DFX Intelligence
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SEC-registered adviser
T••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 15, 2019 · 20 filings
SEC status approved since Jun 14, 2019
RAUM
$825M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
16%
$135M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$412M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$825M as of Mar 31, 2026
Mar 16, 2020$58.1M then
HNW client RAUM$131M as of Mar 31, 2026
Mar 16, 2020$13.5M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 16, 20201 then
Employees (5.A)7 as of Mar 31, 2026
Mar 16, 20204 then
Private funds: no history
RAUM +61% over the last fiscal year+65% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $412MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 56%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +61%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.2M, 2 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M44%
- Other investment advisers$117M39%
- Corporations and businesses$44.4M15%
- Individuals$4.8M1.6%
- Individual clients
- 16reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 532reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.14 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 |
|---|---|---|---|---|
| C••• H••••••••• Y••••Chartered Financial Analyst | Charlotte, Nc | Jun 27, 2019 | 34 y | 3 |
| W•••••• J••••• B•••••• | Charlotte, Nc | Oct 25, 2021 | 41 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
- E••• C• S••••••• to W•••• F•••• A•••••••May 25, 2022 · RIA to wirehouse
Joined, latest
- W•••••• J••••• B•••••• from R•••••• J•••• • A••••••••• I•••Oct 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••• C• S••••••• from E••••••• C•••••• M••••••••• I••Jun 11, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• C•••• H••••••••• · Sole Member And Chief Compliance Officercontrolsince 03/2017 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Raleigh, NC3 employees
What changed
consecutive filings, newest first
- Accounts · 460 to 532Mar 26, 2025 to Mar 31, 2026
- Corporate clients · 12 to 10Mar 26, 2025 to Mar 31, 2026
- HNW clients · 65 to 64Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $66,022 to $1.2MMar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $324M to $460MMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $121M to $131MMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $4.3M to $4.8MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $189M to $365MMar 26, 2025 to Mar 31, 2026
- RAUM · $512M to $825MMar 26, 2025 to Mar 31, 2026
- Accounts · 391 to 460Mar 7, 2024 to Mar 26, 2025
- HNW clients · 63 to 65Mar 7, 2024 to Mar 26, 2025
- Individual clients · 17 to 16Mar 7, 2024 to Mar 26, 2025
- Assets in custody · $72,849 to $66,022Mar 7, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Mar 26, 2025
- Discretionary RAUM · $267M to $324MMar 7, 2024 to Mar 26, 2025
- HNW RAUM · $93.3M to $121MMar 7, 2024 to Mar 26, 2025
- Individual RAUM · $4.5M to $4.3MMar 7, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $95.1M to $189MMar 7, 2024 to Mar 26, 2025
- RAUM · $362M to $512MMar 7, 2024 to Mar 26, 2025
- Advisory employees · 5 to 6Mar 30, 2023 to Mar 5, 2024
- HNW clients · 67 to 63Mar 30, 2023 to Mar 5, 2024
- Assets in custody · unset to 72849.0Mar 30, 2023 to Mar 5, 2024
- Custody of client assets · false to trueMar 30, 2023 to Mar 5, 2024
- Employees · 6 to 7Mar 30, 2023 to Mar 5, 2024
- Discretionary RAUM · $180M to $267MMar 30, 2023 to Mar 5, 2024
- HNW RAUM · $86.5M to $93.3MMar 30, 2023 to Mar 5, 2024
- Individual RAUM · $4.3M to $4.5MMar 30, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $1.8M to $95.1MMar 30, 2023 to Mar 5, 2024
- RAUM · $182M to $362MMar 30, 2023 to Mar 5, 2024
- Accounts · 375 to 391Mar 25, 2022 to Mar 30, 2023
- Advisory employees · 3 to 5Mar 25, 2022 to Mar 30, 2023
- Corporate clients · 7 to 12Mar 25, 2022 to Mar 30, 2023
- HNW clients · 52 to 67Mar 25, 2022 to Mar 30, 2023
- Individual clients · 6 to 17Mar 25, 2022 to Mar 30, 2023
- State-registered IARs · 3 to 2Mar 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $193M to $180MMar 25, 2022 to Mar 30, 2023
- HNW RAUM · $114M to $86.5MMar 25, 2022 to Mar 30, 2023
- Individual RAUM · $1.2M to $4.3MMar 25, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $14.0M to $1.8MMar 25, 2022 to Mar 30, 2023
- RAUM · $207M to $182MMar 25, 2022 to Mar 30, 2023
Signals
6 dated events
- T••••• C••••••• L•• reported RAUM $824.9M, up 61% from $512.3M (2025-03-26 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- T••••• C••••••• L•• reported RAUM $512.3M, up 41% from $362.3M (2024-03-07 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- T••••• C••••••• L•• reported RAUM $362.3M, up 99% from $182.0M (2023-03-30 to 2024-03-05)Mar 5, 2024 · RAUM change · derived
- E••• C• S••••••• left T••••• C••••••• L•• for W•••• F•••• A••••••• (registered 2023-09-06)May 25, 2022 · Advisor changed firm · fact
- T••••• C••••••• L•• reported RAUM $211.9M, up 179% from $76.1M (2021-09-22 to 2021-10-15)Oct 15, 2021 · RAUM change · derived
- T••••• C••••••• L•• filed its initial SEC registration (Form ADV)May 15, 2019 · 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
- linkedin.com/company/tannin-capital-llcreportedpublic record, Form ADV, Mar 31, 2026
- Website
- t•••••.comreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- 704-552-1082reportedpublic record, Form ADV, Mar 31, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $412Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026