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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

OUTLOOK WEALTH ADVISORS, LLC

CRD 291465

THE WOODLANDS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13479bc7-1b3a-cb90-65df-98983d3e1d11

Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 5
On other graphs: 0
Observed: May 29, 2018 to Mar 6, 2026
26 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: $594MItem 5.F on the latest filing (2026-03-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $594M
Private client RAUM: $594MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $99.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 5
Offices: 6Schedule D 1.F, beyond the principal office
Accounts: 2,461
Individual clients: 381
High net worth clients: 188
Custody, client assets: $248M
SEC number: 801-113512
CIK: 1767151
CRD: 291465
Filings on the tape: 26
First filed: May 29, 2018
Latest filed: Mar 6, 2026
Organised: Limited Liability Company, TX

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
JAMES ALLEN NEUENSCHWANDER	Certified Financial Planner	THE WOODLANDS, TX	8	40	4	no
ELSA CAZARES	Certified Financial Planner	THE WOODLANDS, TX	8	30	1	no
MICHAEL ALLEN NEUENSCHWANDER	Certified Financial Planner	THE WOODLANDS, TX	8	26	2	no
WILLIAM LAVAN GRAVES	n/a	THE WOODLANDS, TX	2	15	3	no
CAMERON TREY JUDY	n/a	THE WOODLANDS, TX	1	22	2	no
Nicholas Daniel Castellano	n/a	THE WOODLANDS, TX	0	18	7	no

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
CAZARES, ELSA	Member	F	yes	05/2018	May 29, 2018	Mar 14, 2024
NEUENSCHWANDER, JAMES, ALLEN	MANAGING MEMBER	D	yes	05/2018	May 29, 2018	Mar 14, 2024
NEUENSCHWANDER, JAMES, ALLEN	President	Na	yes	05/2018	May 29, 2018	Mar 14, 2024
NEUENSCHWANDER, MICHAEL, ALLEN	Member	C	yes	05/2018	May 29, 2018	Mar 14, 2024
NEUENSCHWANDER, MICHAEL, ALLEN	VICE PRESIDENT	Na	yes	05/2018	May 29, 2018	Mar 14, 2024
OUTLOOK WEALTH FINANCIAL SERVICES, LLC	Owner	E	yes	05/2018	May 29, 2018	Mar 14, 2024
FLEMING, STACY, GRAVES	CHIEF COMPLIANCE OFFICER	Na	no	11/2023	Mar 13, 2024	Mar 14, 2024

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
OUTLOOK WEALTH INSURANCE SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Baytown	TX	United States	5	no
COLLEGE STATION	TX	United States	5	no
Houston	TX	United States	5	no
Houston	TX	United States	5	no
Kingwood	TX	United States	5	no
SUGAR LAND	TX	United States	5	no
Houston	TX	United States	3	no

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
2025	Mar 6, 2026	$594M	$594M	11	5	6	n/a	n/a
2024	Mar 12, 2025	$543M	$543M	10	4	6	n/a	n/a
2023	Mar 6, 2024	$463M	$463M	11	5	7	n/a	n/a
2022	Mar 16, 2023	$431M	$431M	11	4	7	n/a	n/a
2021	Mar 31, 2022	$444M	$444M	11	4	4	n/a	n/a
2020	Mar 23, 2021	$409M	$409M	11	5	4	n/a	n/a
2019	Mar 17, 2020	$367M	$367M	12	6	4	n/a	n/a
2018	Mar 21, 2019	$296M	$296M	10	4	3	n/a	n/a

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
1	0	1	0.0%	0	0	0	4	1

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	$594M	$543M	9.3%	$431M	11.3%	11	10	6	6

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	2	Jan 10, 2019	Jun 28, 2018	SHENANDOAH, TX	Team lift out	Other	1.8%

Relationships

Registered with (9)

← Nicholas Daniel CastellanoAdvisorregistration: current employment
Apr 13, 2026 to presentfactForm ADV
← CAMERON TREY JUDYAdvisorregistration: current employment
Sep 5, 2025 to presentfactForm ADV
← WILLIAM LAVAN GRAVESAdvisorregistration: current employment
Jan 11, 2024 to presentfactForm ADV
← JAMES ALLEN NEUENSCHWANDERAdvisorregistration: current employment
Jun 28, 2018 to presentfactForm ADV
← ELSA CAZARESAdvisorregistration: current employment
Jun 28, 2018 to presentfactForm ADV
← MICHAEL ALLEN NEUENSCHWANDERAdvisorregistration: current employment
Jun 28, 2018 to presentfactForm ADV
← Jennifer AguirreAdvisorregistration: previous registration
Oct 11, 2023 to Jul 25, 2024factForm ADV
← William C ArtzbergerAdvisorregistration: previous registration
Dec 11, 2018 to Aug 31, 2020factForm ADV
← William Clinton McNuttAdvisorregistration: previous registration
Jun 28, 2018 to Oct 5, 2018factForm ADV

Controls (4)

← NEUENSCHWANDER, JAMES, ALLENOwnerMANAGING MEMBER, ownership code D, individual
May 29, 2018 to Mar 14, 2024factForm ADV
← CAZARES, ELSAOwnerMEMBER, ownership code F, individual
May 29, 2018 to Mar 14, 2024factForm ADV
← NEUENSCHWANDER, MICHAEL, ALLENOwnerMEMBER, ownership code C, individual
May 29, 2018 to Mar 14, 2024factForm ADV
← OUTLOOK WEALTH FINANCIAL SERVICES, LLCOwnerOWNER, ownership code E, domestic entity
May 29, 2018 to Mar 14, 2024factForm ADV

Owns (1)

← FLEMING, STACY, GRAVESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 13, 2024 to Mar 14, 2024factForm ADV

Moved with (1)

← GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviser2 advisors, team lift out, same day
Jan 10, 2019 to Jun 28, 2018factForm ADV

Dated events

Occurred
Jul 25, 2024
Advisor changed firm
Jennifer Aguirre left Outlook Wealth Advisors, Llc for United Advisors America (registered 2024-09-26)
Form ADVobserved 6 days ago
Occurred
Mar 13, 2024
Control person left
Fatina Solomon (Chief Compliance Officer) no longer on Schedule A of Outlook Wealth Advisors, Llc (listed 2024-03-06, absent 2024-03-13)
Form ADVobserved 6 days ago
Occurred
Mar 13, 2024
Control person joined
Graves Stacy Fleming (Chief Compliance Officer) appeared on Schedule A of Outlook Wealth Advisors, Llc
Form ADVobserved 6 days ago
Occurred
Aug 3, 2023
Control person joined
Fatina Solomon (Chief Compliance Officer) appeared on Schedule A of Outlook Wealth Advisors, Llc
Form ADVobserved 6 days ago
Occurred
May 29, 2018
First Form ADV filing
Outlook Wealth Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:13479bc7-1b3a-cb90-65df-98983d3e1d11
First observed: May 29, 2018
Last observed: Mar 6, 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.

OUTLOOK WEALTH ADVISORS, LLC

CRD 291465

THE WOODLANDS, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13479bc7-1b3a-cb90-65df-98983d3e1d11

Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES ALLEN NEUENSCHWANDER

Certified Financial Planner

THE WOODLANDS, TX

ELSA CAZARES

Certified Financial Planner

THE WOODLANDS, TX

MICHAEL ALLEN NEUENSCHWANDER

Certified Financial Planner

THE WOODLANDS, TX

WILLIAM LAVAN GRAVES

n/a

THE WOODLANDS, TX

CAMERON TREY JUDY

n/a

THE WOODLANDS, TX

Nicholas Daniel Castellano

n/a

THE WOODLANDS, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAZARES, ELSA

Member

yes

05/2018

May 29, 2018

Mar 14, 2024

NEUENSCHWANDER, JAMES, ALLEN

MANAGING MEMBER

yes

05/2018

May 29, 2018

Mar 14, 2024

NEUENSCHWANDER, JAMES, ALLEN

President

yes

05/2018

May 29, 2018

Mar 14, 2024

NEUENSCHWANDER, MICHAEL, ALLEN

Member

yes

05/2018

May 29, 2018

Mar 14, 2024

NEUENSCHWANDER, MICHAEL, ALLEN

VICE PRESIDENT

yes

05/2018

May 29, 2018

Mar 14, 2024

OUTLOOK WEALTH FINANCIAL SERVICES, LLC

Owner

yes

05/2018

May 29, 2018

Mar 14, 2024

FLEMING, STACY, GRAVES

CHIEF COMPLIANCE OFFICER

11/2023

Mar 13, 2024

Mar 14, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OUTLOOK WEALTH INSURANCE SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Baytown

United States

COLLEGE STATION

United States

Houston

United States

Houston

United States

Kingwood

United States

SUGAR LAND

United States

Houston

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 6, 2026

$594M

n/a

2024

Mar 12, 2025

$543M

n/a

2023

Mar 6, 2024

$463M

n/a

2022

Mar 16, 2023

$431M

n/a

2021

Mar 31, 2022

$444M

n/a

2020

Mar 23, 2021

$409M

n/a

2019

Mar 17, 2020

$367M

n/a

2018

Mar 21, 2019

$296M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$594M

$543M

9.3%

$431M

11.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Jan 10, 2019

Jun 28, 2018

SHENANDOAH, TX

Team lift out

Other

1.8%