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
P••• C••••••• P•••••••
Legal name F•••• E•••••••• D••••••••• C•••
Latest filing May 22, 2026
First filing on the tape Mar 16, 2012 · 68 filings
SEC status approved since Nov 5, 1984
RAUM
$2.8B
reported, Item 5.F
Discretionary
9.3%
of RAUM
Private clients
81%
$2.3B individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$215M
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$2.8B as of May 22, 2026
Mar 16, 2012$1.6B then
HNW client RAUM$2.3B as of May 22, 2026
Mar 23, 2018$1.7B then
State-registered IARs (5.B.3)11 as of May 22, 2026
Mar 18, 20138 then
Employees (5.A)16 as of May 22, 2026
Mar 18, 20138 then
Private funds: no history
RAUM +25% over the last fiscal year-0.7% a year over threeIARs 9 to 11
Practice profile
derived from the filing of May 22, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $215MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.8MderivedHNW RAUM over HNW clients
- Average account
- $23.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 9.3%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $612M, 67 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.3B81%
- Charitable organizations$531M19%
- Individual clients
- n/areported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 120reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $612M for 67 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• L••• C•••••••Chartered Financial Consultant | Houston, Tx | Jan 28, 1997 | 45 y | 0 |
| S•••••• C•••••••• B•••••Chartered Financial Analyst | Houston, Tx | Feb 8, 1999 | 28 y | 0 |
| W••••• F•••• S••••••• | Houston, Tx | Feb 27, 2004 | 22 y | 0 |
| A••••• C••••••• M••• | Houston, Tx | Aug 28, 2008 | 24 y | 0 |
| J•••• A••• C••••• | Houston, Tx | Oct 22, 2009 | 21 y | 0 |
| A••••••••• H••••Chartered Financial Analyst | Houston, Tx | Sep 15, 2017 | 27 y | 0 |
| B•••• K••• C•••••Certified Financial Planner | Houston, Tx | Oct 1, 2019 | 11 y | 1 |
| N••••••• A•••• P•••• | Houston, Tx | Mar 21, 2024 | 10 y | 1 |
| J••••• A•• L•••• | Houston, Tx | Apr 7, 2025 | 12 y | 1 |
| M••• D••••• S••••••••Chartered Financial Analyst | Houston, Tx | May 15, 2025 | 16 y | 0 |
| M•••••• K••• M••••• | Houston, Tx | Feb 26, 2026 | 10 y | 0 |
| J••• A•••••• A••••• | Houston, Tx | Apr 1, 2026 | 13 y | 0 |
| J•••• A••••• C••••••• | Houston, Tx | May 20, 2026 | 10 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
- D•••• E•••• C••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 6, 2023 · RIA to affiliated broker-dealer or bank
- J••• B••••••• G••••••• to B•••••• W••••• A•••••••• L••Jul 23, 2018 · RIA to RIA
- W•••••• F•••••• M••••••• to E••••• J••••Sep 19, 2017 · Other
- R••••• B••••••• B••••• to S••••••• F••••••••• L••• C••Sep 12, 2016 · Other
- W•••••• R••••• B••••• to F••••••• W••••• M••••••••• L••Jul 26, 2016 · Other
- R••••• J••••• A•••••• to L•• F•••••••• L••Jan 2, 2013 · Other
- A••••• D•••• S•••• to B••••••••• L••Dec 2, 2009 · Other
- N•••••• M••••••• K••••••••• to N•••••• M• K•••••••••Aug 20, 2009 · Other
Joined, latest
- J••••• A•• L•••• from F•• C•••Apr 7, 2025 · RIA to RIA
- N••••••• A•••• P•••• from S•••• F•••••••• G••••Mar 21, 2024 · RIA to RIA
- B•••• K••• C••••• from U•• F•••••••• S••••••• I•••Oct 1, 2019 · Wirehouse to independent RIA
- D•••• E•••• C••••••• from W••••• D••••••••• S••••••••• I••••••••• A•••••••• I•••Mar 25, 2019 · Other
- J••• B••••••• G••••••• from B•••••• W••••• A•••••••• L••May 23, 2018 · Other
- W•••••• R••••• B••••• from V•••••• N••••• I••••••••• M••••••••• L•••Jun 1, 2015 · Other
- A••••• D•••• S•••• from U•• F•••••••• S••••••• I•••May 1, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• S••••••• C•••••••• · Director,Cio,Ccocontrolsince 01/2015 · owns less than 5%
- C•••••••• P•••• L••• · Director, Relationship Managercontrolsince 03/2018 · owns 25% to 50%
- M•••• A•••••• C••••••• · Chairman/Ceocontrolsince 03/2018 · owns less than 5%
- M•••• A•••••• C••••••• · Trusteecontrolsince 01/2018 · owns F of A••••• C••••••• M••• S••••••• P••••••• T••••
Entity owners
- A••••• C••••••• M••• S••••••• · Ownerdirect · owns 50% to 75%
- A••••• C••••••• M••• S••••••• P••••••• T•••• · Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 13 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing May 22, 2026RAUM per account of $23,335,097 against a peer median of $813,262 (1333 comparable advisers, 98.0th percentile, 15.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 98% percentile
- control person changedChange between filings · filing May 22, 2026B•••••• S••••••• C•••••••• (DIRECTOR,CIO,CCO) left Schedule A between the filings of 2018-03-23 and 2026-05-22peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Apr 15, 2026 to May 22, 2026
- Employees · 15 to 16Apr 15, 2026 to May 22, 2026
- State-registered IARs · 10 to 11Apr 15, 2026 to May 22, 2026
- Accounts · 118 to 120Jan 16, 2026 to Mar 20, 2026
- Advisory employees · 8 to 10Jan 16, 2026 to Mar 20, 2026
- HNW clients · 105 to 109Jan 16, 2026 to Mar 20, 2026
- Individual clients · 2.0 to unsetJan 16, 2026 to Mar 20, 2026
- Assets in custody · $543M to $612MJan 16, 2026 to Mar 20, 2026
- Employees · 16 to 15Jan 16, 2026 to Mar 20, 2026
- Financial planning clients · 101-250 to 51-100Jan 16, 2026 to Mar 20, 2026
- State-registered IARs · 8 to 10Jan 16, 2026 to Mar 20, 2026
- Discretionary RAUM · $60.6M to $260MJan 16, 2026 to Mar 20, 2026
- HNW RAUM · $1.7B to $2.3BJan 16, 2026 to Mar 20, 2026
- Individual RAUM · 1418587.0 to unsetJan 16, 2026 to Mar 20, 2026
- Non-discretionary RAUM · $2.2B to $2.5BJan 16, 2026 to Mar 20, 2026
- RAUM · $2.2B to $2.8BJan 16, 2026 to Mar 20, 2026
- Advisory employees · 9 to 8Apr 16, 2025 to Jan 16, 2026
- Employees · 17 to 16Apr 16, 2025 to Jan 16, 2026
- State-registered IARs · 9 to 8Apr 16, 2025 to Jan 16, 2026
- Accounts · 114 to 118Oct 25, 2024 to Apr 16, 2025
- Advisory employees · 8 to 9Oct 25, 2024 to Apr 16, 2025
- HNW clients · 103 to 105Oct 25, 2024 to Apr 16, 2025
- Individual clients · unset to 2.0Oct 25, 2024 to Apr 16, 2025
- Assets in custody · $474M to $543MOct 25, 2024 to Apr 16, 2025
- Employees · 16 to 17Oct 25, 2024 to Apr 16, 2025
- Financial planning clients · 101-250 to 101-250Oct 25, 2024 to Apr 16, 2025
- State-registered IARs · 8 to 9Oct 25, 2024 to Apr 16, 2025
- Discretionary RAUM · $3.3M to $60.6MOct 25, 2024 to Apr 16, 2025
- HNW RAUM · $1.6B to $1.7BOct 25, 2024 to Apr 16, 2025
- Individual RAUM · unset to 1418587.0Oct 25, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $2.0B to $2.2BOct 25, 2024 to Apr 16, 2025
- RAUM · $2.0B to $2.2BOct 25, 2024 to Apr 16, 2025
- Advisory employees · 7 to 8Apr 12, 2024 to May 9, 2024
- Employees · 15 to 16Apr 12, 2024 to May 9, 2024
- State-registered IARs · 7 to 8Apr 12, 2024 to May 9, 2024
- Advisory employees · 6 to 7Mar 20, 2024 to Apr 5, 2024
- Employees · 14 to 15Mar 20, 2024 to Apr 5, 2024
- State-registered IARs · 8 to 7Mar 20, 2024 to Apr 5, 2024
- Accounts · 110 to 114Jan 31, 2024 to Mar 20, 2024
- HNW clients · 99 to 103Jan 31, 2024 to Mar 20, 2024
Signals
5 dated events
- P••• C••••••• P••••••• reported RAUM $2.8B, up 25% from $2.2B (2026-01-16 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- P••• C••••••• P••••••• reported RAUM $2.0B, down 29% from $2.9B (2024-01-31 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- D•••• E•••• C••••••• left P••• C••••••• P••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-02-02)Feb 6, 2023 · Advisor changed firm · fact
- Margaret Karen Mcneil (Sec/Treas - Compliance Administrator) no longer on Schedule A of P••• C••••••• P••••••• (listed 2021-11-29, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- Beth Nancy Savoie (Director, Relationship Manager) no longer on Schedule A of P••• C••••••• P••••••• (listed 2020-12-08, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P••• C••••••• P••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- inquiry@paulcomstockpartners.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-877-1363reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-977-2694reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/paulcomstockpartnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-977-2694reportedpublic record, Form ADV, May 22, 2026
- Contact form
- paulcomstockpartners.com/contact-usreportedpublished 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
- $215Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026