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
D•• A•••••••
Legal name T••• H••• I•••
Latest filing Apr 6, 2026
First filing on the tape Feb 22, 2023 · 10 filings
SEC status approved since Mar 24, 2023
RAUM
$156M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
79%
$124M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$52.0M
derived; firm RAUM over IAPD count
Employees
6
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$156M as of Apr 6, 2026
Mar 20, 2024$103M then
HNW client RAUM$112M as of Apr 6, 2026
Mar 20, 2024$37.8M then
State-registered IARs (5.B.3)3 as of Apr 6, 2026
Mar 20, 20242 then
Employees (5.A)6 as of Apr 6, 2026
Mar 20, 20245 then
Private funds: 1
RAUM +8.3% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Apr 6, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- solo small t••• · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $50.0M, 30 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M72%
- Pension and profit-sharing plans$32.0M21%
- Individuals$12.0M7.7%
- Individual clients
- 81reported
- HNW clients
- 31reported
- Pension plan clients
- 25reported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 30 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.21 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 |
|---|---|---|---|---|
| J••• T•••••• H••• | Denton, Tx | Jun 6, 2023 | 26 y | 1 |
| D•••••• M••••• M••••••• | Denton, Tx | Jun 6, 2023 | 12 y | 3 |
| R••• L••• H••• | Denton, Tx | Mar 19, 2026 | 10 y | 0 |
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
- J••• T•••••• H••• from B•• P•••••••• I•••Jun 6, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••••• M••••• M••••••• from B•• P•••••••• I•••Jun 6, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B•• P•••••••• I•••Jul 3, 2023 · Cedar Rapids, Ia · t••• lift out
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• J•••• T•••••• · President And Chief Compliance Officercontrolsince 02/2023 · owns 75% or more
Related persons
Schedule D 7.A
- D••••••• F•••••••• S•••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denton, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Mar 5, 2026 to Apr 6, 2026
- State-registered IARs · 2 to 3Mar 5, 2026 to Apr 6, 2026
- Accounts · 109 to 151Mar 31, 2025 to Mar 5, 2026
- Advisory activities · 5 to 4Mar 31, 2025 to Mar 5, 2026
- HNW clients · 28 to 31Mar 31, 2025 to Mar 5, 2026
- Individual clients · 61 to 81Mar 31, 2025 to Mar 5, 2026
- Pension plan clients · 23 to 25Mar 31, 2025 to Mar 5, 2026
- Pooled vehicle clients · 1.0 to unsetMar 31, 2025 to Mar 5, 2026
- Assets in custody · $30.0M to $50.0MMar 31, 2025 to Mar 5, 2026
- Employees · 5 to 6Mar 31, 2025 to Mar 5, 2026
- Financial planning clients · 51-100 to 101-250Mar 31, 2025 to Mar 5, 2026
- Private funds · 1 to unsetMar 31, 2025 to Mar 5, 2026
- Discretionary RAUM · $114M to $124MMar 31, 2025 to Mar 5, 2026
- HNW RAUM · $106M to $112MMar 31, 2025 to Mar 5, 2026
- Individual RAUM · $5.0M to $12.0MMar 31, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $30.0M to $32.0MMar 31, 2025 to Mar 5, 2026
- Pension RAUM · $30.0M to $32.0MMar 31, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · 2900000.0 to unsetMar 31, 2025 to Mar 5, 2026
- RAUM · $144M to $156MMar 31, 2025 to Mar 5, 2026
- Accounts · 508 to 109Sep 9, 2024 to Mar 31, 2025
- Advisory activities · 4 to 5Sep 9, 2024 to Mar 31, 2025
- HNW clients · 24 to 28Sep 9, 2024 to Mar 31, 2025
- Individual clients · 483 to 61Sep 9, 2024 to Mar 31, 2025
- Pension plan clients · 25 to 23Sep 9, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 1.0Sep 9, 2024 to Mar 31, 2025
- Assets in custody · unset to 30000000.0Sep 9, 2024 to Mar 31, 2025
- Custody of client assets · false to trueSep 9, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 51-100Sep 9, 2024 to Mar 31, 2025
- Private funds · unset to 1Sep 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $78.8M to $114MSep 9, 2024 to Mar 31, 2025
- HNW RAUM · $37.8M to $106MSep 9, 2024 to Mar 31, 2025
- Individual RAUM · $33.3M to $5.0MSep 9, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $24.0M to $30.0MSep 9, 2024 to Mar 31, 2025
- Pension RAUM · $27.0M to $30.0MSep 9, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 2900000.0Sep 9, 2024 to Mar 31, 2025
- RAUM · $103M to $144MSep 9, 2024 to Mar 31, 2025
- Accounts · 193 to 508Dec 26, 2023 to Mar 20, 2024
- Corporate clients · 6.0 to unsetDec 26, 2023 to Mar 20, 2024
- HNW clients · 26 to 24Dec 26, 2023 to Mar 20, 2024
- Individual clients · 139 to 483Dec 26, 2023 to Mar 20, 2024
Signals
2 dated events
- 2 advisors left B•• P•••••••• I••• (Cedar Rapids, IA) for D•• A••••••• on the same dayJul 3, 2023 · t••• lift out · derived
- D••••••• F•••••••• S•••••••• filed its initial SEC registration (Form ADV)Feb 22, 2023 · 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 email
- t•••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- a•••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j••••••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 940-226-1234reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 940-297-1474reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (940) 297-1474reportedpublic record, Form ADV, Apr 6, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- t••• profile url
- d•••••••••.comreportedpublished 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
- $52.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026