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•• S••
Legal name T•• P••••••• P•••••• L••
Latest filing Jul 31, 2026
First filing on the tape Aug 24, 2021 · 18 filings
SEC status approved since Sep 23, 2021
RAUM
$551M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$551M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$55.1M
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$551M as of Jul 31, 2026
Jan 31, 2022$128M then
HNW client RAUM$520M as of Jul 31, 2026
Jan 31, 2022$122M then
State-registered IARs (5.B.3)10 as of Jul 31, 2026
Jan 31, 20224 then
Employees (5.A)12 as of Jul 31, 2026
Jan 31, 20224 then
Private funds: no history
RAUM +35% over the last fiscal year+58% a year over threeIARs 7 to 10offices 0 to 1
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $55.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $580,989derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $179M, 123 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)
- 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$520M94%
- Individuals$31.7M5.8%
- Individual clients
- 50reported
- HNW clients
- 159reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 949reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $179M for 123 clientsreported
- Compensation
- 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=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• M•••••• R•••Certified Financial Planner | The Woodlands, Tx | Nov 4, 2021 | 18 y | 3 |
| C••••••••• D••••• M•••••Certified Financial Planner | The Woodlands, Tx | Nov 5, 2021 | 14 y | 3 |
| R••••• M•••••• B•••Certified Financial Planner | The Woodlands, Tx | Jan 11, 2022 | 29 y | 2 |
| B•••• A•••• C••Certified Financial Planner | The Woodlands, Tx | Dec 5, 2023 | 10 y | 0 |
| C•••• A••• M•••Certified Financial Planner | The Woodlands, Tx | Jul 8, 2024 | 15 y | 3 |
| T••••• W•••••• D••••••Certified Financial Planner | The Woodlands, Tx | Jul 3, 2025 | 16 y | 3 |
| M•••••• A•••••••• D••• | The Woodlands, Tx | Feb 4, 2026 | 10 y | 2 |
| S••••• R••• R•••••• | The Woodlands, Tx | May 22, 2026 | 22 y | 0 |
| J••• D••••• C••••••• | The Woodlands, Tx | Jun 9, 2026 | 10 y | 0 |
| D•••• E• M•••••• | The Woodlands, Tx | Jul 9, 2026 | 16 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S•••• E•••••••• B••••• to S•••••• I•••May 12, 2025 · RIA to RIA
Joined, latest
- D•••• E• M•••••• from S•••••••• A••••••• L••Jul 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A•••••••• D••• from S•••••••• A••••••• L••Feb 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- T••••• W•••••• D•••••• from S•••••••• A••••••• L••Jul 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••• A••• M••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••••• M•••••• B••• from F••••••• P••••••• A•• W•••••••• A•••••••Jan 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• D••••• M••••• from F••••••• P••••••• A•• W•••••••• A•••••••Nov 24, 2020 · Affiliated broker-dealer or bank to independent RIA
- P••• M•••••• R••• from S•••••••• A••••••• L••Jul 11, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• P•••• M•••••• · Manager, Ccocontrolsince 06/2018 · owns 75% or more
- B•••• R•••••• M•••••• · Membersince 12/2022 · owns 10% to 25%
- M•••••• C••••••••• D••••• · Membersince 12/2022 · 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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 10 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 10May 18, 2026 to Jul 31, 2026
- State-registered IARs · 8 to 10May 18, 2026 to Jul 31, 2026
- Other offices · 0 to 1May 18, 2026 to Jul 31, 2026
- Accounts · 875 to 949Sep 8, 2025 to Feb 24, 2026
- Advisory employees · 6 to 7Sep 8, 2025 to Feb 24, 2026
- Corporate clients · 20.0 to unsetSep 8, 2025 to Feb 24, 2026
- HNW clients · 164 to 159Sep 8, 2025 to Feb 24, 2026
- Assets in custody · $108M to $179MSep 8, 2025 to Feb 24, 2026
- Employees · 8 to 12Sep 8, 2025 to Feb 24, 2026
- Insurance-licensed employees · 0 to 1Sep 8, 2025 to Feb 24, 2026
- State-registered IARs · 6 to 8Sep 8, 2025 to Feb 24, 2026
- Discretionary RAUM · $409M to $551MSep 8, 2025 to Feb 24, 2026
- HNW RAUM · $372M to $520MSep 8, 2025 to Feb 24, 2026
- Individual RAUM · $12.9M to $31.7MSep 8, 2025 to Feb 24, 2026
- RAUM · $409M to $551MSep 8, 2025 to Feb 24, 2026
- Related insurance company · true to falseSep 8, 2025 to Feb 24, 2026
- Insurance-licensed employees · 1 to 0Mar 4, 2025 to Aug 21, 2025
- State-registered IARs · 7 to 6Mar 4, 2025 to Aug 21, 2025
- Accounts · 619 to 875Jan 21, 2025 to Mar 4, 2025
- Advisory employees · 5 to 6Jan 21, 2025 to Mar 4, 2025
- Corporate clients · unset to 20.0Jan 21, 2025 to Mar 4, 2025
- HNW clients · 102 to 164Jan 21, 2025 to Mar 4, 2025
- Individual clients · 21 to 50Jan 21, 2025 to Mar 4, 2025
- Assets in custody · $120M to $108MJan 21, 2025 to Mar 4, 2025
- Insurance-licensed employees · 0 to 1Jan 21, 2025 to Mar 4, 2025
- Financial planning clients · 101-250 to 101-250Jan 21, 2025 to Mar 4, 2025
- State-registered IARs · 5 to 7Jan 21, 2025 to Mar 4, 2025
- Discretionary RAUM · $306M to $409MJan 21, 2025 to Mar 4, 2025
- HNW RAUM · $298M to $372MJan 21, 2025 to Mar 4, 2025
- Individual RAUM · $7.8M to $12.9MJan 21, 2025 to Mar 4, 2025
- RAUM · $306M to $409MJan 21, 2025 to Mar 4, 2025
- Accounts · 369 to 619Sep 6, 2023 to Mar 19, 2024
- Advisory employees · 4 to 5Sep 6, 2023 to Mar 19, 2024
- HNW clients · 65 to 102Sep 6, 2023 to Mar 19, 2024
- Individual clients · 18 to 21Sep 6, 2023 to Mar 19, 2024
- Assets in custody · unset to 120101786.0Sep 6, 2023 to Mar 19, 2024
- Custody of client assets · false to trueSep 6, 2023 to Mar 19, 2024
- Employees · 4 to 8Sep 6, 2023 to Mar 19, 2024
- Financial planning clients · 11-25 to 101-250Sep 6, 2023 to Mar 19, 2024
- State-registered IARs · 4 to 5Sep 6, 2023 to Mar 19, 2024
Signals
5 dated events
- T•• S•• reported RAUM $551.4M, up 35% from $409.5M (2025-09-08 to 2026-02-24)Feb 24, 2026 · RAUM change · derived
- S•••• E•••••••• B••••• left T•• S•• for S•••••• I••• (registered 2025-06-23)May 12, 2025 · Advisor changed firm · fact
- T•• S•• reported RAUM $409.5M, up 34% from $305.6M (2025-01-21 to 2025-03-04)Mar 4, 2025 · RAUM change · derived
- T•• S•• reported RAUM $305.6M, up 118% from $140.3M (2023-09-06 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- T•• S•• filed its initial SEC registration (Form ADV)Aug 24, 2021 · 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
- 281-823-7566reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/thesumreportedpublic record, Form ADV, Sep 18, 2026
- Website
- thesumprep.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-940-4859reportedpublic record, Form ADV, Jul 31, 2026
- Team page
- thesumtax.com/meet-our-teamreportedpublished by the firm, firm site, Sep 17, 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
- $55.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026