DFX Intelligence

R•••••• P• S•••••••• A••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R•••••• P• S•••••••• A••••••••• I•••

CRD 109080

AUSTIN, TX

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Search this name across graphsid dfx:ria:b9b44940-7ed3-8247-df67-ef26f4b0f55f

Data as of Aug 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 7
On other graphs: 1
Observed: Mar 30, 2012 to Aug 27, 2026
55 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R•••••• P• S•••••••• A••••••••• I•••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $905M••• Locked
Discretionary RAUM: $884M
Private client RAUM: $892Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $64.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••••• C•••••• S••••••••	Certified Financial Planner	AUSTIN, TX	33	34	n/a	no
D•••• S•••• A•••••	Certified Financial Planner\|Chartered Financial Analyst	AUSTIN, TX	24	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• D••••• S••••	EXECUTIVE VP OF WEALTH MANAGEMENT AND BUSINESS STRATEGY	Na	yes	06/2004	Mar 30, 2012	Aug 20, 2024
N•••••• A••• M••••••	EXECUTIVE VICE PRESIDENT OF OPERATIONS	Na	yes	06/2011	Mar 30, 2012	Aug 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• R••••••••• P••• A•••••••	n/a	Institutional manager	$336M	N	yes	n/a
S•• E••	n/a	State registered	$40.8M	Y	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
1	2	-1	14.3%	0	0	0	3	2

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	$905M	$864M	4.8%	$730M	7.4%	14	15	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•• R••••••••• P••• A•••••••	2	Apr 13, 2022	May 6, 2022	AUSTIN, TX	Channel change	Other	15.4%

Relationships

Affiliated with (3)

→ S•••••••• I••••••••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
→ R•• R••••••••• P••• A•••••••Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
← R•• R••••••••• P••• A•••••••Registered adviserother investment adviser, common control
factForm ADV

Registered with (21)

← T••••• M•••••

Dated events

Occurred
Oct 22, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 28, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 28, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9b44940-7ed3-8247-df67-ef26f4b0f55f
First observed: Mar 30, 2012
Last observed: Aug 27, 2026 26 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.