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•• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 16, 2021 · 10 filings
SEC status approved since May 17, 2021
RAUM
$273M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$273M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$91.0M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$273M as of Mar 26, 2026
Mar 30, 2022$155M then
HNW client RAUM$120M as of Mar 26, 2026
Mar 30, 2022$46.3M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 30, 20223 then
Employees (5.A)4 as of Mar 26, 2026
Mar 30, 20223 then
Private funds: no history
RAUM +25% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $91.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $174,329derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 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
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $156M, 624 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
- Individuals$153M56%
- High-net-worth individuals$120M44%
- Individual clients
- 592reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,566reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $156M for 624 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••• E•••••••Certified Financial Planner | Bettendorf, Ia | May 17, 2021 | 41 y | 7 |
| D••• S•••• K••••••• | Bettendorf, Ia | May 17, 2021 | 27 y | 5 |
| T••••• G••••• S••••• | Bettendorf, Ia | Oct 19, 2021 | 10 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
none on the tape
Joined, latest
- T••••• G••••• S••••• from A•••••••• C•••••• M•••••••••Oct 19, 2021 · RIA to RIA
- D•••• W•••• E••••••• from A•••••••• C•••••• M•••••••••May 17, 2021 · RIA to a newly registered adviser
- D••• S•••• K••••••• from A•••••••• C•••••• M•••••••••May 17, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A•••••••• C•••••• M•••••••••Oct 25, 2021 · Cornelius, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• D••••• W•••• · Managing Member/Ccocontrolsince 04/2021 · owns 50% to 75%
- K•••••••• D•••• S•••• · Managing Membercontrolsince 04/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bettendorf, Ia · 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
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-29, yes on the filing of 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,434 to 1,566Apr 29, 2025 to Mar 26, 2026
- HNW clients · 50 to 68Apr 29, 2025 to Mar 26, 2026
- Individual clients · 523 to 592Apr 29, 2025 to Mar 26, 2026
- Assets in custody · unset to 155623164.0Apr 29, 2025 to Mar 26, 2026
- Custody of client assets · false to trueApr 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $218M to $273MApr 29, 2025 to Mar 26, 2026
- HNW RAUM · $77.9M to $120MApr 29, 2025 to Mar 26, 2026
- Individual RAUM · $140M to $153MApr 29, 2025 to Mar 26, 2026
- RAUM · $218M to $273MApr 29, 2025 to Mar 26, 2026
- Accounts · 1,355 to 1,434Mar 8, 2024 to Apr 29, 2025
- HNW clients · 32 to 50Mar 8, 2024 to Apr 29, 2025
- Individual clients · 798 to 523Mar 8, 2024 to Apr 29, 2025
- Employees · 3 to 4Mar 8, 2024 to Apr 29, 2025
- Financial planning clients · unset to Mar 8, 2024 to Apr 29, 2025
- Discretionary RAUM · $209M to $218MMar 8, 2024 to Apr 29, 2025
- HNW RAUM · $48.1M to $77.9MMar 8, 2024 to Apr 29, 2025
- Individual RAUM · $161M to $140MMar 8, 2024 to Apr 29, 2025
- RAUM · $209M to $218MMar 8, 2024 to Apr 29, 2025
- Accounts · 1,285 to 1,355Mar 29, 2023 to Mar 8, 2024
- HNW clients · 41 to 32Mar 29, 2023 to Mar 8, 2024
- Individual clients · 444 to 798Mar 29, 2023 to Mar 8, 2024
- Discretionary RAUM · $170M to $209MMar 29, 2023 to Mar 8, 2024
- HNW RAUM · $38.9M to $48.1MMar 29, 2023 to Mar 8, 2024
- Individual RAUM · $132M to $161MMar 29, 2023 to Mar 8, 2024
- RAUM · $170M to $209MMar 29, 2023 to Mar 8, 2024
- Accounts · 1,238 to 1,285Mar 30, 2022 to Mar 29, 2023
- HNW clients · 48 to 41Mar 30, 2022 to Mar 29, 2023
- Individual clients · 360 to 444Mar 30, 2022 to Mar 29, 2023
- Assets in custody · 74102763.0 to unsetMar 30, 2022 to Mar 29, 2023
- Custody of client assets · true to falseMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $155M to $170MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $46.3M to $38.9MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $109M to $132MMar 30, 2022 to Mar 29, 2023
- RAUM · $155M to $170MMar 30, 2022 to Mar 29, 2023
- Accounts · 815 to 1,238Jan 7, 2022 to Mar 30, 2022
- Advisory employees · 2 to 3Jan 7, 2022 to Mar 30, 2022
- HNW clients · 40 to 48Jan 7, 2022 to Mar 30, 2022
- Individual clients · 117 to 360Jan 7, 2022 to Mar 30, 2022
- Assets in custody · unset to 74102763.0Jan 7, 2022 to Mar 30, 2022
- Custody of client assets · false to trueJan 7, 2022 to Mar 30, 2022
Signals
1 dated events
- T•• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 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
- 563-359-8783reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/105840867reportedpublic record, Form ADV, Sep 18, 2026
- Website
- truefinancialpartners.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 563-359-8783reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- truefinancialpartners.com/contactreportedpublished 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
- $91.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026