DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

S••••••••• A•••••••• I•••

CRD 142095

AUSTIN, TX

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 graphsid dfx:ria:74c5d05f-00b0-6489-1845-30c5d9713704

Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 9
On other graphs: 0
Observed: Jun 22, 2023 to Apr 16, 2026
10 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: mixed wealth managerderivedprivate_client_share=0.31 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=23.0
Regulatory AUM: $399M••• Locked
Discretionary RAUM: $108M
Private client RAUM: $123Mderived••• Locked
Private client share: 31%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 21
RAUM per advisor: $19.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••••• A•• S••••••••	n/a	BAYVILLE, NJ \| AUSTIN, TX	9	21	1	yes
E••••• P••• K•••••••••	Chartered Financial Analyst	HILLSDALE, NJ \| AUSTIN, TX	9	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J••••• D••••• B••••••	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/PRESIDENT	Na	yes	06/2017	Jun 22, 2023	Sep 26, 2024
S••••••••• H•••••••• L••	Owner	E	yes	10/2016	Jun 22, 2023	Sep 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• C•••••• M••••••• I•••	n/a	n/a	n/a	N	yes	n/a
S••••••••• I••••••••• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN JUAN	Pr	United States	7	yes
BOLEITA NORTE CARACAS	n/a	Venezuela	3	yes
Guaynabo	Pr	United States	2	yes
CORAL GABLES	FL	United States	1	yes
BUENOS AIRES	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 16, 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
2	0	2	0.0%	0	0	0	4	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	$399M	$155M	156.8%	n/a	n/a	25	21	12	10

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• S••••••	2	Oct 26, 2022	Nov 2, 2022	ORLANDO, FL	Team lift out	Wirehouse to RIA	0.0%
I••••••••• A••••••• A•••• M••••••••• L••	2	Aug 19, 2016	Oct 18, 2016

Relationships

Registered with (25)

← A•• G••••••Advisorregistration: current employment
Nov 25, 2025 to presentfactForm ADV
← F•••••••• J••••• L•••••••Advisorregistration: current employment
Nov 17, 2025 to presentfactForm ADV
← J••••• A••••• R••••••••Advisorregistration: current employment
Nov 13, 2025 to presentfactForm ADV
← D•••• W•••••

Dated events

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

Occurred
Apr 16, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$244M
Occurred
Apr 16, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Apr 16, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74c5d05f-00b0-6489-1845-30c5d9713704
First observed: Jun 22, 2023
Last observed: Apr 16, 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.