2 employees
  • Flagstaff, AZ1 employees
  • Reno, NV
What changed
consecutive filings, newest first
  • Individual clients · 150.0 to unset
    Jan 22, 2021 to Mar 30, 2021
  • Insurance-licensed employees · 3 to 6
    Jan 22, 2021 to Mar 30, 2021
  • Financial planning clients · 101-250 to More than 500
    Jan 22, 2021 to Mar 30, 2021
  • State-registered IARs · 3 to 6
    Jan 22, 2021 to Mar 30, 2021
  • Individual RAUM · 0.0 to unset
    Jan 22, 2021 to Mar 30, 2021
  • Advisory employees · 7 to 20
    Nov 13, 2019 to Mar 16, 2020
  • Advisory activities · 2 to 1
    Nov 13, 2019 to Mar 16, 2020
  • Individual clients · 587 to 150
    Nov 13, 2019 to Mar 16, 2020
  • Employees · 7 to 20
    Nov 13, 2019 to Mar 16, 2020
  • Insurance-licensed employees · 1 to 3
    Nov 13, 2019 to Mar 16, 2020
  • Financial planning clients · 251-500 to 101-250
    Nov 13, 2019 to Mar 16, 2020
  • State-registered IARs · 7 to 3
    Nov 13, 2019 to Mar 16, 2020
  • Other offices · 5 to 4
    Nov 13, 2019 to Mar 16, 2020
  • Advisory employees · 3 to 7
    Sep 7, 2018 to Mar 25, 2019
  • Individual clients · unset to 587.0
    Sep 7, 2018 to Mar 25, 2019
  • Employees · 6 to 7
    Sep 7, 2018 to Mar 25, 2019
  • State-registered IARs · 3 to 7
    Sep 7, 2018 to Mar 25, 2019
  • Other offices · 1 to 5
    Sep 7, 2018 to Mar 25, 2019
  • Individual RAUM · unset to 0.0
    Sep 7, 2018 to Mar 25, 2019
  • Business name · TCI CENTER FOR PERSONAL FINANCE to TCI FOUNDATION INC.
    Mar 30, 2018 to Jun 21, 2018
  • Advisory employees · 2 to 3
    Mar 9, 2017 to Mar 30, 2018
  • Employees · 3 to 6
    Mar 9, 2017 to Mar 30, 2018
  • Financial planning clients · 51-100 to 251-500
    Mar 9, 2017 to Mar 30, 2018
  • State-registered IARs · 2 to 3
    Mar 9, 2017 to Mar 30, 2018
  • Other offices · unset to 1.0
    Mar 9, 2017 to Mar 30, 2018
  • Insurance-licensed employees · 0 to 1
    Mar 30, 2016 to Mar 9, 2017
  • Financial planning clients · 26-50 to 51-100
    Mar 30, 2016 to Mar 9, 2017
  • Advisory employees · 1 to 2
    Sep 23, 2015 to Mar 30, 2016
  • Employees · 2 to 3
    Sep 23, 2015 to Mar 30, 2016
  • Insurance-licensed employees · 1 to 0
    Sep 23, 2015 to Mar 30, 2016
  • Financial planning clients · 0 to 26-50
    Sep 23, 2015 to Mar 30, 2016
  • State-registered IARs · 1 to 2
    Sep 23, 2015 to Mar 30, 2016
  • Employees · 3 to 2
    Oct 31, 2014 to Mar 16, 2015
  • Business name · TCI FOUNDATION INC. to TCI CENTER FOR PERSONAL FINANCE
    Mar 16, 2015 to Mar 16, 2015
Signals
4 dated events
  • Narelle Simone Gehner (Chief Compliance Officer) appeared on Schedule A of Tci Foundation Inc.
    Jan 22, 2021 · Control person joined · fact
  • Thomas Henry Peck (Director) no longer on Schedule A of Tci Foundation Inc. (listed 2019-11-13, absent 2020-03-16)
    Mar 16, 2020 · Control person left · inference
  • Scott Bennett (Executive Director) no longer on Schedule A of Tci Foundation Inc. (listed 2019-11-13, absent 2020-03-16)
    Mar 16, 2020 · Control person left · inference
  • Tci Foundation Inc. filed its initial SEC registration (Form ADV)
    Jan 16, 2014 · 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