DFX Intelligence

L••••••• W••••• M••••••••• P•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

L••••••• W••••• M••••••••• P•••

CRD 145492

ROCKWALL, TX

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Apr 12, 2018 to Mar 31, 2026
23 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $217M••• Locked
Discretionary RAUM: $217M
Private client RAUM: $217Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $43.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• A••••• P••••	n/a	San Juan, PR \| ROCKWALL, TX	18	25	1	no
J•••• A•••• G••••	Chartered Financial Analyst	ROCKWALL, TX	8	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• J••••• A•••••	PRESIDENT/CEO/ CHIEF COMPLIANCE OFFICER	E	yes	11/2007	Apr 12, 2018	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••••••• I•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a
L••••••• T•• A•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$217M	$180M	20.8%	$167M	9.0%	5	5	2	1

Relationships

Registered with (7)

← Z•••••• D••••• T•••••Advisorregistration: current employment
Mar 28, 2024 to presentfactForm ADV
← S••••• B••• M••••••••Advisorregistration: current employment
Jun 9, 2023 to presentfactForm ADV
← S•••• A•••••••• M••••Advisorregistration: current employment
Dec 11, 2020 to presentfactForm ADV
← J•••• A•••• G••••

Dated events

Order

Occurred
31 Mar 2026
Ria office opened2 events
L••••••• W••••• M••••••••• P•••: ria office opened, 2 events, on 31 Mar 2026
- ••• Locked
- ••• Locked
Occurred
28 Mar 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
12 Apr 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 12, 2018
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.