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••• I••••••••• M••••••••• I•••
Latest filing Apr 20, 2026
First filing on the tape Jun 11, 2015 · 21 filings
SEC status approved since Jul 6, 2015
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$148M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.9M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$148M as of Apr 20, 2026
Mar 9, 2016$104M then
HNW client RAUM$37.4M as of Apr 20, 2026
Mar 2, 2018$30.0M then
State-registered IARs (5.B.3)2 as of Apr 20, 2026
Mar 9, 20161 then
Employees (5.A)6 as of Apr 20, 2026
Mar 9, 20165 then
Private funds: no history
RAUM +11% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 262derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $668,039derivedHNW RAUM over HNW clients
- Average account
- $107,655derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -63%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $112M, 840 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$110M75%
- High-net-worth individuals$37.4M25%
- Individual clients
- 467reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,372reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $112M for 840 clientsreported
- 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 |
|---|---|---|---|---|
| S•••••• J••• T••• | Waterloo, Ia | Feb 9, 2026 | 12 y | 1 |
| J••• S•••••• T•••Certified Financial Planner | Waterloo, Ia | Feb 9, 2026 | 42 y | 2 |
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
- J••• S•••••• T••• from L•• F•••••••• L••Aug 7, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• J•••• S•••••• · Presidentcontrolsince 07/2015 · owns 75% or more
- T•••• S••••••• J••• · Chief Compliance Officersince 07/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Waterloo, Ia · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 20, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $133,271,675 to $147,702,966, advisors 2 to 2, private clients 1409 to 523, offices 0 to 0 (2025-03-31 to 2026-04-20)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Apr 20, 2026individual and HNW clients (Item 5.D) moved from 1,409.0 to 523.0 (-63.0%) between the annual amendments of 2025-03-31 and 2026-04-20; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 0.8% percentile
What changed
consecutive filings, newest first
- Accounts · 1,409 to 1,372Feb 6, 2026 to Mar 27, 2026
- BD registered reps · 1 to 0Feb 6, 2026 to Mar 27, 2026
- HNW clients · 460 to 56Feb 6, 2026 to Mar 27, 2026
- Individual clients · 949 to 467Feb 6, 2026 to Mar 27, 2026
- Assets in custody · $80.3M to $112MFeb 6, 2026 to Mar 27, 2026
- Discretionary RAUM · $133M to $148MFeb 6, 2026 to Mar 27, 2026
- HNW RAUM · $33.3M to $37.4MFeb 6, 2026 to Mar 27, 2026
- Individual RAUM · $100M to $110MFeb 6, 2026 to Mar 27, 2026
- RAUM · $133M to $148MFeb 6, 2026 to Mar 27, 2026
- Related broker-dealer · true to falseFeb 6, 2026 to Mar 27, 2026
- Accounts · 1,450 to 1,409Mar 25, 2024 to Mar 31, 2025
- HNW clients · 450 to 460Mar 25, 2024 to Mar 31, 2025
- Individual clients · 1,000 to 949Mar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $118M to $133MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $33.0M to $33.3MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $85.0M to $100MMar 25, 2024 to Mar 31, 2025
- RAUM · $118M to $133MMar 25, 2024 to Mar 31, 2025
- Accounts · 1,478 to 1,450Oct 3, 2023 to Mar 25, 2024
- HNW clients · 475 to 450Oct 3, 2023 to Mar 25, 2024
- Individual clients · 1,003 to 1,000Oct 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $111M to $118MOct 3, 2023 to Mar 25, 2024
- HNW RAUM · $28.0M to $33.0MOct 3, 2023 to Mar 25, 2024
- Individual RAUM · $82.8M to $85.0MOct 3, 2023 to Mar 25, 2024
- RAUM · $111M to $118MOct 3, 2023 to Mar 25, 2024
- Related broker-dealer · false to trueOct 3, 2023 to Mar 25, 2024
- Accounts · 1,715 to 1,478Mar 24, 2022 to Mar 21, 2023
- HNW clients · 116 to 475Mar 24, 2022 to Mar 21, 2023
- Individual clients · 552 to 1,003Mar 24, 2022 to Mar 21, 2023
- Assets in custody · $109M to $80.3MMar 24, 2022 to Mar 21, 2023
- Discretionary RAUM · $121M to $111MMar 24, 2022 to Mar 21, 2023
- HNW RAUM · $32.0M to $28.0MMar 24, 2022 to Mar 21, 2023
- Individual RAUM · $89.1M to $82.8MMar 24, 2022 to Mar 21, 2023
- RAUM · $121M to $111MMar 24, 2022 to Mar 21, 2023
- Accounts · 1,524 to 1,715Mar 12, 2021 to Mar 24, 2022
- HNW clients · 144 to 116Mar 12, 2021 to Mar 24, 2022
- Individual clients · 650 to 552Mar 12, 2021 to Mar 24, 2022
- Assets in custody · $26.7M to $109MMar 12, 2021 to Mar 24, 2022
- Employees · 4 to 6Mar 12, 2021 to Mar 24, 2022
- Discretionary RAUM · $113M to $121MMar 12, 2021 to Mar 24, 2022
Signals
1 dated events
- T••• I••••••••• I••• filed its initial SEC registration (Form ADV)Jun 11, 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/T•••-INVESTMENTS-INC.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 319-235-0075reportedpublic record, Form ADV, Apr 20, 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
- $73.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026