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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A•••• A•••• A••••••• L••

CRD 120573

DALLAS, TX

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Search this name across graphsid dfx:ria:f5aebd5f-dc7e-6ae0-888d-f953e3f234fe

Data as of Jan 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jan 19, 2012 to Jan 7, 2026
22 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: $839MItem 5.F on the latest filing (2026-01-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $822M
Private client RAUM: $839MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••• S• A••••	n/a	DALLAS, TX	24	24	n/a	no
S••••• A••••	n/a	DALLAS, TX	21	38

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• L••••• S•	Member	C	yes	04/2002	Jan 19, 2012	Jun 12, 2024
A••••• S•••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	03/2005	Jan 19, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$839M	$912M	-8.0%	$827M	0.5%	4	4	0	0

Relationships

Registered with (2)

← S••••• A••••Advisorregistration: current employment
Mar 29, 2005 to presentfactForm ADV
← L•••• S• A••••Advisorregistration: current employment
Jun 25, 2002 to presentfactForm ADV

Controls (2)

← A••••• L••••• S•OwnerMEMBER, ownership code C, individual
Jan 19, 2012 to Jun 12, 2024factForm ADV
← A••••• S•••••Owner

Dated events

Occurred
Jan 10, 2022
Regulatory AUM changed
A•••• A•••• A••••••• L•• reported RAUM $673.2M, up 27% from $531.0M (2021-01-06 to 2022-01-10)
Form ADVobserved 7 days ago
$142M
Occurred
Jan 6, 2021
Regulatory AUM changed
A•••• A•••• A••••••• L•• reported RAUM $531.0M, down 38% from $853.0M (2020-05-28 to 2021-01-06)
Form ADVobserved 7 days ago
$-322M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f5aebd5f-dc7e-6ae0-888d-f953e3f234fe
First observed: Jan 19, 2012
Last observed: Jan 7, 2026 8 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.

2025	Jan 7, 2026	$839M	$822M	4	1	0	n/a	n/a
2024	Apr 8, 2025	$912M	$885M	4	1	0	n/a	n/a
2023	Jan 8, 2024	$892M	$868M	4	2	0	n/a	n/a
2022	Jan 9, 2023	$827M	$805M	4	2	0	n/a	n/a
2021	Jan 10, 2022	$673M	$650M	4	3	0	n/a	n/a
2020	Jan 6, 2021	$531M	$511M	4	3	0	n/a	n/a
2019	Jan 7, 2020	$853M	$12.4M	4	3	0	n/a	n/a
2018	Jan 9, 2019	$841M	$831M	4	3	0	n/a	n/a
2017	Jan 12, 2018	$973M	$963M	4	3	0	n/a	n/a
2016	Jan 17, 2017	$923M	$865M	4	3	n/a	n/a	n/a
2015	Jan 15, 2016	$722M	$679M	4	3	n/a	n/a	n/a
2014	Jan 6, 2015	$829M	$748M	4	3	n/a	n/a	n/a
2013	Jan 17, 2014	$1.1B	$1.0B	4	3	n/a	n/a	n/a
2012	Jan 18, 2013	$1.4B	$1.3B	4	3	n/a	n/a	n/a
2011	Jan 19, 2012	$1.4B	$1.4B	n/a	n/a	n/a	n/a	n/a