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•• W••••• M•••••••••
Legal name T•• W••••• M••••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Sep 2, 2022 · 14 filings
SEC status approved since Sep 30, 2022
RAUM
$359M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$351M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$359M as of Aug 18, 2026
Feb 7, 2023$243M then
HNW client RAUM$303M as of Aug 18, 2026
Feb 7, 2023$194M then
State-registered IARs (5.B.3)3 as of Aug 18, 2026
Feb 7, 20233 then
Employees (5.A)3 as of Aug 18, 2026
Feb 7, 20233 then
Private funds: no history
RAUM +19% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $538,796derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $189M, 237 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$303M84%
- Individuals$48.2M13%
- Charitable organizations$2.7M0.7%
- Corporations and businesses$2.6M0.7%
- Pension and profit-sharing plans$2.4M0.7%
- Individual clients
- 136reported
- HNW clients
- 126reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 666reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $189M for 237 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| C•••••• A•••••• M•••••Certified Financial Planner | Houston, Tx | Oct 3, 2022 | 17 y | 2 |
| J••••••• H••••••• S•••••••Certified Financial Planner | Houston, Tx | Oct 3, 2022 | 17 y | 1 |
| A••••• G••••• M••••Certified Financial Planner | Houston, Tx | Oct 3, 2022 | 14 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
- C•••••• A•••••• M••••• from T••••••• A•••••••• I•••Oct 3, 2022 · RIA to a newly registered adviser
- J••••••• H••••••• S••••••• from T••••••• A•••••••• I•••Oct 3, 2022 · RIA to a newly registered adviser
- A••••• G••••• M•••• from T••••••• A•••••••• I•••Oct 3, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from T••••••• A•••••••• I•••Feb 24, 2023 · Houston, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• A•••••• G••••• · Managing Membercontrolsince 02/2022 · owns 10% to 25%
- M•••••• C••••••• A•••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- S•••••••• J•••••••• H••••••• · Managing Membercontrolsince 02/2022 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 658 to 666Aug 11, 2025 to Mar 9, 2026
- HNW clients · 113 to 126Aug 11, 2025 to Mar 9, 2026
- Individual clients · 148 to 136Aug 11, 2025 to Mar 9, 2026
- Assets in custody · $103M to $189MAug 11, 2025 to Mar 9, 2026
- Discretionary RAUM · $301M to $359MAug 11, 2025 to Mar 9, 2026
- HNW RAUM · $231M to $303MAug 11, 2025 to Mar 9, 2026
- Individual RAUM · $61.0M to $48.2MAug 11, 2025 to Mar 9, 2026
- Pension RAUM · $4.3M to $2.4MAug 11, 2025 to Mar 9, 2026
- RAUM · $301M to $359MAug 11, 2025 to Mar 9, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Aug 11, 2025
- Accounts · 636 to 658Jul 2, 2024 to Jan 22, 2025
- Advisory activities · 1 to 4Jul 2, 2024 to Jan 22, 2025
- HNW clients · 116 to 113Jul 2, 2024 to Jan 22, 2025
- Individual clients · 140 to 148Jul 2, 2024 to Jan 22, 2025
- Assets in custody · $93.5M to $103MJul 2, 2024 to Jan 22, 2025
- Financial planning clients · unset to 0Jul 2, 2024 to Jan 22, 2025
- Discretionary RAUM · $267M to $301MJul 2, 2024 to Jan 22, 2025
- HNW RAUM · $207M to $231MJul 2, 2024 to Jan 22, 2025
- Individual RAUM · $49.8M to $61.0MJul 2, 2024 to Jan 22, 2025
- Pension RAUM · $6.8M to $4.3MJul 2, 2024 to Jan 22, 2025
- RAUM · $267M to $301MJul 2, 2024 to Jan 22, 2025
- Accounts · 598 to 636Feb 7, 2023 to Feb 14, 2024
- HNW clients · 122 to 116Feb 7, 2023 to Feb 14, 2024
- Individual clients · 135 to 140Feb 7, 2023 to Feb 14, 2024
- Assets in custody · $81.0M to $93.5MFeb 7, 2023 to Feb 14, 2024
- Insurance-licensed employees · 3 to 0Feb 7, 2023 to Feb 14, 2024
- Discretionary RAUM · $243M to $267MFeb 7, 2023 to Feb 14, 2024
- HNW RAUM · $194M to $207MFeb 7, 2023 to Feb 14, 2024
- Individual RAUM · $40.0M to $49.8MFeb 7, 2023 to Feb 14, 2024
- Pension RAUM · $5.9M to $6.8MFeb 7, 2023 to Feb 14, 2024
- RAUM · $243M to $267MFeb 7, 2023 to Feb 14, 2024
- Accounts · 0 to 598Jan 11, 2023 to Feb 7, 2023
- BD registered reps · 1 to 0Jan 11, 2023 to Feb 7, 2023
- HNW clients · unset to 122.0Jan 11, 2023 to Feb 7, 2023
- Individual clients · unset to 135.0Jan 11, 2023 to Feb 7, 2023
- Assets in custody · unset to 81013022.0Jan 11, 2023 to Feb 7, 2023
- Custody of client assets · false to trueJan 11, 2023 to Feb 7, 2023
- Discretionary RAUM · $0 to $243MJan 11, 2023 to Feb 7, 2023
- HNW RAUM · unset to 194458153.0Jan 11, 2023 to Feb 7, 2023
- Individual RAUM · unset to 40041067.0Jan 11, 2023 to Feb 7, 2023
Signals
2 dated events
- T••••••• A•••••••• I•••'s advisors moved to T•• W••••• M••••••••• (Houston, TX): 3 of 5 registered, on the same dayFeb 24, 2023 · Firm absorbed (people side) · derived
- T•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 2, 2022 · 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
- 713-735-9217reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-735-9229reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/tsa-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- TSAWM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (713) 735-9217reportedpublic record, Form ADV, Aug 18, 2026
- Team page
- tsawm.com/team-details/jonathan-swanburg-jd-mba-cfpreportedpublished by the firm, firm site, Sep 15, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026