DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A•••••• C•••••• M•••••••••
Latest filing Mar 10, 2026
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since Nov 16, 1987
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.1B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.2B as of Mar 10, 2026
Mar 28, 2012$399M then
HNW client RAUM$591M as of Mar 10, 2026
Mar 26, 2018$345M then
State-registered IARs (5.B.3)5 as of Mar 10, 2026
Mar 25, 20133 then
Employees (5.A)9 as of Mar 10, 2026
Mar 25, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+21% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.4MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$591M51%
- Individuals$523M45%
- Pension and profit-sharing plans$27.4M2.4%
- Charitable organizations$14.3M1.2%
- Corporations and businesses$3.8M0.3%
- Individual clients
- 926reported
- HNW clients
- 36reported
- Pension plan clients
- 12reported
- Charitable clients
- 11reported
- Accounts
- 996reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• M•••••• G••••••••Chartered Financial Analyst | Waco, Tx | Mar 3, 2005 | 41 y | 2 |
| T•••• J••• A•••Chartered Financial Analyst | Waco, Tx | Sep 8, 2005 | 36 y | 1 |
| C•••••• G•••••• B•••• | Waco, Tx | May 14, 2012 | 14 y | 0 |
| R••••• M••••• I••••• | Waco, Tx | Mar 15, 2017 | 16 y | 1 |
| A••••• S••••• | Waco, Tx | Jan 28, 2020 | 12 y | 0 |
| L••• P••••• T••••••• | Waco, Tx | Jan 13, 2025 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- J••••• S•••• M•••• to R•••••• P• S•••••••• A••••••••• I•••Nov 14, 2023 · RIA to RIA
- E••••• A•••• S•••• to W••••••• F•••••••• S•••••••• I•••Nov 4, 2011 · Other
Joined, latest
- J••••• S•••• M•••• from C••••• A••••••• L••Dec 16, 2019 · Affiliated broker-dealer or bank to independent RIA
- E••••• A•••• S•••• from O•• A••••••• G••••Feb 18, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• T••••• J••• · Presidentcontrolsince 04/1988 · owns 50% to 75%
- G••••••••• S••••• M•••••• · Vice-Presidentcontrolsince 04/1986 · owns 50% to 75%
- R•••••••• D••••• L• · Cco - Ops Directorsince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Waco, Tx · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 10, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-10, no on the filing of 2026-03-10peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 10, 2026HNW share of RAUM moved from 68.0% to 51.0% between the annual amendments of 2025-03-10 and 2026-03-10peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 970 to 996Mar 10, 2025 to Mar 10, 2026
- Advisory employees · 4 to 5Mar 10, 2025 to Mar 10, 2026
- Charity clients · 15 to 11Mar 10, 2025 to Mar 10, 2026
- Corporate clients · 16 to 11Mar 10, 2025 to Mar 10, 2026
- HNW clients · 157 to 36Mar 10, 2025 to Mar 10, 2026
- Individual clients · 767 to 926Mar 10, 2025 to Mar 10, 2026
- Pension plan clients · 15 to 12Mar 10, 2025 to Mar 10, 2026
- Discretionary RAUM · $1.0B to $1.2BMar 10, 2025 to Mar 10, 2026
- HNW RAUM · $708M to $591MMar 10, 2025 to Mar 10, 2026
- Individual RAUM · $198M to $523MMar 10, 2025 to Mar 10, 2026
- Pension RAUM · $26.2M to $27.4MMar 10, 2025 to Mar 10, 2026
- RAUM · $1.0B to $1.2BMar 10, 2025 to Mar 10, 2026
- Wrap assets (manager) · 209031293.0 to unsetMar 10, 2025 to Mar 10, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 10, 2025 to Mar 10, 2026
- Accounts · 951 to 970Mar 14, 2024 to Mar 10, 2025
- Charity clients · 14 to 15Mar 14, 2024 to Mar 10, 2025
- Corporate clients · 21 to 16Mar 14, 2024 to Mar 10, 2025
- HNW clients · 28 to 157Mar 14, 2024 to Mar 10, 2025
- Individual clients · 869 to 767Mar 14, 2024 to Mar 10, 2025
- Pension plan clients · 19 to 15Mar 14, 2024 to Mar 10, 2025
- Employees · 8 to 9Mar 14, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 10, 2025
- State-registered IARs · 4 to 5Mar 14, 2024 to Mar 10, 2025
- Discretionary RAUM · $896M to $1.0BMar 14, 2024 to Mar 10, 2025
- HNW RAUM · $417M to $708MMar 14, 2024 to Mar 10, 2025
- Individual RAUM · $418M to $198MMar 14, 2024 to Mar 10, 2025
- Pension RAUM · $22.2M to $26.2MMar 14, 2024 to Mar 10, 2025
- RAUM · $896M to $1.0BMar 14, 2024 to Mar 10, 2025
- Wrap assets (manager) · $182M to $209MMar 14, 2024 to Mar 10, 2025
- Accounts · 940 to 951Feb 23, 2023 to Mar 13, 2024
- Advisory employees · 5 to 4Feb 23, 2023 to Mar 13, 2024
- Charity clients · 12 to 14Feb 23, 2023 to Mar 13, 2024
- Corporate clients · 25 to 21Feb 23, 2023 to Mar 13, 2024
- HNW clients · 20 to 28Feb 23, 2023 to Mar 13, 2024
- Individual clients · 865 to 869Feb 23, 2023 to Mar 13, 2024
- Pension plan clients · 18 to 19Feb 23, 2023 to Mar 13, 2024
- Employees · 9 to 8Feb 23, 2023 to Mar 13, 2024
- State-registered IARs · 5 to 4Feb 23, 2023 to Mar 13, 2024
- Discretionary RAUM · $657M to $896MFeb 23, 2023 to Mar 13, 2024
- HNW RAUM · $234M to $417MFeb 23, 2023 to Mar 13, 2024
Signals
3 dated events
- A•••••• C•••••• M••••••••• reported RAUM $896.1M, up 36% from $657.2M (2023-02-23 to 2024-03-13)Mar 13, 2024 · RAUM change · derived
- J••••• S•••• M•••• left A•••••• C•••••• M••••••••• for R•••••• P• S•••••••• A••••••••• I••• (registered 2023-11-20)Nov 14, 2023 · Advisor changed firm · fact
- A•••••• C•••••• M••••••••• reported RAUM $682.1M, up 29% from $528.8M (2019-01-22 to 2020-02-26)Feb 26, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 254-751-0555reportedpublic record, Form ADV, Mar 10, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026