DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E•••••••• A••••••• S•••••••• L••

CRD 283574

KATY, TX

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Search this name across graphsid dfx:ria:645a836b-908e-1555-6d67-629b6cd50147

Data as of Sep 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Apr 24, 2025 to Sep 17, 2026
7 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $121M••• Locked
Discretionary RAUM: $53.1M
Private client RAUM: $120Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $17.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••••• E••••• D•••••	n/a	KATY, TX	9	27	1	no
J••• L•• P•••••••	n/a	KATY, TX	8	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• D••••• M•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2024	Sep 10, 2026	Sep 10, 2026
C••••••• J••••• W•••••	PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MANAGER	E	yes	03/2024	Sep 10, 2026	Sep 10, 2026

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	1	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	$121M	$103M	18.2%	n/a	n/a	14	12	0	0

Relationships

Controls (3)

← B••••••• D••••• M•••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 10, 2026 to presentfactForm ADV
← C••••••• J••••• W•••••OwnerPRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, MANAGER, ownership code E, individual
Sep 10, 2026 to presentfactForm ADV
← S•••••••• D••••• J••OwnerPARTNER, MEMBER, ownership code NA, individual
Sep 10, 2026 to presentfactForm ADV

Owns (1)

← P••••• T•••••• H•••••OwnerPARTNER, MEMBER, ownership code A, individual

Dated events

Occurred
Jan 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:645a836b-908e-1555-6d67-629b6cd50147
First observed: Apr 24, 2025
Last observed: Sep 17, 2026 5 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.