DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

C•••• C•••••• A•••• M••••••••• L•••••

CRD 309373

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Data as of Feb 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Jan 27, 2021 to Feb 17, 2026
7 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=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $304M••• Locked
Discretionary RAUM: $304M
Private client RAUM: $288Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $304Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•••••••• B•••••	n/a	DALLAS, TX	2	35	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A••••••••	CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER	E	yes	03/1999	Jan 27, 2021	Jul 15, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	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	$304M	$258M	17.8%	$147M	27.5%	1	1	0	0

Relationships

Registered with (1)

← A•••••••• B•••••Advisorregistration: current employment
Aug 21, 2024 to presentfactForm ADV

Controls (1)

← B•••••• A••••••••OwnerCHIEF COMPLIANCE OFFICER AND MANAGING MEMBER, ownership code E, individual
Jan 27, 2021 to Jul 15, 2024factForm ADV

Dated events

Occurred
Jul 15, 2024
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 27, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 27, 2021
Last observed: Feb 17, 2026 7 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.