DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••••••• A••••••• S•••••••• L•••••

CRD 108706

HOUSTON, TX

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Search this name across graphsid dfx:ria:3e14c69f-0e8f-77e9-3b15-483c6305a21e

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2012 to Mar 3, 2026
25 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: $185M••• Locked
Discretionary RAUM: $185M
Private client RAUM: $185Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $46.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•• B••••••• G••••	n/a	HOUSTON, TX	23	41	1	no
R•••••• A•••• G••••	Certified Financial Planner	HOUSTON, TX	14	43

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• R••••••• A••••	MANAGING MEMBER/PRESIDENT	D	yes	03/2004	Mar 15, 2012	Feb 23, 2024
G••••• S••• B•••••••	MEMBER/SECRETERY/TREASURER	D	yes	01/2016	Apr 19, 2018	Feb 23, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Relationships

Registered with (4)

← D••••• M•••••• W•••••••Advisorregistration: previous registration
Oct 30, 2018 to Dec 21, 2022factForm ADV
← J••••• B•••••• J•••••Advisorregistration: previous registration
May 1, 2009 to Jan 15, 2010factForm ADV
← R•••••• A•••• G••••Advisorregistration: current employment
Jun 20, 2012 to presentfactForm ADV
← S•• B••••••• G••••

Dated events

Occurred
Apr 19, 2018
First Form ADV filing
S•••••••• A••••••• S•••••••• L••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e14c69f-0e8f-77e9-3b15-483c6305a21e
First observed: Mar 15, 2012
Last observed: Mar 3, 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.