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••••• F•••••••• G••••
Legal name T••••• J••• D••••••• R••
Latest filing Mar 16, 2026
First filing on the tape Apr 13, 2020 · 13 filings
SEC status approved since May 13, 2020
RAUM
$339M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$319M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$339M as of Mar 16, 2026
Mar 4, 2021$162M then
HNW client RAUM$93.5M as of Mar 16, 2026
Mar 4, 2021$49.6M then
State-registered IARs (5.B.3)3 as of Mar 16, 2026
Mar 4, 20211 then
Employees (5.A)3 as of Mar 16, 2026
Mar 4, 20213 then
Private funds: no history
RAUM +25% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 16, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 810derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $85,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +24%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $647MreportedItem 5.I
- Custody
- $324M, 2,433 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$226M67%
- High-net-worth individuals$93.5M28%
- Pension and profit-sharing plans$15.5M4.6%
- Corporations and businesses$2.8M0.8%
- Charitable organizations$1.6M0.5%
- Individual clients
- 2,367reported
- HNW clients
- 62reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 3,950reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $324M sponsored, $0 managedreported
- Custody of client assets
- $324M for 2,433 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• R•• T•••••Chartered Financial Consultant | Montgomery, Al | Sep 25, 2018 | 40 y | 2 |
| B••••••• L•••• A•••• | Montgomery, Al | Jun 24, 2021 | 11 y | 0 |
| D••••• M••• D••• | Montgomery, Al | Jun 9, 2022 | 29 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
- D•••••• R•• T••••• from S•••••••• F••••••••• I•••Sep 25, 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
- T•••••• D••••••• R•• · Owner / Chief Compliance Officercontrolsince 08/2018 · 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 |
|---|---|---|---|---|---|
| Montgomery, Al · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 16, 2026private clients per advisor of 809.7 against a peer median of 57.3 (3076 comparable advisers, 100.0th percentile, 21.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 4,430 to 3,950Mar 14, 2025 to Mar 16, 2026
- Charity clients · unset to 0.0Mar 14, 2025 to Mar 16, 2026
- Corporate clients · unset to 0.0Mar 14, 2025 to Mar 16, 2026
- HNW clients · 58 to 62Mar 14, 2025 to Mar 16, 2026
- Individual clients · 1,908 to 2,367Mar 14, 2025 to Mar 16, 2026
- Pension plan clients · 16 to 7Mar 14, 2025 to Mar 16, 2026
- Pooled vehicle clients · unset to 0.0Mar 14, 2025 to Mar 16, 2026
- Assets in custody · $268M to $324MMar 14, 2025 to Mar 16, 2026
- Employees · 5 to 3Mar 14, 2025 to Mar 16, 2026
- Discretionary RAUM · $268M to $339MMar 14, 2025 to Mar 16, 2026
- HNW RAUM · $93.1M to $93.5MMar 14, 2025 to Mar 16, 2026
- Individual RAUM · $161M to $226MMar 14, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $3.9M to $0Mar 14, 2025 to Mar 16, 2026
- Pension RAUM · $17.7M to $15.5MMar 14, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 14, 2025 to Mar 16, 2026
- RAUM · $272M to $339MMar 14, 2025 to Mar 16, 2026
- Wrap assets (sponsor) · $0 to $324MMar 14, 2025 to Mar 16, 2026
- Accounts · 4,268 to 4,430Mar 11, 2024 to Mar 14, 2025
- HNW clients · 39 to 58Mar 11, 2024 to Mar 14, 2025
- Individual clients · 2,039 to 1,908Mar 11, 2024 to Mar 14, 2025
- Pension plan clients · 10 to 16Mar 11, 2024 to Mar 14, 2025
- Assets in custody · $218M to $268MMar 11, 2024 to Mar 14, 2025
- Employees · 3 to 5Mar 11, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 11, 2024 to Mar 14, 2025
- Discretionary RAUM · $215M to $268MMar 11, 2024 to Mar 14, 2025
- HNW RAUM · $57.5M to $93.1MMar 11, 2024 to Mar 14, 2025
- Individual RAUM · $157M to $161MMar 11, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $2.7M to $3.9MMar 11, 2024 to Mar 14, 2025
- Pension RAUM · $2.7M to $17.7MMar 11, 2024 to Mar 14, 2025
- RAUM · $218M to $272MMar 11, 2024 to Mar 14, 2025
- Accounts · 2,615 to 4,268Nov 29, 2023 to Mar 11, 2024
- HNW clients · 25 to 39Nov 29, 2023 to Mar 11, 2024
- Individual clients · 1,778 to 2,039Nov 29, 2023 to Mar 11, 2024
- Pension plan clients · 6 to 10Nov 29, 2023 to Mar 11, 2024
- Assets in custody · $177M to $218MNov 29, 2023 to Mar 11, 2024
- Discretionary RAUM · $177M to $215MNov 29, 2023 to Mar 11, 2024
- HNW RAUM · $32.8M to $57.5MNov 29, 2023 to Mar 11, 2024
- Individual RAUM · $144M to $157MNov 29, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $7.2M to $2.7MNov 29, 2023 to Mar 11, 2024
- Pension RAUM · $7.2M to $2.7MNov 29, 2023 to Mar 11, 2024
Signals
1 dated events
- T••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Apr 13, 2020 · 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
- r••@t•••••••••.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 334-277-0500reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 334-277-8564reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/T•••••-FINANCIAL-GROUP/ABOUTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- T•••••FINANCIAL.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 334-277-0500reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- t•••••••••.netreportedpublished 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026