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•••• C•••••• M•••••••••
Legal name T•••• M•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 11, 2022 · 12 filings
SEC status approved since Apr 8, 2022
RAUM
$84.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$80.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$84.2M as of Mar 25, 2026
Mar 17, 2023$106M then
HNW client RAUM$39.2M as of Mar 25, 2026
Mar 17, 2023$40.1M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 17, 20232 then
Employees (5.A)3 as of Mar 25, 2026
Mar 17, 20233 then
Private funds: no history
RAUM -11% over the last fiscal year-7.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $454,980derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $9.7M, 29 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$41.7M50%
- High-net-worth individuals$39.2M47%
- Other investment advisers$3.3M4.0%
- Individual clients
- 112reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 185reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.7M for 29 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.04 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 |
|---|---|---|---|---|
| A•• N•• A••••Certified Financial Planner | Scottsdale, Az | Apr 8, 2022 | 34 y | 2 |
| A••••• A•••• | Turlock, Ca | Apr 11, 2022 | 25 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• A••• N•• · Managing Member / Chief Compliance Officer / Chief Executive Officer / Chief Investment Officercontrolsince 10/2021 · owns 75% or more
- B••••••••• S•••••• N•• · Membercontrolsince 10/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 273 to 185Mar 19, 2025 to Mar 25, 2026
- HNW clients · 21 to 17Mar 19, 2025 to Mar 25, 2026
- Individual clients · 95 to 112Mar 19, 2025 to Mar 25, 2026
- Assets in custody · $39.0M to $9.7MMar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $94.8M to $84.2MMar 19, 2025 to Mar 25, 2026
- HNW RAUM · $50.0M to $39.2MMar 19, 2025 to Mar 25, 2026
- Individual RAUM · $44.8M to $41.7MMar 19, 2025 to Mar 25, 2026
- RAUM · $94.8M to $84.2MMar 19, 2025 to Mar 25, 2026
- Accounts · 347 to 273Dec 24, 2024 to Mar 19, 2025
- HNW clients · 22 to 21Dec 24, 2024 to Mar 19, 2025
- Assets in custody · $29.9M to $39.0MDec 24, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Dec 24, 2024 to Mar 19, 2025
- Discretionary RAUM · $101M to $94.8MDec 24, 2024 to Mar 19, 2025
- HNW RAUM · $39.7M to $50.0MDec 24, 2024 to Mar 19, 2025
- Individual RAUM · $40.1M to $44.8MDec 24, 2024 to Mar 19, 2025
- RAUM · $101M to $94.8MDec 24, 2024 to Mar 19, 2025
- Succession · true to falseDec 24, 2024 to Mar 19, 2025
- Succession · false to trueDec 19, 2024 to Dec 24, 2024
- HQ city · unset to SCOTTSDALEJun 4, 2024 to Dec 19, 2024
- HQ state · unset to AZJun 4, 2024 to Dec 19, 2024
- Accounts · 386 to 347Mar 17, 2023 to Mar 29, 2024
- HNW clients · 26 to 22Mar 17, 2023 to Mar 29, 2024
- Assets in custody · $522,000 to $29.9MMar 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $106M to $101MMar 17, 2023 to Mar 29, 2024
- HNW RAUM · $40.1M to $39.7MMar 17, 2023 to Mar 29, 2024
- Individual RAUM · $39.9M to $40.1MMar 17, 2023 to Mar 29, 2024
- RAUM · $106M to $101MMar 17, 2023 to Mar 29, 2024
- Accounts · 257 to 386Aug 31, 2022 to Mar 17, 2023
- HNW clients · 14 to 26Aug 31, 2022 to Mar 17, 2023
- Individual clients · 119 to 95Aug 31, 2022 to Mar 17, 2023
- Assets in custody · unset to 522000.0Aug 31, 2022 to Mar 17, 2023
- Custody of client assets · false to trueAug 31, 2022 to Mar 17, 2023
- Discretionary RAUM · $121M to $106MAug 31, 2022 to Mar 17, 2023
- HNW RAUM · $32.0M to $40.1MAug 31, 2022 to Mar 17, 2023
- Individual RAUM · $58.1M to $39.9MAug 31, 2022 to Mar 17, 2023
- RAUM · $121M to $106MAug 31, 2022 to Mar 17, 2023
- Advisory employees · 0 to 2Mar 11, 2022 to Apr 28, 2022
- Succession · true to falseMar 11, 2022 to Apr 28, 2022
Signals
2 dated events
- T•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 11, 2022 · First SEC registration · fact
- T•••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 11, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 209-529-3081reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 209-529-3089reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-378-0777reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (209) 529-3089reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- t•••••••••.comreportedpublished 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
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026