DFX Intelligence

R••• F•••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

R••• F•••••••• G••••• L••

CRD 144560

AUSTIN, TX

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Search this name across graphsid dfx:ria:d32751d8-6f3b-0e41-77c3-756c43d4c79a

Data as of Aug 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 3
On other graphs: 0
Observed: Mar 10, 2020 to Aug 20, 2026
24 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $648M••• Locked
Discretionary RAUM: $648M
Private client RAUM: $646Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $92.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
H••••• S••••• H•••••••	n/a	AUSTIN, TX \| Georgetown, TX	16	18	n/a	no
C••••••••• B•••• H•••••••	n/a	AUSTIN, TX \| Georgetown, TX	10	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• C••••••••• B••••	Member	F	yes	02/2018	Mar 10, 2020	Jun 27, 2024
H•••••••• C••••••••• B••••	Partner	Na	yes	02/2018	Mar 10, 2020	Jun 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••• I•••••••• G••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Austin	TX	United States	7	no
Georgetown	TX	United States	7	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
2025	Mar 5, 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
1	0	1	0.0%	1	0	0	1	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	$648M	$510M	27.1%	$381M	19.4%	28	24	3	3

Relationships

Registered with (16)

← S•••••••• A••• R•••Advisorregistration: current employment
Aug 25, 2026 to presentfactForm ADV
← M••••• F•••• H•••••Advisorregistration: current employment
Dec 12, 2022 to presentfactForm ADV
← J••••• B•••• S•••••Advisorregistration: current employment
Jun 6, 2019 to presentfactForm ADV
← C••••••••• J••• H••••

Dated events

Occurred
Mar 5, 2026
Regulatory AUM changed
R••• F•••••••• G••••• L•• reported RAUM $648.2M, up 27% from $510.2M (2025-08-27 to 2026-03-05)
Form ADVobserved 7 days ago
$138M
Occurred
Feb 12, 2024
Control person left
Kay Sandra Newman (Co-Founder) no longer on Schedule A of R••• F•••••••• G••••• L•• (listed 2023-11-22, absent 2024-02-12)
Form ADVobserved 7 days ago
Occurred
Mar 10, 2020
First Form ADV filing
R••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d32751d8-6f3b-0e41-77c3-756c43d4c79a
First observed: Mar 10, 2020
Last observed: Aug 20, 2026 33 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.