DFX Intelligence

S•••••• A•••• 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•••••• A•••• M••••••••• L••

CRD 148194

HOUSTON, TX

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Search this name across graphsid dfx:ria:18ade057-61c0-3182-56ff-bce6f43e2a13

Data as of Apr 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Apr 1, 2026
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

S•••••• A•••• M•••••••••

Family office · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.88 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $934Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $528Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• M•••••• D•••	n/a	HOUSTON, TX	18	18	n/a	no
T•••••• S•••• H•••••••	Chartered Financial Analyst	HOUSTON, TX	18	43

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• D••••• M••••••	FOUNDER AND CHIEF EXECUTIVE OFFICER	Na	yes	07/2008	Apr 1, 2026	Apr 1, 2026
H•••••••• L••	Member	D	yes	07/2008	Apr 1, 2026	Apr 1, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	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	0	0

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	$1.1B	$973M	8.5%	$760M	11.6%	3	3	1	1

Relationships

Registered with (3)

← T•••••• S•••• H•••••••Advisorregistration: current employment
Sep 18, 2008 to presentfactForm ADV
← D•••• M•••••• D•••Advisorregistration: current employment
Aug 29, 2008 to presentfactForm ADV
← A••• G•••• F••••••Advisorregistration: previous registration
Sep 24, 2010 to Nov 12, 2013factForm ADV

Controls (4)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18ade057-61c0-3182-56ff-bce6f43e2a13
First observed: Mar 30, 2012
Last observed: Apr 1, 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.