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••••••• P•••••• I•••••••••
Legal name T••••••• I••••••••• C•••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 30, 2025 · 3 filings
SEC status approved since Sep 30, 2025
RAUM
$23B
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
66
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
36
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$23B as of Mar 30, 2026
Sep 30, 2025$16B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Sep 30, 20251 then
Employees (5.A)66 as of Mar 30, 2026
Sep 30, 2025130 then
Private funds36 as of Mar 30, 2026
Sep 30, 202533 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $23BderivedRAUM 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
- $485MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 66.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- $23B, 47 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$23B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $23B for 47 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=8.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• G••••••• R•••••• · Elected Manager And Presidentcontrolsince 08/2025 · owns less than 5%
- J•••••• J••••• K•••• · Chief Legal Officer And Secretary Officercontrolsince 08/2025 · owns less than 5%
- K•••••••• M••••••• W••••• · Elected Managercontrolsince 01/2026 · owns less than 5%
- N••••••• A•••••• D•••• · Treasurercontrolsince 01/2026 · owns less than 5%
- R••••• D••••• S•••• · Elected Managercontrolsince 01/2026 · owns less than 5%
Entity owners
- T••••••• F•••••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 33 to 47Jan 21, 2026 to Mar 30, 2026
- Pooled vehicle clients · 33 to 47Jan 21, 2026 to Mar 30, 2026
- Assets in custody · $16B to $23BJan 21, 2026 to Mar 30, 2026
- Employees · 130 to 66Jan 21, 2026 to Mar 30, 2026
- Other offices · 1 to 0Jan 21, 2026 to Mar 30, 2026
- Private funds · 33 to 36Jan 21, 2026 to Mar 30, 2026
- Discretionary RAUM · $16B to $23BJan 21, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $16B to $23BJan 21, 2026 to Mar 30, 2026
- RAUM · $16B to $23BJan 21, 2026 to Mar 30, 2026
Signals
1 dated events
- T••••••• P•••••• I••••••••• reported RAUM $22.8B, up 46% from $15.6B (2026-01-21 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T••••••• P•••••• I••••••••• · Independent Sponsorsshared crd · capital_provider
- T••••••• P•••••• I••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- thriventprivateinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-847-4836reportedpublic record, Form ADV, Mar 30, 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