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TFR CAPITAL

PLANO, TX · CRD 333108 · IAPD ↗ · tfr-inc.com · 800-765-0397

$403.1MRegulatory AUM
5Advisory reps
9Employees
0Clients
1-10Planning clients
0Private funds
3States
2Disclosures
wealthSegment
ApprovedSEC status

Filing changes

45
February 2026 — TFR CAPITAL notice-filed in OK.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
February 2025 — TFR CAPITAL notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
February 2025 — TFR CAPITAL added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
61
February 2025 — TFR CAPITAL reports 1-10 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
68
February 2025 — TFR CAPITAL now reports custody of client assets ($17.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
February 2025 — TFR CAPITAL's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
October 2024 — TFR CAPITAL (PLANO, TX) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.