DFX Intelligence

S•••••• M••••• 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•••••• M••••• L••

CRD 20580

HOUSTON, TX

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Search this name across graphsid dfx:ria:42cc1e79-f2f4-c970-be1d-a31be60af03b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 128
Dated events: 12
On other graphs: 2
Observed: Nov 11, 2011 to Mar 31, 2026
84 observations

Across DFX

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

Private Equityidentity

S•••••• M••••• H••••• L••

Intermediary · shared crd

Venture Capitalidentity

S•••••• M••••• L••

Venture manager · 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $576M••• Locked
Discretionary RAUM: $299M
Private client RAUM: $576Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $52.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• A•••••• S••••••	n/a	HOUSTON, TX	20	45	1	yes
D•••• H••••• B•••••	n/a	HOUSTON, TX	15	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• G••••• L•••••	CHAIRMAN OF THE BOARD (9/2015)	Na	yes	02/2000	Nov 11, 2011	Mar 18, 2024
K••••••• E•••• G••••• R••••••	MANAGER, PRESIDENT	Na	yes	05/2017	Mar 29, 2018	Mar 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A••••••• L••	n/a	Independent wealth	$5.1B	N	yes	n/a
C•••• W•••••• • A••••••••• L••	n/a	Independent wealth	$5.0B	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dallas	TX	United States	3	yes

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	3	-3	27.3%	0	0	0	0	3

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	$576M	$992M	-41.9%	$492M	5.4%	27	28	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••••••• F•••••••• S••••••• L••	2	Dec 3, 2025	Jun 8, 2016	THE WOODLANDS, TX	Team lift out	RIA to RIA	15.4%
R•• C•••••• M••••••• L••	2	Oct 20, 2017	Sep 22, 2017

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••• A••••••• L••	2	Jan 8, 2026	Nov 1, 2019	FRISCO, TX	Team lift out	RIA to RIA	28.6%
B• R•••• W••••• M•••••••••	2	May 8, 2017	May 9, 2017

Relationships

showing 80 of 128

Affiliated with (6)

← C•••• W•••••• • A••••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ C•••• W•••••• • A••••••••• L••Registered adviserother investment adviser, insurance company
factForm ADV
→ T••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← T••••••• A••••••• L••Registered adviser

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-416M
Occurred
Feb 6, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 8, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42cc1e79-f2f4-c970-be1d-a31be60af03b
First observed: Nov 11, 2011
Last observed: Mar 31, 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.