DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T••• F•••••••• G••••
Legal name T•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 27, 2017 · 22 filings
SEC status approved since Mar 17, 2017
RAUM
$409M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$409M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$205M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$409M as of Mar 30, 2026
Feb 13, 2018$117M then
HNW client RAUM$242M as of Mar 30, 2026
Feb 13, 2018$24.8M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Feb 13, 20182 then
Employees (5.A)2 as of Mar 30, 2026
Feb 13, 20182 then
Private funds: no history
RAUM +18% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $205MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 334derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $190,410derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $818MreportedItem 5.I
- Custody
- $258M, 474 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
- High-net-worth individuals$242M59%
- Individuals$167M41%
- Individual clients
- 518reported
- HNW clients
- 149reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,148reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $409M sponsored, $409M managedreported
- Custody of client assets
- $258M for 474 clientsreported
- Compensation
- % of AUM, fixedreported
- 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•••• A•••• B•••••••Certified Financial Planner | Cedar Park, Tx | Mar 17, 2017 | 26 y | 1 |
| M•••• E•••••••• F•••••••Certified Financial Planner | Cedar Park, Tx | Mar 17, 2017 | 12 y | 1 |
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
- M•••• E•••••••• F••••••• from A••••••••• F•••••••• S•••••••• L••Mar 17, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• A•••• B••••••• from A••••••••• F•••••••• S•••••••• L••Mar 17, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• F•••••••• S•••••••• L••Mar 17, 2017 · Cedar Park, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S••••• A•••• · Managing Membercontrolsince 03/2017 · owns 50% to 75%
- F•••••••• M••••• E•••••••• · Managing Member & Chief Compliance Officercontrolsince 03/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Cedar Park, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,097 to 2,148Mar 19, 2025 to Mar 30, 2026
- HNW clients · 128 to 149Mar 19, 2025 to Mar 30, 2026
- Individual clients · 498 to 518Mar 19, 2025 to Mar 30, 2026
- Assets in custody · $218M to $258MMar 19, 2025 to Mar 30, 2026
- Discretionary RAUM · $346M to $409MMar 19, 2025 to Mar 30, 2026
- HNW RAUM · $202M to $242MMar 19, 2025 to Mar 30, 2026
- Individual RAUM · $141M to $167MMar 19, 2025 to Mar 30, 2026
- Pension RAUM · 3000000.0 to unsetMar 19, 2025 to Mar 30, 2026
- RAUM · $346M to $409MMar 19, 2025 to Mar 30, 2026
- Wrap assets (manager) · $346M to $409MMar 19, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $346M to $409MMar 19, 2025 to Mar 30, 2026
- Accounts · 1,954 to 2,097Mar 18, 2024 to Mar 19, 2025
- HNW clients · 108 to 128Mar 18, 2024 to Mar 19, 2025
- Individual clients · 493 to 498Mar 18, 2024 to Mar 19, 2025
- Assets in custody · $191M to $218MMar 18, 2024 to Mar 19, 2025
- Financial planning clients · 11-25 to 1-10Mar 18, 2024 to Mar 19, 2025
- Discretionary RAUM · $261M to $346MMar 18, 2024 to Mar 19, 2025
- HNW RAUM · $133M to $202MMar 18, 2024 to Mar 19, 2025
- Individual RAUM · $125M to $141MMar 18, 2024 to Mar 19, 2025
- Pension RAUM · $2.6M to $3.0MMar 18, 2024 to Mar 19, 2025
- RAUM · $261M to $346MMar 18, 2024 to Mar 19, 2025
- Wrap assets (manager) · $261M to $346MMar 18, 2024 to Mar 19, 2025
- Wrap assets (sponsor) · $261M to $346MMar 18, 2024 to Mar 19, 2025
- Accounts · 1,883 to 1,954Feb 10, 2023 to Mar 18, 2024
- Individual clients · 470 to 493Feb 10, 2023 to Mar 18, 2024
- Pension plan clients · 2.0 to unsetFeb 10, 2023 to Mar 18, 2024
- Assets in custody · $158M to $191MFeb 10, 2023 to Mar 18, 2024
- Discretionary RAUM · $231M to $261MFeb 10, 2023 to Mar 18, 2024
- HNW RAUM · $124M to $133MFeb 10, 2023 to Mar 18, 2024
- Individual RAUM · $105M to $125MFeb 10, 2023 to Mar 18, 2024
- Pension RAUM · $1.9M to $2.6MFeb 10, 2023 to Mar 18, 2024
- RAUM · $231M to $261MFeb 10, 2023 to Mar 18, 2024
- Wrap assets (manager) · $226M to $261MFeb 10, 2023 to Mar 18, 2024
- Wrap assets (sponsor) · $226M to $261MFeb 10, 2023 to Mar 18, 2024
- Accounts · 1,775 to 1,883Feb 9, 2022 to Feb 10, 2023
- Charity clients · 0.0 to unsetFeb 9, 2022 to Feb 10, 2023
- Corporate clients · 0.0 to unsetFeb 9, 2022 to Feb 10, 2023
- HNW clients · 113 to 108Feb 9, 2022 to Feb 10, 2023
- Individual clients · 402 to 470Feb 9, 2022 to Feb 10, 2023
- Pooled vehicle clients · 0.0 to unsetFeb 9, 2022 to Feb 10, 2023
Signals
1 dated events
- T••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Feb 27, 2017 · 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 phone
- 512-649-2383reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 512-649-2383reportedpublic record, Form ADV, Mar 30, 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
- $205Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026