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••••••
Legal name T•••••••• C••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Jun 21, 2024 · 15 filings
SEC status approved since Jul 19, 2024
RAUM
$62.3M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
85%
$53.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$31.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$62.3M as of Aug 12, 2026
Feb 10, 2025$117M then
HNW client RAUM$51.8M as of Aug 12, 2026
Feb 10, 2025$105M then
State-registered IARs (5.B.3)2 as of Aug 12, 2026
Feb 10, 20251 then
Employees (5.A)2 as of Aug 12, 2026
Feb 10, 20251 then
Private funds3 as of Aug 12, 2026
Feb 10, 20253 then
RAUM -47% over the last fiscal yearIARs 1 to 2offices 2 to 1
Practice profile
derived from the filing of Aug 12, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $31.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $700,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -47%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +111%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$51.8M83%
- Corporations and businesses$6.6M11%
- Other investment advisers$2.4M3.9%
- Individuals$1.3M2.1%
- Pooled investment vehicles$191,0000.3%
- Individual clients
- 9reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 89reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.85 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 |
|---|---|---|---|---|
| M•••• J••• W•••••••• | Franklin, Tn | Jul 19, 2024 | 16 y | 3 |
| J••••••• L••• B•••• | Richardson, Tx | Feb 17, 2025 | 11 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
- M•••• J••• W•••••••• from B•• F•••••••• L••Jul 19, 2024 · RIA to a newly registered adviser
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••••• S•• L•• • S••••• 2• | Securitized Asset Fund | $8.3M | 27 | Aug 16, 2024 |
| T•••••••• S•• L•• • S••••• 1• | Securitized Asset Fund | $2.0M | 13 | Aug 16, 2024 |
| A••••••••• F•••• L•• • S••••• 3• | Securitized Asset Fund | $1.3M | 11 | Aug 16, 2024 |
Owners and control persons
Schedule A and B, latest filing
- W••••••••• M••••• J••• · Ceo/Ccocontrolsince 03/2022 · 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 |
|---|---|---|---|---|---|
| Franklin, Tn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 24, 2026RAUM (Item 5.F) moved from $117,200,000 to $62,313,662 (-47.0%) between the annual amendments of 2025-03-27 and 2026-04-24; the peer median change was +8.0% (220 comparable advisers, 7.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 7.3% percentile
What changed
consecutive filings, newest first
- Accounts · 118 to 89Jul 28, 2025 to Mar 6, 2026
- Advisory employees · 1 to 2Jul 28, 2025 to Mar 6, 2026
- Charity clients · 1.0 to unsetJul 28, 2025 to Mar 6, 2026
- Corporate clients · unset to 4.0Jul 28, 2025 to Mar 6, 2026
- HNW clients · 6 to 10Jul 28, 2025 to Mar 6, 2026
- Individual clients · 3 to 9Jul 28, 2025 to Mar 6, 2026
- Pooled vehicle clients · 4 to 3Jul 28, 2025 to Mar 6, 2026
- Employees · 1 to 2Jul 28, 2025 to Mar 6, 2026
- Insurance-licensed employees · 1 to 0Jul 28, 2025 to Mar 6, 2026
- State-registered IARs · 1 to 2Jul 28, 2025 to Mar 6, 2026
- Discretionary RAUM · $95.0M to $42.4MJul 28, 2025 to Mar 6, 2026
- HNW RAUM · $105M to $51.8MJul 28, 2025 to Mar 6, 2026
- Individual RAUM · $200,000 to $1.3MJul 28, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $22.2M to $19.9MJul 28, 2025 to Mar 6, 2026
- Pooled vehicle RAUM · $11.6M to $191,000Jul 28, 2025 to Mar 6, 2026
- RAUM · $117M to $62.3MJul 28, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 0Jun 10, 2025 to Jul 28, 2025
- HQ city · BRADENTON to FRANKLINMar 27, 2025 to Jun 10, 2025
- HQ state · FL to TNMar 27, 2025 to Jun 10, 2025
- Other offices · 2 to 1Mar 27, 2025 to Jun 10, 2025
- Other offices · 0 to 2Feb 10, 2025 to Mar 27, 2025
- Accounts · 86 to 118Sep 11, 2024 to Feb 10, 2025
- Corporate clients · 2.0 to unsetSep 11, 2024 to Feb 10, 2025
- HNW clients · 8 to 6Sep 11, 2024 to Feb 10, 2025
- Individual clients · unset to 3.0Sep 11, 2024 to Feb 10, 2025
- Pooled vehicle clients · 3 to 4Sep 11, 2024 to Feb 10, 2025
- Discretionary RAUM · $60.7M to $95.0MSep 11, 2024 to Feb 10, 2025
- HNW RAUM · $83.8M to $105MSep 11, 2024 to Feb 10, 2025
- Individual RAUM · unset to 200000.0Sep 11, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $39.6M to $22.2MSep 11, 2024 to Feb 10, 2025
- Pooled vehicle RAUM · $11.6M to $11.6MSep 11, 2024 to Feb 10, 2025
- RAUM · $100M to $117MSep 11, 2024 to Feb 10, 2025
- HQ city · ST PETERSBURG to BRADENTONAug 21, 2024 to Sep 11, 2024
- Accounts · unset to 86.0Jul 29, 2024 to Aug 16, 2024
- Advisory activities · 3 to 4Jul 29, 2024 to Aug 16, 2024
- Charity clients · unset to 1.0Jul 29, 2024 to Aug 16, 2024
- Corporate clients · unset to 2.0Jul 29, 2024 to Aug 16, 2024
- HNW clients · unset to 8.0Jul 29, 2024 to Aug 16, 2024
- Pooled vehicle clients · unset to 3.0Jul 29, 2024 to Aug 16, 2024
- HQ city · BRADENTON to ST PETERSBURGJul 29, 2024 to Aug 16, 2024
Signals
1 dated events
- T•••••••• C•••••• filed its initial SEC registration (Form ADV)Jun 21, 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
- 210-260-8668reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 210-260-8668reportedpublic record, Form ADV, Aug 12, 2026
- Contact form
- t••••••••.netreportedpublished 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
- $31.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026