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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••••••••• F••••••••• L••
Latest filing Jul 31, 2026
First filing on the tape Jan 25, 2018 · 24 filings
SEC status approved since Feb 22, 2018
RAUM
$399M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$399M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$399M as of Jul 31, 2026
Jan 4, 2019$157M then
HNW client RAUM$306M as of Jul 31, 2026
Jan 4, 2019$92.5M then
State-registered IARs (5.B.3)2 as of Jul 31, 2026
Jan 4, 20192 then
Employees (5.A)3 as of Jul 31, 2026
Jan 4, 20192 then
Private funds: no history
RAUM +6.2% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 31, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 191derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $443,306derivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$306M77%
- Individuals$93.8M23%
- Individual clients
- 235reported
- HNW clients
- 146reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 901reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z•••••• N• T••••••••• | The Woodlands, Tx | Feb 10, 2015 | 15 y | 3 |
| A••• R•••• T•••••••••Certified Financial Planner | The Woodlands, Tx | Feb 12, 2015 | 11 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
- Z•••••• N• T••••••••• from A•• F•••••••• S••••••• I•••Feb 10, 2015 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• Z••••••• N• · Member And Chief Compliance Officercontrolsince 01/2015 · 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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- League City, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 870 to 901Feb 18, 2026 to Mar 5, 2026
- HNW clients · 141 to 146Feb 18, 2026 to Mar 5, 2026
- Individual clients · 221 to 235Feb 18, 2026 to Mar 5, 2026
- Employees · 2 to 3Feb 18, 2026 to Mar 5, 2026
- Discretionary RAUM · $376M to $399MFeb 18, 2026 to Mar 5, 2026
- HNW RAUM · $296M to $306MFeb 18, 2026 to Mar 5, 2026
- Individual RAUM · $80.3M to $93.8MFeb 18, 2026 to Mar 5, 2026
- RAUM · $376M to $399MFeb 18, 2026 to Mar 5, 2026
- Accounts · 861 to 870Aug 14, 2024 to Feb 18, 2025
- HNW clients · 134 to 141Aug 14, 2024 to Feb 18, 2025
- Individual clients · 216 to 221Aug 14, 2024 to Feb 18, 2025
- Employees · 3 to 2Aug 14, 2024 to Feb 18, 2025
- Financial planning clients · unset to Aug 14, 2024 to Feb 18, 2025
- HQ city · SPRING to THE WOODLANDSAug 14, 2024 to Feb 18, 2025
- Discretionary RAUM · $325M to $376MAug 14, 2024 to Feb 18, 2025
- HNW RAUM · $254M to $296MAug 14, 2024 to Feb 18, 2025
- Individual RAUM · $70.6M to $80.3MAug 14, 2024 to Feb 18, 2025
- RAUM · $325M to $376MAug 14, 2024 to Feb 18, 2025
- Accounts · 879 to 861Oct 23, 2023 to Jan 18, 2024
- Advisory activities · 2 to 1Oct 23, 2023 to Jan 18, 2024
- HNW clients · 122 to 134Oct 23, 2023 to Jan 18, 2024
- Individual clients · 230 to 216Oct 23, 2023 to Jan 18, 2024
- Employees · 2 to 3Oct 23, 2023 to Jan 18, 2024
- Discretionary RAUM · $284M to $325MOct 23, 2023 to Jan 18, 2024
- HNW RAUM · $215M to $254MOct 23, 2023 to Jan 18, 2024
- Individual RAUM · $69.3M to $70.6MOct 23, 2023 to Jan 18, 2024
- RAUM · $284M to $325MOct 23, 2023 to Jan 18, 2024
- Accounts · 839 to 879Jan 18, 2022 to Jan 4, 2023
- Individual clients · 218 to 230Jan 18, 2022 to Jan 4, 2023
- Discretionary RAUM · $298M to $284MJan 18, 2022 to Jan 4, 2023
- HNW RAUM · $219M to $215MJan 18, 2022 to Jan 4, 2023
- Individual RAUM · $79.1M to $69.3MJan 18, 2022 to Jan 4, 2023
- RAUM · $298M to $284MJan 18, 2022 to Jan 4, 2023
- Accounts · 850 to 839Sep 15, 2021 to Jan 11, 2022
- HNW clients · 98 to 122Sep 15, 2021 to Jan 11, 2022
- Individual clients · 226 to 218Sep 15, 2021 to Jan 11, 2022
- Discretionary RAUM · $255M to $298MSep 15, 2021 to Jan 11, 2022
- HNW RAUM · $171M to $219MSep 15, 2021 to Jan 11, 2022
- Individual RAUM · $84.7M to $79.1MSep 15, 2021 to Jan 11, 2022
- RAUM · $255M to $298MSep 15, 2021 to Jan 11, 2022
Signals
2 dated events
- Reese Adam Threadgill (Owner) no longer on Schedule A of T••••••••• F••••••••• L•• (listed 2018-02-23, absent 2019-01-04)Jan 4, 2019 · Control person left · inference
- T••••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Jan 25, 2018 · 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
- Business email
- z••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-893-5635reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- T•••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-893-5635reportedpublic record, Form ADV, Jul 31, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026