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
C••••••• I••••••••• M•••••••••
Legal name C••••••• F•••••••• C•••••••••
Latest filing Apr 13, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Dec 1, 1981
RAUM
$376M
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
82%
$309M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$94.1M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$376M as of Apr 13, 2026
Mar 29, 2012$127M then
HNW client RAUM$289M as of Apr 13, 2026
Mar 30, 2018$145M then
State-registered IARs (5.B.3)4 as of Apr 13, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Apr 13, 2026
Mar 27, 20133 then
Private funds: no history
RAUM -6.5% over the last fiscal year+3.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $94.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $995,274derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289M77%
- Pooled investment vehicles$66.2M18%
- Individuals$20.4M5.4%
- Investment companies$664,9900.2%
- Individual clients
- 50reported
- HNW clients
- 75reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 378reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.18 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• B•••• W••• | Dallas, Tx | Mar 31, 1992 | 44 y | 1 |
| J••• A••••• S•••••• | Dallas, Tx | Jun 18, 2004 | 37 y | 0 |
| G•••••• B•••• W••• | Dallas, Tx | Sep 16, 2014 | 12 y | 0 |
| B•••••• E•••••••• S••••• | Dallas, Tx | Jan 1, 2024 | 12 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 headcount0 left over 36 months
Left, latest
- B•••••• A•• H••••• to U••••• C•••••• F•••••••• A•••••••Feb 19, 2019 · Other
Joined, latest
- B•••••• A•• H••••• from C•••••• S••••• • C••• I•••Apr 22, 2008 · Other
- G••• B•••• W••• from C••••••• C•••••• C•••Mar 31, 1992 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• G•••• B•••• · Managing Director And Presidentcontrolsince 10/1981 · owns 50% to 75%
- W•••• G••••••• B•••• · Managing Director And Chief Compliance Officercontrolsince 12/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••• C•••••• C•••••••••investment adviserpooled vehicle sponsorn
- O•••••• C•••••• L••investment adviserpooled vehicle sponsorn
- O•••••• C•••••••••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 380 to 378Oct 20, 2025 to Mar 31, 2026
- HNW clients · 71 to 75Oct 20, 2025 to Mar 31, 2026
- Individual clients · 53 to 50Oct 20, 2025 to Mar 31, 2026
- Employees · 5 to 6Oct 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $328M to $286MOct 20, 2025 to Mar 31, 2026
- HNW RAUM · $318M to $289MOct 20, 2025 to Mar 31, 2026
- Individual RAUM · $24.6M to $20.4MOct 20, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $74.2M to $90.2MOct 20, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $59.0M to $66.2MOct 20, 2025 to Mar 31, 2026
- RAUM · $402M to $376MOct 20, 2025 to Mar 31, 2026
- Accounts · 399 to 380Mar 28, 2024 to Mar 28, 2025
- HNW clients · 65 to 71Mar 28, 2024 to Mar 28, 2025
- Individual clients · 60 to 53Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 1-10Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 4Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $288M to $328MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $282M to $318MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $25.1M to $24.6MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $70.4M to $74.2MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $51.5M to $59.0MMar 28, 2024 to Mar 28, 2025
- RAUM · $359M to $402MMar 28, 2024 to Mar 28, 2025
- Accounts · 140 to 399Nov 30, 2023 to Mar 28, 2024
- Individual clients · 48 to 60Nov 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $265M to $288MNov 30, 2023 to Mar 28, 2024
- HNW RAUM · $267M to $282MNov 30, 2023 to Mar 28, 2024
- Individual RAUM · $23.6M to $25.1MNov 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $76.5M to $70.4MNov 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $50.6M to $51.5MNov 30, 2023 to Mar 28, 2024
- RAUM · $341M to $359MNov 30, 2023 to Mar 28, 2024
- Accounts · 126 to 140Mar 31, 2022 to Mar 31, 2023
- HNW clients · 64 to 65Mar 31, 2022 to Mar 31, 2023
- Individual clients · 51 to 48Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $278M to $265MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $299M to $267MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $23.9M to $23.6MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $87.3M to $76.5MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $42.3M to $50.6MMar 31, 2022 to Mar 31, 2023
- RAUM · $366M to $341MMar 31, 2022 to Mar 31, 2023
- Accounts · 123 to 126Apr 29, 2021 to Mar 31, 2022
Signals
2 dated events
- Arthur John Stetter (Vice President And Director) no longer on Schedule A of C••••••• I••••••••• M••••••••• (listed 2023-03-31, absent 2023-11-30)Nov 30, 2023 · Control person left · inference
- C••••••• I••••••••• M••••••••• reported RAUM $355.5M, up 80% from $198.0M (2020-06-19 to 2021-03-31)Mar 31, 2021 · 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
- Business phone
- 972-701-5400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••••CO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-701-5400reportedpublic record, Form ADV, Apr 13, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $94.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026