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M••••••••• C••••••• L••

Former SEC-registered adviserFormer SEC adviser· Dallas, Texaswebsite

Former SEC-registered adviser, based in Dallas, Texas, reporting $40.5M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2017-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $40.5M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +131%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2017-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2017, RAUM $17.5M to $40.5M (+131.4%) on the Form ADV filed 27 Mar 2017.

Every filed figure, and the identifiersCRD 173814 · SEC 801-80891 · 5 filingsShow

CRD 173814SEC 801-80891First filing on the tape Jan 16, 2015, latest Mar 27, 2017IAPD

RAUM

$40.5M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$40.5M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM +131% over the last fiscal year · the tape starts Jan 16, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$40.5M as of Mar 27, 2017

Mar 10, 2016$17.5M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2017

Mar 10, 20160 then

Employees (5.A)1 as of Mar 27, 2017

Mar 10, 20161 then

Private funds: no history

RAUM +131% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2017; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $40.5MderivedRAUM 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: $13.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%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: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +131%derivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 3reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
T•••• P••••••	Dallas, Tx	Mar 10, 2016	30 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• T•••• · Managing Member; Chief Compliance Officercontrol
since 04/2014 · 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.

What changed

consecutive filings, newest first

Accounts · 2 to 3
May 12, 2016 to Mar 27, 2017
Advisory activities · 1 to 2
May 12, 2016 to Mar 27, 2017
Non-discretionary RAUM · $17.5M to $40.5M
May 12, 2016 to Mar 27, 2017
RAUM · $17.5M to $40.5M
May 12, 2016 to Mar 27, 2017
Non-discretionary RAUM · $25.8M to $17.5M
May 22, 2015 to Mar 10, 2016

Full history · 9 changes

RAUM · $25.8M to $17.5M
May 22, 2015 to Mar 10, 2016
Discretionary RAUM · $16.6M to $0
Jan 16, 2015 to May 22, 2015
Non-discretionary RAUM · $0 to $25.8M
Jan 16, 2015 to May 22, 2015
RAUM · $16.6M to $25.8M
Jan 16, 2015 to May 22, 2015

Signals

1 dated events

••• Locked
Jan 16, 2015 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Apr 21, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $40.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026