DFX Intelligence

M• E• A•••••• • C••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M• E• A•••••• • C••• I•••

CRD 1047

SAN ANTONIO, TX

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Search this name across graphsid dfx:ria:c140470c-c255-aafe-1695-34e3d085243c

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 0
Observed: Feb 28, 2024 to Jun 8, 2026
11 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=0.83 fund_share=0.0 institutional_share=0.17 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $366M••• Locked
Discretionary RAUM: $303M
Private client RAUM: $303Mderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 11
RAUM per advisor: $33.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• R••••• A••••••	Certified Financial Planner	SAN ANTONIO, TX	33	34	n/a	yes
C•••••• B•••••• A••••••	Certified Financial Planner	SAN ANTONIO, TX	21	23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• B••••••	Director	C	yes	03/2007	Feb 28, 2024	Oct 25, 2024
A••••••• C••••••••• R•••••	CEO/CCO	C	yes	01/2022	Feb 28, 2024	Oct 25, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CORPUS CHRISTI	TX	United States	2	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 4, 2026

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	$366M	$287M	27.5%	n/a	n/a	12	13	1	1

Relationships

Registered with (12)

← H•••• J• P•••••Advisorregistration: current employment
Apr 3, 2022 to presentfactForm ADV
← C•••• R••••Advisorregistration: current employment
Jan 5, 2022 to presentfactForm ADV
← L•••• A•••• M•••••Advisorregistration: current employment
Jan 3, 2022 to presentfactForm ADV
← R•••••• S•••• B•••••Advisor

Dated events

Occurred
Mar 24, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$142M
Occurred
Feb 28, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c140470c-c255-aafe-1695-34e3d085243c
First observed: Feb 28, 2024
Last observed: Jun 8, 2026 3 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.