DFX Intelligence

G•• W••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G•• W••••• M••••••••• I•••

CRD 145049

HOUSTON, TX

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Search this name across graphsid dfx:ria:65d9e5d4-9370-f564-276d-46ec6b1fb969

Data as of Sep 3, 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: 21
Dated events: 12
On other graphs: 0
Observed: Mar 9, 2020 to Sep 3, 2026
29 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=0.71 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=10.0
Regulatory AUM: $346M••• Locked
Discretionary RAUM: $307M
Private client RAUM: $247Mderived••• Locked
Private client share: 71%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $34.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••••• C••• A••••	Chartered Financial Analyst	HOUSTON, TX	4	14	n/a	yes
R••• A••••• F••••• A•••••	n/a	HOUSTON, TX \| HUXQUILUCAN	3	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• A••••• R•••••••	President	Na	yes	06/2022	Mar 10, 2022	Oct 21, 2024
C••••••••• G••• S••••• D• C•••	Shareholder	E	yes	03/1999	Mar 9, 2020	Oct 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
I•••• A•••••••• L••	n/a	Former SEC adviser	$136M	N	yes	n/a
G•• G•••• B••••••• M••••••• S• D• C•• C••• D• B••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 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
1	0	1	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	$346M	$218M	59.1%	n/a	n/a	10	7	0	0

Relationships

Affiliated with (3)

→ I•••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← I•••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← G•• W••••• M••••••••• S• D• R••• D• C•••Registered adviserother investment adviser, common control
factForm ADV

Registered with (10)

← V•••••••• N•• B••••• M•••••••

Dated events

Occurred
Sep 3, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Sep 3, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Sep 3, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 31, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65d9e5d4-9370-f564-276d-46ec6b1fb969
First observed: Mar 9, 2020
Last observed: Sep 3, 2026 20 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.