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TFR CAPITAL, LLC

dba TFR CAPITAL · CRD 333108 · Registered Investment Adviser

Regulatory disclosure

TFR CAPITAL, LLC is a Registered Investment Adviser headquartered in PLANO, TX. The firm reports $403,142,852 in regulatory assets under management across 839 accounts. It reports 2 Form ADV Item 11 disciplinary disclosure(s) (Regulatory).

Regulatory assets under management

Discretionary$403,142,852
Non-discretionary$0
Total RAUM$403,142,852
Accounts839

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 2 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)—

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 333108. adviserinfo.sec.gov/firm/summary/333108.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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