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 Jul 27, 2026
First filing on the tape Aug 30, 2024 · 7 filings
SEC status approved since Sep 30, 2024
RAUM
$403M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$391M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$80.6M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$403M as of Jul 27, 2026
Jan 30, 2025$328M then
HNW client RAUM$309M as of Jul 27, 2026
Jan 30, 2025$260M then
State-registered IARs (5.B.3)5 as of Jul 27, 2026
Jan 30, 20255 then
Employees (5.A)9 as of Jul 27, 2026
Jan 30, 20259 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Jul 27, 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
- RAUM per advisor
- $80.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $480,504derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $70.6M, 98 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)
- 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$309M77%
- Individuals$82.4M20%
- Charitable organizations$10.5M2.6%
- Pension and profit-sharing plans$1.4M0.3%
- Corporations and businesses$12,4860.0%
- Individual clients
- 180reported
- HNW clients
- 80reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 839reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.6M for 98 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• E••••• W•••••••Chartered Financial Analyst | Plano, Tx | Nov 12, 2024 | 26 y | 3 |
| J••••• R••• D••••• | Plano, Tx | Nov 12, 2024 | 22 y | 6 |
| M•••••• D•••• C••••••• | Plano, Tx | Nov 12, 2024 | 10 y | 1 |
| B•••• G•••• J•••• | Plano, Tx | Nov 15, 2024 | 41 y | 7 |
| B•••• A••• L•••••• | Plano, Tx | Dec 11, 2024 | 18 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- M•••••• L•• D•••••• to G•• W••••• M•••••••••Jun 16, 2026 · RIA to RIA
Joined, latest
- B•••• A••• L•••••• from S•• I••••••••• A•••••••• I•••Dec 11, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• G•••• J•••• from S•• I••••••••• A•••••••• I•••Nov 15, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• R••• D••••• from S•• I••••••••• A•••••••• I•••Nov 12, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• D•••• C••••••• from S•• I••••••••• A•••••••• I•••Nov 12, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• E••••• W••••••• from S•• I••••••••• A•••••••• I•••Nov 12, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from S•• I••••••••• A•••••••• I•••Dec 31, 2024 · Plano, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••••• R••• · President And Membercontrolsince 08/2024 · owns 75% or more
- D•••••• J•••••• H••••• · Ownercontrolsince 08/2024 · owns 50% to 75% of J• F••••• I•••
- D•••••• J•••••• R••• · Ownercontrolsince 08/2024 · owns 50% to 75% of J• F••••• I•••
- G••••••• S••••• A•• · Chief Compliance Officersince 11/2024 · owns less than 5%
Entity owners
- J• F••••• I••• · Managerdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 644 to 839Jan 5, 2026 to Mar 20, 2026
- Corporate clients · unset to 2.0Jan 5, 2026 to Mar 20, 2026
- HNW clients · 71 to 80Jan 5, 2026 to Mar 20, 2026
- Individual clients · 170 to 180Jan 5, 2026 to Mar 20, 2026
- Pension plan clients · unset to 3.0Jan 5, 2026 to Mar 20, 2026
- Assets in custody · $17.0M to $70.6MJan 5, 2026 to Mar 20, 2026
- Discretionary RAUM · $328M to $403MJan 5, 2026 to Mar 20, 2026
- HNW RAUM · $260M to $309MJan 5, 2026 to Mar 20, 2026
- Individual RAUM · $57.0M to $82.4MJan 5, 2026 to Mar 20, 2026
- Pension RAUM · unset to 1393487.0Jan 5, 2026 to Mar 20, 2026
- RAUM · $328M to $403MJan 5, 2026 to Mar 20, 2026
- Financial planning clients · 1-10 to 1-10Jan 30, 2025 to Mar 28, 2025
- Accounts · 0 to 644Nov 12, 2024 to Jan 30, 2025
- Advisory activities · 5 to 6Nov 12, 2024 to Jan 30, 2025
- Charity clients · unset to 2.0Nov 12, 2024 to Jan 30, 2025
- HNW clients · unset to 71.0Nov 12, 2024 to Jan 30, 2025
- Individual clients · unset to 170.0Nov 12, 2024 to Jan 30, 2025
- Assets in custody · unset to 17000000.0Nov 12, 2024 to Jan 30, 2025
- Custody of client assets · false to trueNov 12, 2024 to Jan 30, 2025
- Employees · 8 to 9Nov 12, 2024 to Jan 30, 2025
- Financial planning clients · 0 to 1-10Nov 12, 2024 to Jan 30, 2025
- Other offices · 0 to 1Nov 12, 2024 to Jan 30, 2025
- Discretionary RAUM · $0 to $328MNov 12, 2024 to Jan 30, 2025
- HNW RAUM · unset to 260000000.0Nov 12, 2024 to Jan 30, 2025
- Individual RAUM · unset to 57000000.0Nov 12, 2024 to Jan 30, 2025
- RAUM · $0 to $328MNov 12, 2024 to Jan 30, 2025
Signals
3 dated events
- M•••••• L•• D•••••• left T•• C•••••• for G•• W••••• M••••••••• (registered 2026-07-17)Jun 16, 2026 · Advisor changed firm · fact
- 5 advisors left S•• I••••••••• A•••••••• I••• (Plano, TX) for T•• C•••••• within 2 daysDec 31, 2024 · Team lift-out · derived
- T•• C•••••• filed its initial SEC registration (Form ADV)Aug 30, 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
- Firm profile
- linkedin.com/company/tfr-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tfrwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-765-0397reportedpublic record, Form ADV, Jul 27, 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
- $80.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026