DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

P••• D•••• M•••••••• I••

CRD 110417

DALLAS, TX

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Search this name across graphsid dfx:ria:75949109-9741-63b1-45f9-eeb85eed9690

Data as of Mar 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 0
Observed: Mar 6, 2012 to Mar 12, 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=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $227Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• V•• O••••	n/a	DALLAS, TX	39	40	n/a	no
J•••••• W•••••• H•••••••	Chartered Financial Analyst	DALLAS, TX	16	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• R•••••• E•••	VICE PRESIDENT & CHIEF COMPLIANCE OFFICER	Na	yes	05/2020	Mar 12, 2026	Mar 12, 2026
H•••••••• J••••••• W••••••	SENIOR VICE- PRESIDENT AND DIRECTOR	C	yes	05/2020	Mar 12, 2026	Mar 12, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
DEERFIELD BEACH	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$1.4B	$1.3B	8.1%	$716M	24.0%	10	11	1	1

Relationships

Registered with (6)

← E•••••••• G••••• T••••••••Advisorregistration: current employment
Jan 8, 2025 to presentfactForm ADV
← H••• W••••••• R•••••••Advisorregistration: current employment
Sep 28, 2022 to presentfactForm ADV
← C•••••• L•••• N•••••Advisorregistration: current employment
Nov 17, 2015 to presentfactForm ADV
← R••••• E••• F••••

Dated events

Occurred
Apr 16, 2025
Regulatory AUM changed
P••• D•••• M•••••••• I•• reported RAUM $1.3B, up 50% from $843.2M (2024-10-23 to 2025-04-16)
Form ADVobserved 7 days ago
$419M
Occurred
Oct 19, 2022
Control person left
Samuel John Mcfarland (Senior Vice President & Secretary-Treasurer) no longer on Schedule A of P••• D•••• M•••••••• I•• (listed 2022-04-22, absent 2022-10-19)
Form ADVobserved 7 days ago
Occurred
Sep 17, 2020
Control person joined
Earl Robert Felty (Vice President & Chief Compliance Officer) appeared on Schedule A of P••• D•••• M•••••••• I••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75949109-9741-63b1-45f9-eeb85eed9690
First observed: Mar 6, 2012
Last observed: Mar 12, 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.