DFX Intelligence

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

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RIA / WealthRegistered adviserbank affiliated wealth managerSEC registeredRAUM 100m 1b

S•••••• A•••• M••••••••• L••••••

CRD 115788

L•••••

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Search this name across graphsid dfx:ria:cc07a323-c439-7c0e-2634-f66ab4f631a6

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 23
On other graphs: 0
Observed: Mar 15, 2012 to Mar 19, 2026
45 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: bank affiliated wealth managerderivedprivate_client_share=0.7 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $555M••• Locked
Discretionary RAUM: $555M
Private client RAUM: $390Mderived••• Locked
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $277Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••••••• A••••• J••• W•••	n/a	L•••••	20	28	n/a	no
A••••• C•••• S••••••	n/a	Austin, TX	10	33

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• J• S•••• S•••••• L••• B••••	Shareholder	E	yes	12/1975	Jun 12, 2013	Mar 29, 2024
B••••• M••••••• J•••• G•••••	CHIEF EXECUTIVE OFFICER	Na	yes	11/2000	Mar 15, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••• J• S•••• S•••••• L••• B••••	n/a	n/a	n/a	Y	yes	n/a
S•••••• • P••••••• L••	n/a	n/a	n/a	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
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	$555M	$579M	-4.2%	$555M	-0.0%	7	11	0	0

Relationships

Registered with (2)

← A••••• C•••• S••••••Advisorregistration: previous registration
Mar 3, 2009 to Dec 17, 2010factForm ADV
← N••••••• A••••• J••• W•••Advisorregistration: current employment
Sep 13, 2006 to presentfactForm ADV

Controls (14)

← B••••• M••••••• J•••• G•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 15, 2012 to Mar 29, 2024factForm ADV
← S••••• V••••

Dated events

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

Occurred
Mar 19, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 19, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 19, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc07a323-c439-7c0e-2634-f66ab4f631a6
First observed: Mar 15, 2012
Last observed: Mar 19, 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.