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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT, LLC, CRD 166970

DALLAS, 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:77efdf76-da0b-ac88-6053-907ac06a6c91

Data as of Jul 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 8
On other graphs: 0
Observed: Jul 30, 2021 to Jul 27, 2026
18 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $288MItem 5.F on the latest filing (2026-07-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $288M
Private client RAUM: $288MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $28.8Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 12
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 333
Individual clients: 247
High net worth clients: 82
SEC number: 801-122206
CRD: 166970
Filings on the tape: 18
First filed: Jul 30, 2021
Latest filed: Jul 27, 2026
Organised: Limited Liability Company, TX
Website: worthassetmgmt.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES WILLARD CLARK	n/a	DALLAS, TX	13	34	5	no
JOHN DAVID HALE	n/a	DALLAS, TX \| WAXAHACHIE, TX	12	20	2	no
Alton Barrett Thompson	n/a	Frisco, TX \| DALLAS, TX	7	11	1	no
BETH ANN JOHNSON	n/a	DALLAS, TX	6	18	3	no
PHILIP JOSEPH FLOYD	Certified Financial Planner	DALLAS, TX	5	25	4	no
JOSEPH ANTHONY DOWDALL	Certified Financial Planner	DALLAS, TX	5	20	3	no
JEFFREY MEAD BURANDT	Certified Financial Planner	PROSPER, TX \| DALLAS, TX	5	32	4	no
JAMES FRANCIS STEWART	n/a	DALLAS, TX	5	29	n/a	no
NATALIE M FLOYD	n/a	DALLAS, TX \| Carrollton, TX	3	11	n/a	no
CODY AARON MASON	Certified Financial Planner	DALLAS, TX	0	20	4	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CLARK FAMILY LIVING TRUST	OWNER/MANAGING MEMBER	E	yes	01/2023	Feb 3, 2023	Apr 2, 2024
CLARK, JAMES, WILLARD	MANAGING MEMBER	B	yes	03/2013	Jul 30, 2021	Apr 2, 2024
GESIN, LISA, LEE	Cco	Na	yes	11/2022	Nov 16, 2022	Apr 2, 2024
SOUTHOCEAN MANAGEMENT, INC.	Member	B	yes	03/2013	Jul 30, 2021	Apr 2, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 15, 2026	$288M	$288M	12	8	0	n/a	n/a
2024	Feb 12, 2025	$270M	$248M	10	7	0	n/a	n/a
2023	Feb 1, 2024	$274M	$256M	10	7	1	n/a	n/a
2022	Feb 3, 2023	$247M	$232M	8	7	1	n/a	n/a
2021	Mar 1, 2022	$205M	$186M	8	7	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$288M	$270M	6.7%	$247M	5.2%	12	10	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RETIREMENT PLANNERS OF AMERICA	2	Feb 18, 2021	Feb 5, 2021	COPPELL, TX	Team lift out	RIA to RIA	6.7%

Relationships

Registered with (11)

← CODY AARON MASONAdvisorregistration: current employment
Oct 15, 2025 to presentfactForm ADV
← NATALIE M FLOYDAdvisorregistration: current employment
Jul 7, 2023 to presentfactForm ADV
← JAMES FRANCIS STEWARTAdvisorregistration: current employment
Sep 14, 2021 to presentfactForm ADV
← JEFFREY MEAD BURANDTAdvisorregistration: current employment
Jun 3, 2021 to presentfactForm ADV
← PHILIP JOSEPH FLOYDAdvisorregistration: current employment
Feb 5, 2021 to presentfactForm ADV
← JOSEPH ANTHONY DOWDALLAdvisorregistration: current employment
Feb 5, 2021 to presentfactForm ADV
← BETH ANN JOHNSONAdvisorregistration: current employment
Feb 25, 2020 to presentfactForm ADV
← Alton Barrett ThompsonAdvisorregistration: current employment
Apr 10, 2019 to presentfactForm ADV
← JOHN DAVID HALEAdvisorregistration: current employment
Jan 2, 2014 to presentfactForm ADV
← JAMES WILLARD CLARKAdvisorregistration: current employment
Jun 6, 2013 to presentfactForm ADV
← ANDREW CHRISTOPHER HUNTAdvisorregistration: previous registration
Apr 24, 2023 to Aug 9, 2024factForm ADV

Controls (4)

← CLARK, JAMES, WILLARDOwnerMANAGING MEMBER, ownership code B, individual
Jul 30, 2021 to Apr 2, 2024factForm ADV
← GESIN, LISA, LEEOwnerCCO, ownership code NA, individual
Nov 16, 2022 to Apr 2, 2024factForm ADV
← CLARK FAMILY LIVING TRUSTOwnerOWNER/MANAGING MEMBER, ownership code E, domestic entity
Feb 3, 2023 to Apr 2, 2024factForm ADV
← SOUTHOCEAN MANAGEMENT, INC.OwnerMEMBER, ownership code B, domestic entity
Jul 30, 2021 to Apr 2, 2024factForm ADV

Moved with (1)

← RETIREMENT PLANNERS OF AMERICARegistered adviser2 advisors, team lift out, same day
Feb 18, 2021 to Feb 5, 2021factForm ADV

Dated events

Occurred
Feb 25, 2026
Advisor headcount changed
Worth Asset Management reported 10 state-registered advisory representatives, up from 0 (2025-10-01 to 2026-02-25)
Form ADVobserved 5 days ago
10 IARS
Occurred
Aug 9, 2024
Advisor changed firm
Andrew Christopher Hunt left Worth Asset Management for Mcelhenny Sheffield Capital Management, Llc (registered 2024-08-14)
Form ADVobserved 5 days ago
Occurred
Feb 13, 2024
Control person joined
Willard James Clark (Managing Member) appeared on Schedule A of Worth Asset Management
Form ADVobserved 5 days ago
Occurred
Feb 3, 2023
Control person left
Willard James Clark (Managing Director) no longer on Schedule A of Worth Asset Management (listed 2022-11-16, absent 2023-02-03)
Form ADVobserved 5 days ago
Occurred
Nov 16, 2022
Control person joined
Lee Lisa Gesin (Cco) appeared on Schedule A of Worth Asset Management
Form ADVobserved 5 days ago
Occurred
Apr 21, 2022
Control person left
Wildey Charles Waring (President) no longer on Schedule A of Worth Asset Management (listed 2022-03-01, absent 2022-04-21)
Form ADVobserved 5 days ago
Occurred
Jul 30, 2021
Succession filed (Item 4)
Worth Asset Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago
Occurred
Jul 30, 2021
First Form ADV filing
Worth Asset Management filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77efdf76-da0b-ac88-6053-907ac06a6c91
First observed: Jul 30, 2021
Last observed: Jul 27, 2026 55 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.

WORTH ASSET MANAGEMENT

WORTH ASSET MANAGEMENT, LLC, CRD 166970

DALLAS, 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:77efdf76-da0b-ac88-6053-907ac06a6c91

Data as of Jul 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:51 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES WILLARD CLARK

n/a

DALLAS, TX

JOHN DAVID HALE

n/a

DALLAS, TX | WAXAHACHIE, TX

Alton Barrett Thompson

n/a

Frisco, TX | DALLAS, TX

BETH ANN JOHNSON

n/a

DALLAS, TX

PHILIP JOSEPH FLOYD

Certified Financial Planner

DALLAS, TX

JOSEPH ANTHONY DOWDALL

Certified Financial Planner

DALLAS, TX

JEFFREY MEAD BURANDT

Certified Financial Planner

PROSPER, TX | DALLAS, TX

JAMES FRANCIS STEWART

n/a

DALLAS, TX

n/a

NATALIE M FLOYD

n/a

DALLAS, TX | Carrollton, TX

n/a

CODY AARON MASON

Certified Financial Planner

DALLAS, TX

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CLARK FAMILY LIVING TRUST

OWNER/MANAGING MEMBER

yes

01/2023

Feb 3, 2023

Apr 2, 2024

CLARK, JAMES, WILLARD

MANAGING MEMBER

yes

03/2013

Jul 30, 2021

Apr 2, 2024

GESIN, LISA, LEE

Cco

yes

11/2022

Nov 16, 2022

Apr 2, 2024

SOUTHOCEAN MANAGEMENT, INC.

Member

yes

03/2013

Jul 30, 2021

Apr 2, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Apr 15, 2026

$288M

n/a

2024

Feb 12, 2025

$270M

$248M

n/a

2023

Feb 1, 2024

$274M

$256M

n/a

2022

Feb 3, 2023

$247M

$232M

n/a

2021

Mar 1, 2022

$205M

$186M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$288M

$270M

6.7%

$247M

5.2%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RETIREMENT PLANNERS OF AMERICA

Feb 18, 2021

Feb 5, 2021

COPPELL, TX

Team lift out

RIA to RIA

6.7%