DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

D•••• P•••••• W••••• M••••••••• I•••

CRD 328165

AUSTIN, TX

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Search this name across graphsid dfx:ria:a2de73cd-e2e9-c910-4133-a7af2664f0fc

Data as of Apr 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2026 to Apr 6, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $7.0M••• Locked
Discretionary RAUM: $7.0M
Private client RAUM: $7.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 3
Advisory employees: 3

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•• C•••• L•••••••	n/a	AUSTIN, TX	2	22	5	no
R•••••• K••• R••••	n/a	AUSTIN, TX \| LOS ANGELES, CA	2	26

Relationships

Registered with (2)

← R•••••• K••• R••••Advisorregistration: current employment
Jan 4, 2024 to presentfactForm ADV
← J•• C•••• L•••••••Advisorregistration: current employment
Oct 13, 2023 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a2de73cd-e2e9-c910-4133-a7af2664f0fc
First observed: Apr 6, 2026
Last observed: Apr 6, 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.