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•••••••••
Legal name T••••••••• F••••••••• L••
Latest filing Sep 14, 2026
First filing on the tape May 20, 2025 · 10 filings
SEC status approved since May 9, 2025
RAUM
$133M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$33.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$133M as of Aug 14, 2026
May 20, 2025$100M then
HNW client RAUM$101M as of Aug 14, 2026
May 20, 2025$26.0M then
State-registered IARs (5.B.3)4 as of Aug 14, 2026
May 20, 20253 then
Employees (5.A)4 as of Aug 14, 2026
May 20, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 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
- RAUM per advisor
- $33.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $383,617derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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
- Custody
- $133M, 172 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M76%
- Individuals$31.6M24%
- Individual clients
- 140reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 346reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $133M for 172 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K•••••• M••• | Tampa, Fl | Mar 7, 2014 | 19 y | 3 |
| B•••••• A•••• B•••• | Fort Worth, Tx | Feb 20, 2025 | 24 y | 1 |
| C•••• L•• D•••••••• | Colorado Springs, Co | May 9, 2025 | 10 y | 0 |
| C••••••••• S•••• R•••••• | Flower Mound, Tx | Mar 27, 2026 | 12 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••••• A•••• B•••• from E••••••• C•••••• A•••••••• L••Feb 20, 2025 · RIA to RIA
- M•••••• K•••••• M••• from C•••••• S••••• • C••• I•••Mar 7, 2014 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• M••••••• K•••••• · President/Chief Compliance Officercontrolsince 02/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Tampa, Fl · principal | 4 | 1 | 0 | ||
| Flower Mound, Tx | 2 | 1 | 0 | ||
| Fort Worth, Tx | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 14, 2026 to Sep 14, 2026
- Other offices · 3 to 4Aug 14, 2026 to Sep 14, 2026
- Related adviser · false to unsetAug 14, 2026 to Sep 14, 2026
- Related bank · false to unsetAug 14, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetAug 14, 2026 to Sep 14, 2026
- Related insurance company · false to unsetAug 14, 2026 to Sep 14, 2026
- Succession · false to unsetAug 14, 2026 to Sep 14, 2026
- Other offices · 2 to 3May 8, 2026 to Jun 25, 2026
- Advisory employees · 3 to 4Mar 6, 2026 to May 8, 2026
- Employees · 3 to 4Mar 6, 2026 to May 8, 2026
- State-registered IARs · 3 to 4Mar 6, 2026 to May 8, 2026
- Other offices · 0 to 2Mar 6, 2026 to May 8, 2026
- Accounts · 301 to 346Sep 24, 2025 to Feb 23, 2026
- HNW clients · 134 to 32Sep 24, 2025 to Feb 23, 2026
- Individual clients · 30 to 140Sep 24, 2025 to Feb 23, 2026
- Assets in custody · $0 to $133MSep 24, 2025 to Feb 23, 2026
- Discretionary RAUM · $97.5M to $129MSep 24, 2025 to Feb 23, 2026
- HNW RAUM · $26.0M to $101MSep 24, 2025 to Feb 23, 2026
- Individual RAUM · $74.0M to $31.6MSep 24, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $2.5M to $3.5MSep 24, 2025 to Feb 23, 2026
- RAUM · $100M to $133MSep 24, 2025 to Feb 23, 2026
- Financial planning clients · unset to May 20, 2025 to Jun 26, 2025
Signals
No event on the tape.
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
- s••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 817-222-2122reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 617-860-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 813-212-4000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (813) 212-4000reportedpublic record, Form ADV, Sep 14, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $33.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026