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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WHEAT GIVENS FINANCIAL, LLC

CRD 114258

MCKINNEY, 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:ac4fee65-57dc-53a5-b88b-2b9dbf6be8da

Data as of Oct 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 6
On other graphs: 0
Observed: Feb 29, 2012 to Oct 29, 2024
15 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $144MItem 5.F on the latest filing (2024-10-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $143MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 721
Individual clients: 211
High net worth clients: 57
SEC number: 801-121906
CRD: 114258
Filings on the tape: 15
First filed: Feb 29, 2012
Latest filed: Oct 29, 2024
Organised: Limited Liability Company, Texas

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
WHEAT, PHIL, DWAYNE	OWNER / ADVISOR / CCO	E	yes	09/1995	Feb 29, 2012	Oct 29, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER	n/a	Independent wealth	$13B	N	no	n/a

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Feb 29, 2024	$144M	$0	4	2	0	n/a	n/a
2022	Mar 27, 2023	$141M	$0	5	2	0	n/a	n/a
2021	Mar 15, 2022	$158M	$0	2	2	0	n/a	n/a
2011	Feb 29, 2012	$44.5M	$0	n/a	n/a	n/a	n/a	n/a

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
2023	$144M	$141M	2.2%	n/a	n/a	4	5	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ALIGN FINANCIAL ADVISORS, LLC	2	Oct 21, 2024	Sep 22, 2025	MCKINNEY, TX	Team lift out	RIA to new firm	100.0%

Relationships

Affiliated with (1)

→ UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERRegistered adviserother investment adviser, broker-dealer
factForm ADV

Controls (1)

← WHEAT, PHIL, DWAYNEOwnerOWNER / ADVISOR / CCO, ownership code E, individual
Feb 29, 2012 to presentfactForm ADV

Moved with (1)

→ ALIGN FINANCIAL ADVISORS, LLCRegistered adviser2 advisors, team lift out
Oct 21, 2024 to Sep 22, 2025factForm ADV

Registered with (2)

← LORI BETH GIVENSAdvisorregistration: previous registration
Feb 10, 2021 to Oct 29, 2024factForm ADV
← KARLA JEANNENE MARTINAdvisorregistration: previous registration
Sep 6, 2024 to Oct 21, 2024factForm ADV

Dated events

Occurred
Oct 29, 2024
Control person left
Beth Lori Givens (Co-Owner / Advisor / Chief Compliance Officer) no longer on Schedule A of Wheat Givens Financial, Llc (listed 2024-02-29, absent 2024-10-29)
Form ADVobserved 3 days ago
Occurred
Oct 29, 2024
Advisor changed firm
Lori Beth Givens left Wheat Givens Financial, Llc for Align Financial Advisors, Llc (registered 2025-09-22)
Form ADVobserved 3 days ago
Occurred
Oct 21, 2024
Team lift-out
2 advisors left Wheat Givens Financial, LLC (Mckinney, TX) for Align Financial Advisors, LLC within 8 days
Form ADVobserved 3 days ago
2 advisors
Occurred
Oct 21, 2024
Advisor changed firm
Karla Jeannene Martin left Wheat Givens Financial, Llc for Align Financial Advisors, Llc (registered 2024-12-05)
Form ADVobserved 3 days ago
Occurred
Jun 29, 2021
Control person joined
Beth Lori Givens (Co-Owner/Advisor) appeared on Schedule A of Wheat Givens Financial, Llc
Form ADVobserved 3 days ago
Occurred
Jun 29, 2021
First Form ADV filing
Wheat Givens Financial, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac4fee65-57dc-53a5-b88b-2b9dbf6be8da
First observed: Feb 29, 2012
Last observed: Oct 29, 2024 22 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.

WHEAT GIVENS FINANCIAL, LLC

CRD 114258

MCKINNEY, 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:ac4fee65-57dc-53a5-b88b-2b9dbf6be8da

Data as of Oct 29, 2024 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:41 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WHEAT, PHIL, DWAYNE

OWNER / ADVISOR / CCO

yes

09/1995

Feb 29, 2012

Oct 29, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

n/a

Independent wealth

$13B

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Feb 29, 2024

$144M

n/a

2022

Mar 27, 2023

$141M

n/a

2021

Mar 15, 2022

$158M

n/a

2011

Feb 29, 2012

$44.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$144M

$141M

2.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ALIGN FINANCIAL ADVISORS, LLC

Oct 21, 2024

Sep 22, 2025

MCKINNEY, TX

Team lift out

RIA to new firm

100.0%