{"url":"https://nivawealth.com/firms/tdc-capital-advisors-117769","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/117769","regulatoryAum":177592784,"crd":"117769","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8142527","suffix":null,"lastName":"Auvermann","firstName":"Isaac","middleName":"Scott"},{"crd":"7832426","suffix":null,"lastName":"Cox","firstName":"Kyle","middleName":"Andrew"},{"crd":"4704375","suffix":null,"lastName":"CRAIG","firstName":"RONNIE","middleName":"LYNN"},{"crd":"5586034","suffix":null,"lastName":"LARKIN","firstName":"JAMES","middleName":"MATTHEW"},{"crd":"6440763","suffix":null,"lastName":"TAYLOR","firstName":"AUBRY","middleName":"JOHN"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-16","regulatoryAum":116929899,"clients":115,"employees":5,"offices":1},{"filedOn":"2022-01-31","regulatoryAum":137808156,"clients":133,"employees":5,"offices":1},{"filedOn":"2023-01-31","regulatoryAum":145150720,"clients":112,"employees":4,"offices":1},{"filedOn":"2024-01-16","regulatoryAum":152073612,"clients":131,"employees":5,"offices":1},{"filedOn":"2025-07-28","regulatoryAum":171934687,"clients":127,"employees":5,"offices":1},{"filedOn":"2026-06-10","regulatoryAum":177592784,"clients":113,"employees":4,"offices":1}],"secFileNumber":"801-121287","legalName":"TDC Capital Advisors, Inc.","displayName":"TDC Capital Advisors","slug":"tdc-capital-advisors-117769","website":"https://tdcadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"Texas corporation","fiscalYearEnd":"December","headquarters":{"street":"1598 Copperfield Parkway","city":"College Station","state":"TX","stateName":"Texas","country":"United States","postalCode":"77845"},"tradeNames":[],"registration":{"secApproved":"21 May 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1582223.5858585858,"staff":{"employees":4,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":177592784,"discretionary":0,"discretionaryAccounts":0,"nonDiscretionary":177592784,"nonDiscretionaryAccounts":217,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":61,"regulatoryAum":27764096},{"label":"High-net-worth individuals","clients":38,"regulatoryAum":128876039},{"label":"Charitable organizations","clients":2,"fewerThan5":true,"regulatoryAum":1205116},{"label":"State or municipal government entities","clients":2,"fewerThan5":true,"regulatoryAum":2473255},{"label":"Corporations and other businesses","clients":10,"regulatoryAum":17274278}],"feePrograms":[{"role":"main","program":"Portfolio management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047888","versionId":1047888,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-06-10","documentName":"TDC CAPITAL ADVISORS, INC. 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ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047888","versionId":1047888,"submittedOn":"2026-06-10"}]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":177592783}],"custodyNote":"TDC Capital Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"James Larkin","title":"Chief Compliance Officer/ Shareholder/ President","crd":"5586034"}],"ownership":[{"label":"James Larkin","detail":"Chief compliance officer/ shareholder/ president in the 75% or more ownership band and a control person, since August 2008."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"1598 Copperfield Parkway","city":"College Station","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"979-260-9696","stateRegisteredReps":3,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":33},{"label":"U.S. government/agency bonds","percent":16},{"label":"U.S. state and local bonds","percent":7},{"label":"Investment grade corporate bonds","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":25},{"label":"Cash and cash equivalents","percent":14}],"privateFunds":0},"sources":{"adv1FilingDate":"10 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/117769/PDF/117769.pdf","brochureDate":"10 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047888","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does TDC Capital Advisors have?","answer":"TDC Capital Advisors has 113 clients and manages $178 million for them, as of June 2026. They include 61 individual clients, 38 high-net-worth individuals, and 10 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 10 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does TDC Capital Advisors offer?","answer":"TDC Capital Advisors provides portfolio management for individuals and small businesses and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does TDC Capital Advisors charge?","answer":"TDC Capital Advisors charges 0.50%–1.00% a year for its Portfolio management. The fee is billed in arrears and is negotiable.","source":"TDC CAPITAL ADVISORS, INC. ADV BROCHURE, filed 10 June 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does TDC Capital Advisors use?","answer":"TDC Capital Advisors’ separately managed account assets are held at Fidelity Brokerage Services LLC (Boston, MA), with $178M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 10 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does TDC Capital Advisors have?","answer":"TDC Capital Advisors has 3 investment adviser representatives registered with state securities authorities, out of 4 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does TDC Capital Advisors invest in?","answer":"At the end of its last fiscal year, TDC Capital Advisors’ separately managed accounts held 33% exchange-traded equities, 25% registered funds (mutual funds, ETFs, BDCs), 16% U.S. government and agency bonds, 14% cash and equivalents, 7% state and local bonds and 5% investment grade corporate bonds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns TDC Capital Advisors?","answer":"TDC Capital Advisors’ direct owner is James Larkin (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 10 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does TDC Capital Advisors get paid?","answer":"TDC Capital Advisors is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact TDC Capital Advisors?","answer":"TDC Capital Advisors’ main office is at 1598 Copperfield Parkway, College Station, TX 77845. Its phone number is 979-260-9696. Its website is tdcadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 10 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}