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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Former SEC-registered adviser

C••••••• F•••••••• P•••••••

Former SEC-registered adviserTreynor, IowaCRD 314571SEC 801-121322website IAPD

Legal name T• B•••

Latest filing Mar 31, 2025

First filing on the tape Apr 27, 2021 · 15 filings

SEC status approved since Apr 1, 2021

RAUM

$86.3M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

100%

$86.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$86.3M as of Mar 31, 2025

Mar 25, 2022$249M then

HNW client RAUM$50.1M as of Mar 31, 2025

Mar 25, 2022$179M then

State-registered IARs (5.B.3)3 as of Mar 31, 2025

Mar 25, 20229 then

Employees (5.A)3 as of Mar 31, 2025

Mar 25, 202215 then

Private funds: no history

RAUM -65% over the last fiscal year-30% a year over threeIARs 6 to 3offices 9 to 4

Practice profile

derived from the filing of Mar 31, 2025; every figure names its basis

RAUM per advisor: $28.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 29derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $269,569derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%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: 0.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year: -65%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: -54%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership: a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$50.1M58%
Individuals$36.1M42%

Individual clients: 67reported
HNW clients: 20reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 320reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
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

L•••• W••••• S•••••• to S•••••• R••••••••• P••••••• L••
Feb 1, 2025 · RIA to a state-registered adviser
S•••• R••••• L•••• to S•••••• R••••••••• P••••••• L••
Feb 1, 2025 · RIA to a state-registered adviser
T• T•••• N••••• to D•• W••••• M•••••••••
Jun 28, 2024 · RIA to a state-registered adviser
A•••••• N••••• C••••• to C••••••••• F•••••••• G••••••••
Jan 25, 2024 · Other
R••••• J••••• B••••• to C••••••••• F•••••••• G••••••••
Jan 2, 2024 · Other
J•••• N••••••• B•••• to M••••••
Oct 16, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••••• K••••• E•••• · Presidentcontrol
since 04/2021 · owns less than 5%
M••••• J••• N••••• · Investment/Chief Compliance Officercontrol
since 04/2021 · owns less than 5%
W•••••• B••••• A••• · Chief Investment Officercontrol
since 04/2021 · owns less than 5%
G••••••••• H••••• A•• · Trusteecontrol
since 04/2021 · owns 50% to 75% of H•••• G••••••••• • J••••• G••••• I••••••••• L••••• T••••
G•••••• J•••• M•••••• · Trusteecontrol
since 04/2021 · owns 50% to 75% of H•••• G••••••••• • J••••• G••••• I••••••••• L••••• T••••

Entity owners

T•••••• B••••••••• I••• · B••• Holding Company
direct · owns 75% or more
H•••• G••••••••• • J••••• G••••• I••••••••• L••••• T•••• · Trust
indirect · owns 75% or more of T•••••• B••••••••• I•••

Related persons

Schedule D 7.A

C•••••• C•••••••••
insurancen
H•••• A• G•••••
y
S•••••••• C•••
insurancen
T•••••• B••••••••• I•••
y
T• C••••••••• B••••••••• I•••
n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Mill Valley, Ca	0	0	0
Omaha, Ne	0	0	0
Stanton, Ia	0	0	0
Centennial, Co	0	0	0
San Francisco, Ca	0	0	0

Offices

Schedule D 1.F, the 25 largest

T••••••, IA2 employees
, 1 employees
Council Bluffs, IA1 employees
Omaha, NE1 employees

What changed

consecutive filings, newest first

Accounts · 392 to 320
Dec 7, 2024 to Mar 31, 2025
Advisory employees · 5 to 3
Dec 7, 2024 to Mar 31, 2025
HNW clients · 23 to 20
Dec 7, 2024 to Mar 31, 2025
Individual clients · 78 to 67
Dec 7, 2024 to Mar 31, 2025
Employees · 8 to 3
Dec 7, 2024 to Mar 31, 2025
Financial planning clients · 101-250 to 51-100
Dec 7, 2024 to Mar 31, 2025
HQ city · COUNCIL BLUFFS to T••••••
Dec 7, 2024 to Mar 31, 2025
State-registered IARs · 5 to 3
Dec 7, 2024 to Mar 31, 2025
Other offices · 7 to 4
Dec 7, 2024 to Mar 31, 2025
Discretionary RAUM · $97.8M to $83.6M
Dec 7, 2024 to Mar 31, 2025
HNW RAUM · $57.6M to $50.1M
Dec 7, 2024 to Mar 31, 2025
Individual RAUM · $42.8M to $36.1M
Dec 7, 2024 to Mar 31, 2025
Non-discretionary RAUM · $2.6M to $2.7M
Dec 7, 2024 to Mar 31, 2025
RAUM · $100M to $86.3M
Dec 7, 2024 to Mar 31, 2025
HQ city · OMAHA to COUNCIL BLUFFS
Oct 10, 2024 to Dec 7, 2024
HQ state · NE to IA
Oct 10, 2024 to Dec 7, 2024
Accounts · 824 to 392
Mar 30, 2024 to Oct 8, 2024
Advisory employees · 6 to 5
Mar 30, 2024 to Oct 8, 2024
HNW clients · 64 to 23
Mar 30, 2024 to Oct 8, 2024
Individual clients · 126 to 78
Mar 30, 2024 to Oct 8, 2024
Employees · 9 to 8
Mar 30, 2024 to Oct 8, 2024
State-registered IARs · 6 to 5
Mar 30, 2024 to Oct 8, 2024
Other offices · 9 to 7
Mar 30, 2024 to Oct 8, 2024
Discretionary RAUM · $246M to $97.8M
Mar 30, 2024 to Oct 8, 2024
HNW RAUM · $171M to $57.6M
Mar 30, 2024 to Oct 8, 2024
Individual RAUM · $70.4M to $42.8M
Mar 30, 2024 to Oct 8, 2024
Non-discretionary RAUM · $2.5M to $2.6M
Mar 30, 2024 to Oct 8, 2024
RAUM · $248M to $100M
Mar 30, 2024 to Oct 8, 2024
Accounts · 816 to 824
Feb 1, 2024 to Mar 30, 2024
Advisory employees · 9 to 6
Feb 1, 2024 to Mar 30, 2024
HNW clients · 127 to 64
Feb 1, 2024 to Mar 30, 2024
Individual clients · 63 to 126
Feb 1, 2024 to Mar 30, 2024
Employees · 15 to 9
Feb 1, 2024 to Mar 30, 2024
State-registered IARs · 9 to 6
Feb 1, 2024 to Mar 30, 2024
Other offices · 17 to 9
Feb 1, 2024 to Mar 30, 2024
Discretionary RAUM · $221M to $246M
Feb 1, 2024 to Mar 30, 2024
HNW RAUM · $62.3M to $171M
Feb 1, 2024 to Mar 30, 2024
Individual RAUM · $155M to $70.4M
Feb 1, 2024 to Mar 30, 2024
Non-discretionary RAUM · $2.4M to $2.5M
Feb 1, 2024 to Mar 30, 2024
RAUM · $223M to $248M
Feb 1, 2024 to Mar 30, 2024

Signals

16 dated events

C••••••• F•••••••• P••••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $86.3M)
Jul 1, 2025 · Left the SEC roster · derived
L•••• W••••• S•••••• left C••••••• F•••••••• P••••••• for S•••••• R••••••••• P••••••• L•• (registered 2024-12-03)
Feb 1, 2025 · Advisor changed firm · fact
S•••• R••••• L•••• left C••••••• F•••••••• P••••••• for S•••••• R••••••••• P••••••• L•• (registered 2024-12-03)
Feb 1, 2025 · Advisor changed firm · fact
C••••••• F•••••••• P••••••• reported RAUM $100.4M, down 60% from $248.3M (2024-03-30 to 2024-10-08)
Oct 8, 2024 · RAUM change · derived
T• T•••• N••••• left C••••••• F•••••••• P••••••• for D•• W••••• M••••••••• (registered 2025-04-16)
Jun 28, 2024 · Advisor changed firm · fact
C••••••• F•••••••• P••••••• reported 9 offices beyond its principal office, down from 17 (2024-02-01 to 2024-03-30)
Mar 30, 2024 · Office count change · derived
Nicole Allison Cerven (Operations Officer) no longer on Schedule A of C••••••• F•••••••• P••••••• (listed 2023-04-27, absent 2024-02-01)
Feb 1, 2024 · Control person left · inference
J Reuben Brauer (Director) no longer on Schedule A of C••••••• F•••••••• P••••••• (listed 2023-04-27, absent 2024-02-01)
Feb 1, 2024 · Control person left · inference
A•••••• N••••• C••••• left C••••••• F•••••••• P••••••• for C••••••••• F•••••••• G•••••••• (registered 2024-02-06)
Jan 25, 2024 · Advisor changed firm · fact
R••••• J••••• B••••• left C••••••• F•••••••• P••••••• for C••••••••• F•••••••• G•••••••• (registered 2024-02-04)
Jan 2, 2024 · Advisor changed firm · fact
J•••• N••••••• B•••• left C••••••• F•••••••• P••••••• for Mariner (registered 2023-11-28)
Oct 16, 2023 · Advisor changed firm · fact
C••••••• F•••••••• P••••••• reported 17 offices beyond its principal office, down from 24 (2022-03-25 to 2023-03-30)
Mar 30, 2023 · Office count change · derived
C••••••• F•••••••• P••••••• reported 24 offices beyond its principal office, up from 19 (2022-02-07 to 2022-03-25)
Mar 25, 2022 · Office count change · derived
Alan William Callahan (President) no longer on Schedule A of C••••••• F•••••••• P••••••• (listed 2021-07-20, absent 2022-02-07)
Feb 7, 2022 · Control person left · inference
C••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
Apr 27, 2021 · First SEC registration · fact
C••••••• F•••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Apr 27, 2021 · Succession (Item 4) · 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