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••••••• G••••• I•••
Latest filing Jun 2, 2026
First filing on the tape Dec 12, 2024 · 5 filings
SEC status approved since Jan 13, 2025
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$199M as of Jun 2, 2026
May 1, 2025$227M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2026
May 1, 20250 then
Employees (5.A)4 as of Jun 2, 2026
May 1, 20255 then
Private funds10 as of Jun 2, 2026
May 1, 202510 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $19.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $85.6M, 3 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$199M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.6M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• R••••• L•• | Private Equity Fund | $84.3M | 9 | Dec 12, 2024 |
| F• P••••••• L•• | Private Equity Fund | $38.6M | 25 | Dec 12, 2024 |
| F• S••••• L•• | Private Equity Fund | $23.5M | 23 | Dec 12, 2024 |
| F• N••• L•••• L•• | Private Equity Fund | $23.2M | 23 | Dec 12, 2024 |
| C••••••• S•• L•• | Private Equity Fund | $20.7M | 6 | Dec 12, 2024 |
| F• A•• L•• | Private Equity Fund | $11.8M | 23 | Dec 12, 2024 |
| F• S•• L•• | Private Equity Fund | $9.8M | 26 | Dec 12, 2024 |
| F• C••••• L•• | Private Equity Fund | $7.1M | 21 | Dec 12, 2024 |
| F• F••••••• L•• | Private Equity Fund | $6.8M | 22 | Dec 12, 2024 |
| C••••••• A••• L•• | Private Equity Fund | $1.4M | 5 | Dec 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• B••••••• J••• · Chief Compliance Officer/Principalcontrolsince 01/2014 · owns less than 5%
- M••••••••• D••••• J•••• · Principalcontrolsince 01/2014 · owns less than 5%
- N••••• R••• T• · Majority Shareholder/Presidentcontrolsince 01/1990 · owns 50% to 75%
Related persons
Schedule D 7.A
- F••••• A•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3May 1, 2025 to Mar 26, 2026
- Assets in custody · $106M to $85.6MMay 1, 2025 to Mar 26, 2026
- Employees · 5 to 4May 1, 2025 to Mar 26, 2026
- Discretionary RAUM · $227M to $199MMay 1, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $227M to $199MMay 1, 2025 to Mar 26, 2026
- RAUM · $227M to $199MMay 1, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Dec 12, 2024 to May 1, 2025
Signals
1 dated events
- T•• C••••••• G••••• I••• filed its initial SEC registration (Form ADV)Dec 12, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• C••••••• G••••• I••• · Independent Sponsorsshared crd · capital_provider
- T•• C••••••• G••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- t•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-320-8600reportedpublic record, Form ADV, Jun 2, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026