DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••• I••••••••• C••••••

CRD 140994

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:5b223123-d3f0-d816-b023-70d1a97f6c0b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 117
Dated events: 28
On other graphs: 3
Observed: Mar 30, 2012 to Mar 31, 2026
37 observations

Across DFX

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

Private Equityidentity

S••• I••••••••• C••••••

Private equity manager · shared crd

Independent Sponsorsidentity

S••• I••••••••• C••••••

Capital provider to sponsors · shared crd

Real Estate Fundsidentity

S••• I••••••••• C••••••

Real estate fund 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=0.77 fund_share=0.02 institutional_share=0.0 related_bd=true related_bank=false bd_reps=28.0
Regulatory AUM: $256M••• Locked
Discretionary RAUM: $197M
Private client RAUM: $197Mderived••• Locked
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 16
RAUM per advisor: $16.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• A••••• V•••••••	Certified Financial Planner\|Chartered Financial Consultant	MANKATO, MN \| SAN ANTONIO, TX	18	43	1	yes
B•••• D•••••• W•••••	n/a	SAN ANTONIO, TX	16	21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••• R• F••• L•	Real Estate Fund	$124M	May 16, 2024	18	Mar 29, 2023	reported	021-1919767
S••• C•• F••• I• L•	Private Equity Fund	$3.0M	May 16, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• C••••••• E•••••••	50% OWNER, CHAIRMAN AND CEO	D	yes	04/1976	Mar 30, 2012	May 16, 2024
A••••• C••••••• E•••••••	CHAIRMAN OF THE BOARD OF DIRECTORS	Na	yes	07/1991	Mar 30, 2012	May 16, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••• I••••••••• A••••••• S••••••• L••	n/a	No RAUM reported	n/a	N	no	n/a
S••• I••••••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Greer	Sc	United States	2	yes
Dallas	TX	United States	1	yes
Mckinney	TX	United States	1	yes
Richardson	TX	United States	1	yes
Seabrook	TX	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
2	2	0	12.5%	1	1	0	5	9

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	$256M	$229M	11.7%	$256M	0.0%	33	28	3	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Aug 7, 2018	Aug 6, 2018	SAN ANTONIO, TX	Team lift out	RIA to RIA	8.0%
I••••••••• C•••••• O• A••••••• I•••	2	Sep 1, 2015	Sep 9, 2015

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• A•••• M••••••••• I•••	2	Aug 18, 2015	Aug 17, 2015	BOERNE, TX	Team lift out	Other	2.2%

Relationships

showing 80 of 117

Affiliated with (2)

← S••• I••••••••• A••••••• S••••••• L••Registered adviserother investment adviser
factForm ADV
→ S••• I••••••••• A••••••• S••••••• L••Registered adviserother investment adviser, LP sponsor
factForm ADV

Registered with (65)

← C•••••• R•••••• K•••••Advisorregistration: current employment
Aug 21, 2026 to presentfactForm ADV
←

Dated events

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

Occurred
Jul 10, 2026
Advisor changed firm
Michael Anthony Walters left S••• I••••••••• C•••••• for Prosperitas Financial, Llc (registered 2026-07-29)
Form ADVobserved 7 days ago
Occurred
Jan 6, 2026
Advisor changed firm
Matthew Kalinowski left S••• I••••••••• C•••••• for J.P. Morgan Securities Llc (registered 2026-01-15)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2025
Regulatory AUM changed
S••• I••••••••• C•••••• reported RAUM $229.2M, down 34% from $345.8M (2024-05-16 to 2025-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b223123-d3f0-d816-b023-70d1a97f6c0b
First observed: Mar 30, 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.