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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S•••••• W••••• M••••••••• L••

CRD 145594

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:0265b9c3-1a84-15b7-f3fe-19db5fa81bbb

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 17
On other graphs: 0
Observed: Mar 30, 2012 to Mar 26, 2026
43 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=0.56 fund_share=0.0 institutional_share=0.42 related_bd=true related_bank=false bd_reps=13.0
Regulatory AUM: $6.5B••• Locked
Discretionary RAUM: $2.2B
Private client RAUM: $3.7Bderived••• Locked
Private client share: 56%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 21
RAUM per advisor: $310Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••••••• W••••• M••••••••	n/a	SAN ANTONIO, TX	18	39	1	yes
S•••• R••••• M••••••••	Certified Financial Planner	SAN ANTONIO, TX	18	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• K•••••••• G••••	Cfo	Na	yes	03/2022	Mar 26, 2026	Mar 26, 2026
C•••••••• E••••••••• F•••••	CHIEF EXECUTIVE OFFICER	Na	yes	08/2017	Mar 26, 2026	Mar 26, 2026

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boerne	TX	United States	2	no
Chicago	IL	United States	1	no
A•••••	TX	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	10	6

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	$6.5B	$5.8B	11.8%	$3.9B	18.4%	41	42	2	3

Relationships

Registered with (30)

← L•••• F•••••• C••••Advisorregistration: current employment
Aug 11, 2025 to presentfactForm ADV
← E•••• C•••••• K••••••Advisorregistration: current employment
Jul 7, 2025 to presentfactForm ADV
← T••••• O••• Y••••Advisorregistration: current employment
Jul 7, 2025 to presentfactForm ADV
← J••• T•••• C••••••

Dated events

Occurred
Apr 3, 2025
Advisor changed firm
Matthew Andrew Thompson left S•••••• W••••• M••••••••• L•• for Frost Investment Services (registered 2025-04-29)
Form ADVobserved 7 days ago
Occurred
Apr 3, 2025
Advisor changed firm
Gloria Cisneros left S•••••• W••••• M••••••••• L•• for Sanctuary Advisors, Llc (registered 2025-07-14)
Form ADVobserved 7 days ago
Occurred
Mar 26, 2025
Advisor changed firm
Todd Christopher Wnuk left S•••••• W••••• M••••••••• L•• for Vanguard Advisers, Inc. (registered 2025-07-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0265b9c3-1a84-15b7-f3fe-19db5fa81bbb
First observed: Mar 30, 2012
Last observed: Mar 26, 2026 6 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.