DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C•••••••• W••••• A•••••••• L••

CRD 164993

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 graphs

Data as of May 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Feb 22, 2021 to May 28, 2026
27 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=0.87 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $466M••• Locked
Discretionary RAUM: $466M
Private client RAUM: $404Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $93.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• A••• D•••••••	n/a	FRISCO, TX	13	14	n/a	no
G••••• K••••• T•••••••	Certified Financial Planner	FRISCO, TX	11	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• C••••• A•••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	08/2012	Feb 22, 2021	Dec 11, 2024
D•••••••• S••••• R••••	DIRECTOR OF OPERATIONS	Na	no	06/2018	Feb 22, 2021	Dec 11, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 29, 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	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	$466M	$313M	49.1%	$222M	28.0%	7	5	1	1

Relationships

Registered with (5)

← E•••••• G••••••Advisorregistration: current employment
Apr 28, 2026 to presentfactForm ADV
← J•••• D•••• D•••••••Advisorregistration: current employment
Oct 27, 2023 to presentfactForm ADV
← N••••••• A••••• B•••••Advisorregistration: current employment
Aug 31, 2015 to presentfactForm ADV
← G••••• K••••• T•••••••

Dated events

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

Order

Occurred
28 May 2026
Ria principal change
••• Locked
Form ADV
Occurred
26 Jan 2022
Regulatory AUM changed
••• Locked
Form ADV
$105M
Occurred
22 Feb 2021
First Form ADV filing
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
May 28, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 22, 2021
Last observed: May 28, 2026 3 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.