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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

D••••• I••••••••• S•••••••• I•••

CRD 114196

SAN ANGELO, TX

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Search this name across graphsid dfx:ria:1c3daa6c-5038-7150-97be-6b32008333ba

Data as of Mar 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 14
On other graphs: 0
Observed: Mar 13, 2012 to Mar 26, 2025
24 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $272MItem 5.F on the latest filing (2025-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $272M
Private client RAUM: $236MderivedItem 5.D individuals plus high net worth individuals
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
E•••••• D••••••• D••••	Director	B	yes	02/1997	Mar 13, 2012	May 14, 2024
K•••• K••••••• B••••	Director	Na	yes	12/2013	Apr 5, 2017

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

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
2024	$272M	$221M	23.0%	$180M	14.8%	6	6	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••• • T••••• W••••• M•••••••••	5	Jun 17, 2025	Mar 28, 2025	SAN ANGELO, TX	Firm absorbed	RIA to RIA	100.0%

Relationships

Registered with (6)

← K••• LIN T•••••Advisorregistration: previous registration
Feb 11, 2009 to Jun 17, 2025factForm ADV
← S•••••• J••••• P••••••Advisorregistration: previous registration
Aug 30, 2013 to Jun 17, 2025factForm ADV
← C•••••• D••••• R••••••••Advisorregistration: previous registration
Feb 10, 2004 to Jun 17, 2025factForm ADV
← R•••• Joe T•••••

Dated events

Occurred
Jul 1, 2025
Left the SEC roster
D••••• I••••••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $272.0M)
Form ADVobserved 7 days ago
$272M
Occurred
Jun 17, 2025
Firm absorbed
D••••• I••••••••• S•••••••• I•••'s advisors moved to P•••••• • T••••• W••••• M••••••••• (San Angelo, TX): 5 of 5 registered, on the same day
Form ADVobserved 7 days ago
5 advisors
Occurred
Jun 17, 2025
Advisor changed firm
Spencer Judson Plagens left D••••• I••••••••• S•••••••• I••• for P•••••• • T••••• W••••• M••••••••• (registered 2025-03-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c3daa6c-5038-7150-97be-6b32008333ba
First observed: Mar 13, 2012
Last observed: Mar 26, 2025 18 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.