DFX Intelligence

F•••• D••••• S••••••••• I•••: 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

F•••• D••••• S••••••••• I•••

CRD 24549

D•••••, 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 graphs

Data as of Oct 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 10
On other graphs: 0
Observed: Dec 9, 2011 to Oct 31, 2025
45 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=0.85 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=16.0
Regulatory AUM: $336M••• Locked
Discretionary RAUM: $336M
Private client RAUM: $286Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $48.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••••• M•••• D••••••••	n/a	D•••••, TX	5	11	1	yes

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• C•••••••• M••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2021	Mar 18, 2021	Oct 29, 2024
H••••• C•••••• H•••••••• I•••	Shareholder	E	yes	05/1989	Sep 16, 2015	Oct 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••• C•••••• M••••••••• I••	n/a	Mixed wealth	$1.2B	N	yes	n/a

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	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
2024	$336M	$234M	43.3%	$191M	20.6%	20	20	0	0

Relationships

Affiliated with (2)

→ H••••• C•••••• M••••••••• I••Registered adviserother investment adviser, common control
factForm ADV
← H••••• C•••••• M••••••••• I••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Registered with (14)

← C••••• B••••• H•••••••Advisorregistration: current employment
Jul 7, 2025 to presentfactForm ADV
←

Dated events

Order

Occurred
19 Jan 2022
Control person left
••• Locked
Form ADV
Occurred
14 Sep 2021
Control person joined
••• Locked
Form ADV
Occurred
18 Mar 2021
Control person joined
••• Locked
Form ADV
Occurred
18 Mar 2021
Control person left2 events
F•••• D••••• S••••••••• I•••: control person left, 2 events, on 18 Mar 2021
- ••• Locked
- ••• Locked
Occurred
30 Oct 2019
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 9, 2011
Last observed: Oct 31, 2025 10 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.

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Sep 5, 2014	$186M	$186M	26	5	n/a	n/a	n/a
2013	Sep 4, 2013	$163M	$163M	26	5	n/a	n/a	n/a
2012	Aug 30, 2012	$132M	$132M	n/a	n/a	n/a	n/a	n/a