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
H• W••••• P•••••••
Legal name T••••••• M••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Mar 26, 2024 · 13 filings
SEC status approved since May 6, 2024
RAUM
$481M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$433M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$80.2M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$481M as of Feb 20, 2026
Jan 28, 2025$398M then
HNW client RAUM$329M as of Feb 20, 2026
Jan 28, 2025$296M then
State-registered IARs (5.B.3)4 as of Feb 20, 2026
Jan 28, 20253 then
Employees (5.A)5 as of Feb 20, 2026
Jan 28, 20255 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Feb 20, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $80.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $768,737derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +47%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $481MreportedItem 5.I
- Custody
- $13.4M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M68%
- Individuals$104M22%
- Pension and profit-sharing plans$48.4M10%
- Individual clients
- 169reported
- HNW clients
- 96reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 626reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $13.4M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• R•• B••• | Nashville, Tn | May 9, 2024 | 24 y | 4 |
| A•••••• D••• S••••••Certified Financial Planner | Franklin, Tn | May 9, 2024 | 28 y | 4 |
| D••••• L•••• F••••••• | Encino, Ca | May 9, 2024 | 28 y | 2 |
| P••• D• H•••••••• | Nashville, Tn | May 9, 2024 | 32 y | 4 |
| N••••••• V•••••• F••••••• | Nashville, Tn | Nov 27, 2024 | 11 y | 0 |
| J••• H•••••••• | Nashville, Tn | Jul 28, 2025 | 12 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
- P••• D• H•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 9, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• R•• B••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 9, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••••• D••• S•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 9, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• L•••• F••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 9, 2024 · 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 C•••••••• I••••••••• R••••••• A•••••••• I•••May 17, 2024 · Albuquerque, Nm
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J•••••••• R•• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- H••••••••• P•••• D• · Partnercontrolsince 03/2024 · owns 50% to 75%
- S••••••• A••••••• D••• · Partnercontrolsince 03/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Nashville, Tn · principal | 6 | 0 | 0 | ||
| Albuquerque, Nm | 2 | 0 | 0 | ||
| Encino, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Encino, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 20, 2026pension consulting (Item 5.G.6): no on the filing of 2025-09-18, yes on the filing of 2026-02-20peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 578 to 626Sep 18, 2025 to Feb 20, 2026
- Advisory employees · 3 to 4Sep 18, 2025 to Feb 20, 2026
- Advisory activities · 2 to 3Sep 18, 2025 to Feb 20, 2026
- HNW clients · 83 to 96Sep 18, 2025 to Feb 20, 2026
- Individual clients · 97 to 169Sep 18, 2025 to Feb 20, 2026
- Pension plan clients · 21 to 20Sep 18, 2025 to Feb 20, 2026
- Assets in custody · $16.0M to $13.4MSep 18, 2025 to Feb 20, 2026
- State-registered IARs · 3 to 4Sep 18, 2025 to Feb 20, 2026
- Discretionary RAUM · $398M to $481MSep 18, 2025 to Feb 20, 2026
- HNW RAUM · $296M to $329MSep 18, 2025 to Feb 20, 2026
- Individual RAUM · $59.5M to $104MSep 18, 2025 to Feb 20, 2026
- Pension RAUM · $42.3M to $48.4MSep 18, 2025 to Feb 20, 2026
- RAUM · $398M to $481MSep 18, 2025 to Feb 20, 2026
- Financial planning clients · 26-50 to 26-50Jan 28, 2025 to Jul 7, 2025
- HQ city · ALBUQUERQUE to NASHVILLEJan 28, 2025 to Jul 7, 2025
- HQ state · NM to TNJan 28, 2025 to Jul 7, 2025
- Accounts · 568 to 578Nov 4, 2024 to Jan 28, 2025
- HNW clients · 92 to 83Nov 4, 2024 to Jan 28, 2025
- Individual clients · 117 to 97Nov 4, 2024 to Jan 28, 2025
- Pension plan clients · 28 to 21Nov 4, 2024 to Jan 28, 2025
- Assets in custody · unset to 15955207.0Nov 4, 2024 to Jan 28, 2025
- Custody of client assets · false to trueNov 4, 2024 to Jan 28, 2025
- Employees · 4 to 5Nov 4, 2024 to Jan 28, 2025
- Financial planning clients · 0 to 26-50Nov 4, 2024 to Jan 28, 2025
- Other offices · 2 to 4Nov 4, 2024 to Jan 28, 2025
- Discretionary RAUM · $367M to $398MNov 4, 2024 to Jan 28, 2025
- HNW RAUM · $284M to $296MNov 4, 2024 to Jan 28, 2025
- Individual RAUM · $26.4M to $59.5MNov 4, 2024 to Jan 28, 2025
- Pension RAUM · $56.0M to $42.3MNov 4, 2024 to Jan 28, 2025
- RAUM · $367M to $398MNov 4, 2024 to Jan 28, 2025
- Accounts · 0 to 568May 9, 2024 to Aug 26, 2024
- HNW clients · unset to 92.0May 9, 2024 to Aug 26, 2024
- Individual clients · unset to 117.0May 9, 2024 to Aug 26, 2024
- Pension plan clients · unset to 28.0May 9, 2024 to Aug 26, 2024
- Other offices · 1 to 2May 9, 2024 to Aug 26, 2024
- Discretionary RAUM · $0 to $367MMay 9, 2024 to Aug 26, 2024
- HNW RAUM · unset to 284088000.0May 9, 2024 to Aug 26, 2024
- Individual RAUM · unset to 26440724.0May 9, 2024 to Aug 26, 2024
- Pension RAUM · unset to 56000000.0May 9, 2024 to Aug 26, 2024
- RAUM · $0 to $367MMay 9, 2024 to Aug 26, 2024
Signals
2 dated events
- 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Albuquerque, NM) for H• W••••• P••••••• on the same dayMay 17, 2024 · Team lift-out · derived
- H• W••••• P••••••• filed its initial SEC registration (Form ADV)Mar 26, 2024 · 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
- 505-300-4851reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 505-361-2223reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (505) 361-2223reportedpublic record, Form ADV, Feb 20, 2026
- Team page
- h•••••••••.comreportedpublished 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
- $80.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026