DFX Intelligence

Y••• C•••••• C••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

Y••• C•••••• C••••

TEXAS Y••• C•••••• C••••, CRD 126992

ST. PETERSBURG, FL

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Data as of Aug 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Mar 27, 2012 to Aug 28, 2026
36 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 managerderived••• Locked
Regulatory AUM: $5.6B••• Locked
Discretionary RAUM: $5.6B
Private client RAUM: $5.6Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $1.1Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••• C••••••• P•••	n/a	ST. PETERSBURG, FL	22	32	1	no
A••••• G•••••• H••••••••	n/a	ST. PETERSBURG, FL \| Elgin, TX	18	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• S••••••• H••••••	CHIEF OPERATING OFFICER	Na	yes	01/2021	Aug 28, 2026	Aug 28, 2026
P•••• C•••••• C•••••••	CHIEF COMPLIANCE OFFICER	E	yes	08/2010	Aug 28, 2026	Aug 28, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ST PETERSBURG	FL	United States	1	no
n/a	n/a	n/a	1	no

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
2025	$5.6B	$4.0B	39.0%	$2.7B	27.3%	7	7	3	3

Relationships

Controls (2)

← B••••• S••••••• H••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Aug 28, 2026 to presentfactForm ADV
← P•••• C•••••• C•••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 28, 2026 to presentfactForm ADV

Registered with (7)

← K•••• J•••• C••••••Advisorregistration: current employment
Apr 18, 2023 to presentfactForm ADV
← W••••• M•••• N•••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
28 Aug 2026
Ria principal change
••• Locked
Form ADV
Occurred
18 May 2023
Advisor changed firm
••• Locked
Form ADV

Show 1 bookkeeping event

Occurred
Aug 28, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 27, 2012
Last observed: Aug 28, 2026 27 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 22, 2016	$1.5B	$1.5B	10	5	n/a	n/a	n/a
2014	Mar 26, 2015	$1.7B	$1.7B	10	4	n/a	n/a	n/a
2013	Jan 22, 2014	$1.0B	$1.0B	10	4	n/a	n/a	n/a
2012	Mar 26, 2013	$829M	$828M	12	4	n/a	n/a	n/a
2011	Mar 27, 2012	$706M	$704M	n/a	n/a	n/a	n/a	n/a