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Former SEC-registered adviserFormer SEC adviser· Dallas, Texas

Former SEC-registered adviser, based in Dallas, Texas, reporting $387,586 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$387,586
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-41%
Form ADV, consecutive annual filings
Private clients
2.1% of RAUM, $7,967
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 306904 · SEC 801-120159 · 15 filingsShow
CRD 306904SEC 801-120159First filing on the tape Mar 16, 2020, latest Jun 1, 2026SEC status approved since Jan 14, 2021IAPD
RAUM
$387,586
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
2.1%
$7,967 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$387,586 as of Jun 1, 2026
Mar 31, 2022$528,451 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 1, 2026
Mar 31, 20221 then
Employees (5.A)1 as of Jun 1, 2026
Mar 31, 20221 then
Private funds: no history
RAUM -41% over the last fiscal year-9.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
RAUM per advisor
$387,586derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$11,400derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$379,61998%
  • Individuals$7,9672.1%
Individual clients
30reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
34reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• A••••• · Chief Compliance Officercontrol
        since 02/2020 · owns less than 5%
      • S••••••• O•••••••• · Membercontrol
        since 02/2020 · owns 25% to 50% of T•••• A••••• H••••••• I••
      Entity owners
      • T•••• A••••• H••••••• I•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 73 to 34
        Mar 24, 2025 to Jun 1, 2026
      • Individual clients · 69 to 30
        Mar 24, 2025 to Jun 1, 2026
      • Financial planning clients · to 0
        Mar 24, 2025 to Jun 1, 2026
      • Individual RAUM · $3,832 to $7,967
        Mar 24, 2025 to Jun 1, 2026
      • Non-discretionary RAUM · $718,259 to $387,586
        Mar 24, 2025 to Jun 1, 2026
      • RAUM · $718,259 to $387,586
        Mar 24, 2025 to Jun 1, 2026
      • Financial planning clients · unset to
        Mar 29, 2024 to Mar 24, 2025
      • Individual RAUM · $3,708 to $3,832
        Mar 29, 2024 to Mar 24, 2025
      • Non-discretionary RAUM · $652,441 to $718,259
        Mar 29, 2024 to Mar 24, 2025
      • RAUM · $652,441 to $718,259
        Mar 29, 2024 to Mar 24, 2025
      • Accounts · 8 to 73
        Apr 10, 2023 to Mar 29, 2024
      • Individual clients · 4 to 69
        Apr 10, 2023 to Mar 29, 2024
      • Individual RAUM · $3,249 to $3,708
        Apr 10, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $552,443 to $652,441
        Apr 10, 2023 to Mar 29, 2024
      • RAUM · $552,443 to $652,441
        Apr 10, 2023 to Mar 29, 2024
      • Individual RAUM · $559 to $3,249
        Jul 8, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $528,451 to $552,443
        Jul 8, 2022 to Mar 31, 2023
      • RAUM · $528,451 to $552,443
        Jul 8, 2022 to Mar 31, 2023
      • Accounts · unset to 8.0
        May 7, 2021 to Mar 31, 2022
      • Advisory activities · 2 to 1
        May 7, 2021 to Mar 31, 2022
      • Corporate clients · unset to 4.0
        May 7, 2021 to Mar 31, 2022
      • Individual clients · unset to 4.0
        May 7, 2021 to Mar 31, 2022
      • HQ city · unset to DALLAS
        May 7, 2021 to Mar 31, 2022
      • HQ state · unset to TX
        May 7, 2021 to Mar 31, 2022
      • Discretionary RAUM · unset to 0.0
        May 7, 2021 to Mar 31, 2022
      • Individual RAUM · unset to 559.0
        May 7, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · unset to 528451.0
        May 7, 2021 to Mar 31, 2022
      • RAUM · unset to 528451.0
        May 7, 2021 to Mar 31, 2022
      • Accounts · 0.0 to unset
        Aug 14, 2020 to Dec 15, 2020
      • Discretionary RAUM · 0.0 to unset
        Aug 14, 2020 to Dec 15, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Aug 14, 2020 to Dec 15, 2020
      • RAUM · 0.0 to unset
        Aug 14, 2020 to Dec 15, 2020
      • HQ city · DALLAS to unset
        Jun 19, 2020 to Aug 14, 2020
      • HQ state · TX to unset
        Jun 19, 2020 to Aug 14, 2020
      • Business name · T•••• I••••••••• A•••••••• I•• to T•••• I••••••••• A••••••• L••
        Mar 16, 2020 to Jun 19, 2020
      • Legal name · T•••• I••••••••• A•••••••• I•• to T•••• I••••••••• A••••••• L••
        Mar 16, 2020 to Jun 19, 2020
      Signals
      2 dated events
      • ••• Locked
        Sep 1, 2026 · Left the SEC roster · derived
      • ••• Locked
        Mar 16, 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026