DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

A•••••• R••••••• C••••••

CRD 164109

DALLAS, 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:5700fcd8-8ffa-865c-516a-faa3734a9f79

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 177
Dated events: 40
On other graphs: 0
Observed: May 2, 2012 to Mar 31, 2026
120 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=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=50.0
Regulatory AUM: $3.5B••• Locked
Discretionary RAUM: $3.4B
Private client RAUM: $3.3Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 87
RAUM per advisor: $40.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• K•••• B••••	Certified Financial Planner\|Chartered Financial Consultant	SANTA ROSA, CA \| DALLAS, TX \| Santa Rosa, CA	25	34	1	yes
B•••••• J••••• D••	Certified Financial Planner	FARMERS BRANCH, TX \| DALLAS, TX	14	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• A••••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2025	Mar 31, 2026	Mar 31, 2026
A•••••• T•••••• C•••	CHIEF, BUSINESS ACQUISITIONS, MANAGING MEMBER	C	yes	01/2020	Mar 31, 2026	Mar 31, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• I•••••••• C•••••••••	n/a	n/a	n/a	Y	yes	n/a
A•• I•••••••• V•••••••	n/a	n/a	n/a	Y	yes	n/a
D••••• B•••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Napa	CA	United States	5	no
Southlake	TX	United States	5	yes
Napa	CA	United States	4	yes
Oxford	Ms	United States	4	yes
SANTA ROSA	CA	United States

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
5	2	3	2.3%	2	0	0	17	15

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	$3.5B	$3.0B	15.6%	$2.3B	14.6%	119	123	52	52

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• A•••••• A•••••••• L••	3	May 30, 2025	Jun 2, 2025	METAIRIE, LA	Team lift out	Other	3.7%
S••••• L••• C••••••• L••	3	May 18, 2023	May 18, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•••• F••• A••••••• S•••••••	3	Sep 14, 2018	Jul 26, 2018	DALLAS, TX	Team lift out	Ibd to RIA	2.8%
L•••• F••• A••••••• S•••••••	8	Aug 2, 2018	Aug 2, 2018

Relationships

showing 80 of 177

Registered with (80)

← P••••• V• U•••••Advisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← P••••• J••••• L••••••Advisorregistration: current employment
Aug 25, 2026 to presentfactForm ADV
← J•••• A•••Advisorregistration: current employment
Aug 7, 2026 to presentfactForm ADV
← R•••••• W•••••• J••••

Dated events

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

Occurred
Apr 22, 2026
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 2, 2026
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
May 30, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5700fcd8-8ffa-865c-516a-faa3734a9f79
First observed: May 2, 2012
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.