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P•••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••••• A•••••••• I•••

CRD 121849

DALLAS, TX

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Search this name across graphsid dfx:ria:066ace1e-3892-83ec-046f-c48811d415ce

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 27, 2026
20 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=0.77 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $859MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $858M
Private client RAUM: $662MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• T•••• S•••••	Chartered Financial Analyst	DALLAS, TX	23	24	n/a	no
A••• A••••• B••••••	Certified Financial Planner\|Chartered Financial Analyst	DALLAS, TX	21	23

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••••• R••••••• S••••	TRUSTEE OF P•••••• SHAREHOLDER TRUST DTD 7/6/2005	Na	yes	07/2005	Mar 29, 2012	May 16, 2024
O•••••• L••••• M•	Secretary	Na	yes	07/2002	Mar 29, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• A•• A•••••••••	n/a	n/a	n/a	N	yes	n/a
W•• A••••••••• L••	n/a	State registered	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$859M	$732M	17.4%	$587M	13.5%	9	9	0	0

Relationships

Registered with (8)

← D•••• C••••• R••Advisorregistration: current employment
Jul 17, 2026 to presentfactForm ADV
← P•••••• M••••••Advisorregistration: current employment
Feb 5, 2024 to presentfactForm ADV
← M••••••• T•••• O•••••Advisorregistration: previous registration
Mar 29, 2005 to Dec 31, 2005factForm ADV
← M••••• W•••••• M•••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:066ace1e-3892-83ec-046f-c48811d415ce
First observed: Mar 29, 2012
Last observed: Mar 27, 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.

2025	Mar 27, 2026	$859M	$858M	9	7	0	n/a	n/a
2024	Mar 27, 2025	$732M	$730M	9	7	0	n/a	n/a
2023	Mar 27, 2024	$630M	$629M	9	7	0	n/a	n/a
2022	Mar 27, 2023	$587M	$586M	8	5	0	n/a	n/a
2021	Mar 17, 2022	$657M	$643M	7	5	0	n/a	n/a
2020	Mar 30, 2021	$562M	$548M	10	6	0	n/a	n/a
2019	Mar 31, 2020	$464M	$445M	10	6	0	n/a	n/a
2018	Mar 25, 2019	$371M	$370M	10	6	0	n/a	n/a
2017	Mar 15, 2018	$393M	$392M	11	7	0	n/a	n/a
2016	Mar 22, 2017	$343M	$342M	11	7	n/a	n/a	n/a
2015	Mar 29, 2016	$288M	$283M	10	7	n/a	n/a	n/a
2014	Mar 20, 2015	$282M	$280M	9	7	n/a	n/a	n/a
2013	Mar 31, 2014	$259M	$253M	10	7	n/a	n/a	n/a
2012	Mar 1, 2013	$189M	$185M	12	7	n/a	n/a	n/a
2011	Mar 29, 2012	$161M	$161M	n/a	n/a	n/a	n/a	n/a