DFX Intelligence

H•••••• W••••• M••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H•••••• W••••• M••••••••• I••

H•••••• W••••• M••••••••• I••., CRD 108294

AUSTIN, TX

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Search this name across graphsid dfx:ria:f59ef663-cfd0-a118-ee0e-b57df0f51feb

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 9
On other graphs: 0
Observed: Feb 9, 2012 to Sep 9, 2026
41 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=0.77 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $211M••• Locked
Discretionary RAUM: $148M
Private client RAUM: $163Mderived••• Locked
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $52.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••• B••••• H••••••	n/a	Austin, TX	30	41	1	no
B•••• W•••••• H••••••	n/a	AUSTIN, TX	1	12

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••••• D••••••••• F••• I•• L•	Other Private Fund	$2.3M	Sep 17, 2015	125	Feb 9, 2012	dropped	021-812192
P••••••••• S•••••••• A••••••••• T••••	Other Private Fund	$1.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• D•••• B•••••	CHIEF COMPLIANCE OFFICER	E	yes	08/1995	Feb 9, 2012	Mar 27, 2024
D•••••• P••••••• R••	VICE PRESIDENT	Na	no	05/2011	Feb 9, 2012	Mar 27, 2024

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	2	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	$211M	$72.8M	190.1%	$153M	11.3%	5	2	0	0

Relationships

Registered with (6)

← C•••• A•••••• B••••Advisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← S•••••• P••• W•••••Advisorregistration: previous registration
Mar 24, 2000 to Mar 14, 2023factForm ADV
← B•••• W•••••• H••••••Advisorregistration: current employment
Jul 21, 2025 to presentfactForm ADV
← D••• B••••• H••••••

Dated events

Occurred
Sep 9, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Sep 9, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Sep 9, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Sep 9, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f59ef663-cfd0-a118-ee0e-b57df0f51feb
First observed: Feb 9, 2012
Last observed: Sep 9, 2026 14 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.