DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

R•• A•••••••

C•••••• FINANCIAL, LLC, CRD 150661

HOUSTON, TX

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Search this name across graphsid dfx:ria:55747c10-861b-5a12-bf5f-bc9699388226

Data as of Jul 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 26
On other graphs: 1
Observed: Mar 22, 2013 to Jul 16, 2026
72 observations

Across DFX

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

Private Equityidentity

R•• A•••••••

Intermediary · 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=0.97 fund_share=0.02 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $1.8Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $131Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••• N•• M•••	n/a	HOUSTON, TX	16	26	2	no
R•••••• M•••••• R••••	Certified Financial Planner	HOUSTON, TX	13	37

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• F•••••••• H•••••• C••••••• L••	SOLE MEMBER	E	yes	03/2026	Jul 16, 2026	Jul 16, 2026
F•••••• M••••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2026	Jul 16, 2026	Jul 16, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• W••••• A•••••••• L••	n/a	Independent wealth	$126M	N	yes	n/a
C••••• M•••	n/a	n/a	n/a	N	yes	n/a
R•• I•••••••• A•••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Bethesda	Md	United States	1	no

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
1	0	1	0.0%	1	0	0	2	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	$1.8B	$1.5B	20.3%	$1.1B	18.6%	17	14	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•• W••••• A•••••••• L••	2	Jul 20, 2023	Feb 22, 2023	ROUND ROCK, TX	Team lift out	RIA to RIA	14.3%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• A••••••• N•••••• L••	3	Jan 2, 2020	Jan 2, 2020	DALLAS, TX	Team lift out	RIA to RIA	6.4%

Relationships

Affiliated with (4)

→ R•• W••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S•••••••••Registered adviserother investment adviser, common control
factForm ADV
← R•• W••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← W••••••••• L••Registered adviserother investment adviser, control, common control

Dated events

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

Occurred
Jul 16, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Jul 16, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Jul 16, 2026
Ria ownership band change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55747c10-861b-5a12-bf5f-bc9699388226
First observed: Mar 22, 2013
Last observed: Jul 16, 2026 2 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.