DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R•• W••••• A•••••••• L••

CRD 312072

ROUND ROCK, TX

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Search this name across graphsid dfx:ria:600c56bc-00d3-5e81-c339-147d0357694a

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 16
On other graphs: 0
Observed: Jan 22, 2021 to Mar 27, 2026
18 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: $126M••• Locked
Discretionary RAUM: $93.2M
Private client RAUM: $126Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $42.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• E••••• L••••	n/a	ROUND ROCK, TX \| Round Rock, TX	3	36	5	yes
C••••••••• K••••••• L•••••••••	Certified Financial Planner	Round Rock, TX \| ROUND ROCK, TX	3	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• J•••• E•••••	Manager	E	yes	02/2023	Feb 24, 2023	Oct 9, 2024
M•••• C•••••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2020	Jan 22, 2021	Oct 9, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• F••••••••• L••	n/a	Independent wealth	$1.8B	N	yes	n/a
R•• G••••• R•••••••• L••	n/a	Independent wealth	$928,433	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Durango	Co	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

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	1

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	$126M	$119M	6.5%	$91.9M	11.2%	5	5	1	1

Teams in

••• Locked

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

Relationships

Affiliated with (4)

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

Dated events

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

Occurred
Mar 27, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2026
Ria majority owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:600c56bc-00d3-5e81-c339-147d0357694a
First observed: Jan 22, 2021
Last observed: Mar 27, 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.