DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

K••••• P•••••• W••••• S•••••••• L••

CRD 155193

AUSTIN, TX

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Search this name across graphsid dfx:ria:08c88a59-7901-7056-4270-135f7de822c9

Data as of Jul 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 366
Dated events: 40
On other graphs: 0
Observed: Nov 11, 2011 to Jul 20, 2026
112 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

O•• H••• C•••••• P••••••• V• ••••••••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Private Equityowner

O•• H••• C•••••• P••••••• V• •• 8•••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

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

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=201.0
Regulatory AUM: $13B••• Locked
Discretionary RAUM: $13B
Private client RAUM: $13Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 209
RAUM per advisor: $64.4M

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• M••• M••••••••	n/a	CLINTON, MT \| AUSTIN, TX \| Calabasas, CA	14	42	2	yes
D•••• Y•••••• Y••	n/a	CALABASAS, CA \| Calabasas, CA \| AUSTIN, TX	14	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• J•••• V••••••	President	Na	yes	04/2025	Jul 20, 2026	Jul 20, 2026
B••••••••• R•••••• M••••	CHIEF EXECUTIVE OFFICER	Na	yes	05/2012	Jul 20, 2026	Jul 20, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••••• A••••••• S•••••••• L••	n/a	Bd affiliated wealth	$80B	N	yes	n/a
K••••• I••••••••• S•••••••• L••	n/a	Former SEC adviser	$12B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	9	yes
WAYCR•••	Ga	United States	9	yes
BOCA RATON	FL	United States	6	yes
Huntersville	Nc	United States	6	yes
Sewickley	Pa	United States

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
13	9	4	4.3%	3	4	0	83	15

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	$13B	$10B	31.7%	$4.5B	44.3%	211	198	42	42

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K••••• A••••••• S•••••••• L••	3	Mar 26, 2026	Feb 24, 2026	CALABASAS, CA	Channel change	Ibd to ibd	1.4%
K••••• A••••••• S•••••••• L••	3	Jan 11, 2023	Dec 1, 2022

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	2	Jul 9, 2026	Jul 6, 2026	DOWNERS GROVE, IL	Team lift out	Ibd to ibd	0.2%
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	2	Oct 17, 2025

Relationships

showing 80 of 366

Affiliated with (31)

← H•••••• W••••• L••Registered adviserother investment adviser, common control
factForm ADV
← K••••• A••••••• S•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← K••••• I••••••••• M••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
← P•••••• M••••••••• G••••• L••Registered adviser

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 16, 2026
A•••••• firm change
••• Locked
Form ADVobserved 5 days ago
Occurred
Jul 20, 2026
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 17, 2026
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 9, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08c88a59-7901-7056-4270-135f7de822c9
First observed: Nov 11, 2011
Last observed: Jul 20, 2026 2 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.