DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••••••• M••••••••• L••

CRD 107129

AUSTIN, 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:475e9084-07b3-6b10-2902-90a023a4e993

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 17, 2012 to Mar 25, 2026
22 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: $152M••• Locked
Discretionary RAUM: $152M
Private client RAUM: $152Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $76.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• W••••••• K••••	Certified Financial Planner	AUSTIN, TX	11	43	n/a	no
B•••••• E••• K•••• L••••••	Certified Financial Planner	AUSTIN, TX	7	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• R••••••• W•••••••	OWNER/PRESIDENT	E	yes	07/1992	Mar 17, 2012	Mar 27, 2024
L••••••• B••••••• E••• K••••	VICE PRESIDENT/CHIEF COMPLIANCE OFFICER	B	yes	01/2020	Jan 28, 2020	Mar 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SUGAR LAND	TX	United States	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	$152M	$144M	5.2%	$132M	4.8%	3	3	0	1

Relationships

Registered with (2)

← B•••••• E••• K•••• L••••••Advisorregistration: current employment
Jan 2, 2019 to presentfactForm ADV
← R•••••• W••••••• K••••Advisorregistration: current employment
Oct 15, 2014 to presentfactForm ADV

Controls (2)

← K••••• R••••••• W•••••••OwnerOWNER/PRESIDENT, ownership code E, individual
Mar 17, 2012 to Mar 27, 2024factForm ADV
← L••••••• B••••••• E••• K••••

Dated events

Occurred
Jan 28, 2020
Control person joined
E••• K•••• B•••••• Ledonne (Vice President/Chief Compliance Officer) appeared on Schedule A of P•••••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Sep 30, 2014
Succession filed (Item 4)
P•••••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:475e9084-07b3-6b10-2902-90a023a4e993
First observed: Mar 17, 2012
Last observed: Mar 25, 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.