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••
Legal name T•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 15, 2017 · 21 filings
SEC status approved since Sep 15, 2017
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$82.3M
derived; firm RAUM over IAPD count
Employees
5
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$165M as of Mar 31, 2026
Mar 27, 2018$155M then
HNW client RAUM$35.9M as of Mar 31, 2026
Mar 27, 2018$55.6M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 27, 20182 then
Employees (5.A)5 as of Mar 31, 2026
Mar 27, 20184 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 31, 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
- $82.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 248derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $377,918derivedHNW RAUM over HNW clients
- Average account
- $332,360derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 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
- Individuals$128M78%
- High-net-worth individuals$35.9M22%
- Corporations and businesses$291,8000.2%
- Individual clients
- 400reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 495reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• G••••• N••• | Germantown, Tn | Sep 15, 2017 | 29 y | 3 |
| C•••••• D•••••• D•••••••• | Atlanta, Ga | Sep 18, 2017 | 42 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- R•••••• D•••• M••••• to W•••• F•••• A•••••••Dec 4, 2025 · RIA to wirehouse
Joined, latest
- R•••••• D•••• M••••• from W•••• F•••• A•••••••May 20, 2024 · Wirehouse to independent RIA
- C•••••• D•••••• D•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 18, 2017 · Other
- M••••• G••••• N••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 4, 2017 · Cordova, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••• M•••••• G••••• · Managing Member/ Chief Compliance Officercontrolsince 05/2016 · 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 |
|---|---|---|---|---|---|
| Germantown, Tn · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 75.0% to 22.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 791.0 to 495.0 (-37.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 4.2% percentile
What changed
consecutive filings, newest first
- Accounts · 791 to 495Mar 28, 2025 to Mar 31, 2026
- Advisory activities · 4 to 5Mar 28, 2025 to Mar 31, 2026
- Corporate clients · 2 to 1Mar 28, 2025 to Mar 31, 2026
- HNW clients · 86 to 95Mar 28, 2025 to Mar 31, 2026
- Individual clients · 357 to 400Mar 28, 2025 to Mar 31, 2026
- Employees · 4 to 5Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 2Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $143M to $164MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $109M to $35.9MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $35.0M to $128MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.4M to $301,720Mar 28, 2025 to Mar 31, 2026
- RAUM · $145M to $165MMar 28, 2025 to Mar 31, 2026
- Accounts · 740 to 791Apr 25, 2024 to Mar 28, 2025
- BD registered reps · 1 to 2Apr 25, 2024 to Mar 28, 2025
- Corporate clients · 1 to 2Apr 25, 2024 to Mar 28, 2025
- HNW clients · 85 to 86Apr 25, 2024 to Mar 28, 2025
- Individual clients · 238 to 357Apr 25, 2024 to Mar 28, 2025
- Pension plan clients · 1.0 to unsetApr 25, 2024 to Mar 28, 2025
- Employees · 5 to 4Apr 25, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Apr 25, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Apr 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $113M to $143MApr 25, 2024 to Mar 28, 2025
- HNW RAUM · $92.2M to $109MApr 25, 2024 to Mar 28, 2025
- Individual RAUM · $20.6M to $35.0MApr 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.3M to $1.4MApr 25, 2024 to Mar 28, 2025
- Pension RAUM · 1327647.0 to unsetApr 25, 2024 to Mar 28, 2025
- RAUM · $114M to $145MApr 25, 2024 to Mar 28, 2025
- Accounts · 407 to 740Mar 23, 2023 to Mar 26, 2024
- HNW clients · 81 to 85Mar 23, 2023 to Mar 26, 2024
- Individual clients · 323 to 238Mar 23, 2023 to Mar 26, 2024
- Pension plan clients · 2 to 1Mar 23, 2023 to Mar 26, 2024
- Employees · 4 to 5Mar 23, 2023 to Mar 26, 2024
- Insurance-licensed employees · 2 to 0Mar 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $101M to $113MMar 23, 2023 to Mar 26, 2024
- HNW RAUM · $82.0M to $92.2MMar 23, 2023 to Mar 26, 2024
- Individual RAUM · $17.7M to $20.6MMar 23, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $1.2M to $1.3MMar 23, 2023 to Mar 26, 2024
- Pension RAUM · $2.6M to $1.3MMar 23, 2023 to Mar 26, 2024
- RAUM · $103M to $114MMar 23, 2023 to Mar 26, 2024
- Accounts · 812 to 407Oct 10, 2022 to Mar 23, 2023
Signals
2 dated events
- R•••••• D•••• M••••• left Tcm for W•••• F•••• A••••••• (registered 2025-07-29)Dec 4, 2025 · Advisor changed firm · fact
- T•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 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
- 901-757-4448reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T••••••CAPITALMANAGEMENT.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 901-757-4448reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- trinitycapitalmanagement.net/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- trinitycapitalmanagement.net/our-teamreportedpublished 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
- $82.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026