DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M•••• L••• • W•••••• L••

CRD 152841

PLANO, TX

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Search this name across graphsid dfx:ria:a5385a53-12ec-b21c-3467-4467c661078a

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 8
On other graphs: 0
Observed: Mar 10, 2019 to Mar 24, 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=0.56 fund_share=0.0 institutional_share=0.44 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $803M••• Locked
Discretionary RAUM: $803M
Private client RAUM: $453Mderived••• Locked
Private client share: 56%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 23
RAUM per advisor: $34.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••••• M•••••• M•••	Certified Financial Planner	PLANO, TX	16	22	2	no
J•••• S•••••• L•••	n/a	PLANO, TX	16	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• M••• L••	Member	C	yes	01/2013	Mar 10, 2019	Nov 18, 2024
L•••• J••••• S••••••	Member	E	yes	11/2012	Mar 10, 2019	Nov 18, 2024
M••• M••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1	1	4.3%	1	1	0	3	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	$803M	$595M	34.9%	$320M	36.0%	42	35	0	0

Relationships

Registered with (27)

← N••••• T••• H•••••••Advisorregistration: current employment
Aug 30, 2026 to presentfactForm ADV
← E•••• J••••• H•••••Advisorregistration: current employment
Aug 20, 2026 to presentfactForm ADV
← K••• M•••••• S•••••••••Advisorregistration: current employment
Apr 3, 2026 to presentfactForm ADV
← S•••••• N••••

Dated events

Occurred
Aug 28, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 24, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$208M
Occurred
Mar 4, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$160M
Occurred
Mar 21, 2024
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5385a53-12ec-b21c-3467-4467c661078a
First observed: Mar 10, 2019
Last observed: Mar 24, 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.