DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S•••• C••••

CRD 113091

THE WOODLANDS, TX

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Search this name across graphsid dfx:ria:53c75a60-ba1b-cd64-f540-640dc66a0f44

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 9
On other graphs: 1
Observed: Mar 29, 2012 to Sep 17, 2026
28 observations

Across DFX

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

Allocatorsidentity

S•••• C••••

Manager with allocator commitments · key crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.08 institutional_share=0.0 related_bd= related_bank= bd_reps=1.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.5Bderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $529Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••• L•••• B••••••• D• Q•••••	n/a	THE WOODLANDS, TX	14	38	n/a	no
R•••••• G•••••• D• L• G••••	n/a	THE WOODLANDS, TX	7	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• D• Q•••••• M••••• L••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	01/2001	Mar 29, 2012	Mar 18, 2024
D• L• G••••• R••••••• G••••••	DIRECTOR / SECRETARY	Na	no	02/2020	Jun 24, 2020	Mar 18, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$1.6B	$459M	245.7%	$232M	89.7%	5	2	0	0

Relationships

Registered with (3)

← A••••• V••••••••• D•• R••Advisorregistration: current employment
May 4, 2026 to presentfactForm ADV
← R•••••• G•••••• D• L• G••••Advisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV
← M•••• L•••• B••••••• D• Q•••••Advisorregistration: current employment
Jun 12, 2012 to presentfactForm ADV

Controls (1)

Dated events

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

Occurred
Sep 17, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Sep 17, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Sep 17, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:53c75a60-ba1b-cd64-f540-640dc66a0f44
First observed: Mar 29, 2012
Last observed: Sep 17, 2026 6 days 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.