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••••• A••••
Legal name A••••• A•••• M••••••••• C•
Latest filing Feb 27, 2026
First filing on the tape Apr 2, 2012 · 46 filings
SEC status approved since Jun 9, 1988
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$1.7B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
21
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$1.9B as of Feb 27, 2026
Apr 2, 2012$463M then
HNW client RAUM$1.6B as of Feb 27, 2026
Mar 13, 2018$736M then
State-registered IARs (5.B.3)12 as of Feb 27, 2026
Apr 1, 20130 then
Employees (5.A)21 as of Feb 27, 2026
Apr 1, 201318 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 14 to 12offices 1 to 0
Practice profile
derived from the filing of Feb 27, 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $948,206derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 15.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $489M, 242 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$1.6B88%
- Charitable organizations$178M9.5%
- Individuals$54.1M2.9%
- Individual clients
- 92reported
- HNW clients
- 355reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 1,974reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $489M for 242 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• E••• H•••••Certified Financial Planner | A•••••, Tx | May 3, 2001 | 19 y | 0 |
| G•••••• S•••• V•• W••Certified Financial Planner | A•••••, Tx | May 20, 2003 | 25 y | 0 |
| J••••••• D•••• D••••••Certified Financial Planner | A•••••, Tx | Oct 25, 2006 | 23 y | 2 |
| J•••• K•• I••••Certified Financial Planner | A•••••, Tx | Jul 2, 2012 | 19 y | 0 |
| W•••••• T••••• W•••Certified Financial Planner | A•••••, Tx | Jul 9, 2012 | 16 y | 0 |
| J•••••• M••••• F••••••Certified Financial Planner | A•••••, Tx | Mar 6, 2020 | 31 y | 2 |
| A•••••••• M••• B•••••••Certified Financial Planner | A•••••, Tx | Mar 12, 2021 | 13 y | 0 |
| L•••• F•••• S••••Certified Financial Planner | A•••••, Tx | Oct 4, 2022 | 10 y | 0 |
| S••••••• K••• G•••• | A•••••, Tx | Mar 20, 2023 | 10 y | 0 |
| Y••••••• C••Certified Financial Planner | A•••••, Tx | Mar 30, 2023 | 10 y | 1 |
| A••••• S•••••• G••••Certified Financial Planner | A•••••, Tx | Dec 8, 2023 | 11 y | 3 |
| J••• D••••• C••••••Chartered Financial Analyst | A•••••, Tx | Nov 27, 2024 | 17 y | 3 |
| P••••• N••••••Certified Financial Planner | A•••••, Tx | Feb 23, 2026 | 13 y | 2 |
| G•••••••• E•••••• P•••••• M••••• | A•••••, Tx | Aug 19, 2026 | 10 y | 1 |
| D•••• S•••• W••••• | A•••••, Tx | Aug 19, 2026 | 15 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- V••••••• B•••• B•••••• to G•••••• S••••• W••••• M••••••••• L••Jul 30, 2025 · RIA to RIA
- D••••• F••• to W••••• B••••• M•••Apr 26, 2024 · RIA to a state-registered adviser
- T••••• J•••• S•••••••• to A•••• F•••••••• A•••••••Mar 8, 2022 · RIA to RIA
- M••••••• C•••••••• M•••• to M••• W••••• M••••••••• L••May 10, 2021 · RIA to RIA
- C•••••• B•••• to B••••••• J•••• L••Sep 29, 2020 · RIA to RIA
- J••••• E•••••• C••••••• to A•• F•••••••• A•••••••• L••Mar 6, 2020 · Other
- S•••• M•••••• E•• to A•••• F•••••••• A•••••••Jun 5, 2018 · RIA to RIA
- D••••• L••••• J••••• to P•••••• W••••• M••••••••• G••••Oct 18, 2017 · Other
- T•••• L••• R••• to L••••••• W••••• M••••••••• L••Aug 31, 2015 · Other
- K•••••• W•••• P•••• to P•• S••••••• C•••••• M••••••••• L••May 7, 2015 · Other
- A•••••••• B••••• Y••••• to E••••••• F••••••••Jul 16, 2014 · Other
- P••••• H•••• F••••••• to C••••••••• A•••••••• I••Jan 3, 2012 · Other
- J•••• G••••• F•••••• to E••••••• W••••• M••••••••• L••Sep 8, 2008 · Other
Joined, latest
- G•••••••• E•••••• P•••••• M••••• from D••••••••• F••• A••••••• L•Aug 19, 2026 · Other
- D•••• S•••• W••••• from T• A••••••••• I••••••••• M••••••••• L••Aug 19, 2026 · RIA to RIA
- P••••• N•••••• from C•• W••••• P••••••• L••Feb 23, 2026 · RIA to RIA
- J••• D••••• C•••••• from W••••••• W••••• M••••••••• L•••••Nov 27, 2024 · RIA to RIA
- A••••• S•••••• G•••• from C•••••• S••••• • C••• I•••Dec 8, 2023 · Affiliated broker-dealer or bank to independent RIA
- Y••••••• C•• from T•• C•••••••• G••••• L••Mar 30, 2023 · RIA to RIA
- D••••• F••• from E•••••• • K••••••••• W••••• M•••••••••Sep 17, 2021 · RIA to RIA
- V••••••• B•••• B•••••• from C•••••• S••••• • C••• I•••Jan 4, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••••• M••••• F•••••• from C•••• C••••••• L••Mar 6, 2020 · RIA to RIA
- C•••••• B•••• from D••••••••• F••• A••••••• L•Apr 10, 2019 · Other
- J••••• E•••••• C••••••• from D••••••••• F••• A••••••• L•May 25, 2017 · Other
- T••••• J•••• S•••••••• from L••••• S••••••• • G••• A••••••• G•••• I••Feb 12, 2015 · Other
- K•••••• W•••• P•••• from R••••••••• W••••• M•••••••••Jun 27, 2007 · Other
- J••••••• D•••• D•••••• from R•• C•••••• M••••••• L••Oct 25, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• J•••••••• D•••• · Chief Investment Officercontrolsince 01/2010 · owns 10% to 25%
- H•••••• W••••••• E••• · Chief Executive Officercontrolsince 07/2000 · owns 25% to 50%
- V•• W••• G••••••• S•••• · Executive Vice President Officercontrolsince 01/2010 · owns 10% to 25%
- B•••••••• A••••••••• M••• · Shareholdersince 01/2023 · owns 5% to 10%
- L••••• A••••••• L•• · Shareholdersince 01/2024 · owns 5% to 10%
- W•••• W••••••• T••••• · Shareholdersince 01/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| A•••••, Tx · principal | 15 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Georgetown, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 27, 2026D••••••• J•••••••• D•••• (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-03-19 and 2026-02-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,243 to 1,974Sep 10, 2025 to Feb 27, 2026
- Advisory employees · 14 to 13Sep 10, 2025 to Feb 27, 2026
- HNW clients · 343 to 355Sep 10, 2025 to Feb 27, 2026
- Individual clients · 96 to 92Sep 10, 2025 to Feb 27, 2026
- Assets in custody · $456M to $489MSep 10, 2025 to Feb 27, 2026
- Employees · 24 to 21Sep 10, 2025 to Feb 27, 2026
- State-registered IARs · 14 to 12Sep 10, 2025 to Feb 27, 2026
- Other offices · 1 to 0Sep 10, 2025 to Feb 27, 2026
- Discretionary RAUM · $1.7B to $1.9BSep 10, 2025 to Feb 27, 2026
- HNW RAUM · $1.5B to $1.6BSep 10, 2025 to Feb 27, 2026
- Individual RAUM · $52.8M to $54.1MSep 10, 2025 to Feb 27, 2026
- RAUM · $1.7B to $1.9BSep 10, 2025 to Feb 27, 2026
- Accounts · 2,310 to 2,243Apr 26, 2024 to Mar 13, 2025
- HNW clients · 327 to 343Apr 26, 2024 to Mar 13, 2025
- Individual clients · 113 to 96Apr 26, 2024 to Mar 13, 2025
- Assets in custody · $350M to $456MApr 26, 2024 to Mar 13, 2025
- Employees · 23 to 24Apr 26, 2024 to Mar 13, 2025
- Financial planning clients · 251-500 to 251-500Apr 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $1.5B to $1.7BApr 26, 2024 to Mar 13, 2025
- HNW RAUM · $1.3B to $1.5BApr 26, 2024 to Mar 13, 2025
- Individual RAUM · $58.6M to $52.8MApr 26, 2024 to Mar 13, 2025
- RAUM · $1.5B to $1.7BApr 26, 2024 to Mar 13, 2025
- Accounts · 2,095 to 2,310Dec 11, 2023 to Mar 19, 2024
- Charity clients · 13 to 11Dec 11, 2023 to Mar 19, 2024
- HNW clients · 299 to 327Dec 11, 2023 to Mar 19, 2024
- Individual clients · 123 to 113Dec 11, 2023 to Mar 19, 2024
- Assets in custody · $150M to $350MDec 11, 2023 to Mar 19, 2024
- Employees · 22 to 23Dec 11, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.3B to $1.5BDec 11, 2023 to Mar 19, 2024
- HNW RAUM · $1.1B to $1.3BDec 11, 2023 to Mar 19, 2024
- Individual RAUM · $69.2M to $58.6MDec 11, 2023 to Mar 19, 2024
- RAUM · $1.3B to $1.5BDec 11, 2023 to Mar 19, 2024
- Accounts · 2,011 to 2,095Oct 5, 2022 to Mar 30, 2023
- Charity clients · 10 to 13Oct 5, 2022 to Mar 30, 2023
- HNW clients · 310 to 299Oct 5, 2022 to Mar 30, 2023
- Individual clients · 102 to 123Oct 5, 2022 to Mar 30, 2023
- Assets in custody · $315M to $150MOct 5, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.4B to $1.3BOct 5, 2022 to Mar 30, 2023
- HNW RAUM · $1.2B to $1.1BOct 5, 2022 to Mar 30, 2023
- Individual RAUM · $57.8M to $69.2MOct 5, 2022 to Mar 30, 2023
Signals
5 dated events
- V••••••• B•••• B•••••• left A••••• A•••• for G•••••• S••••• W••••• M••••••••• L•• (registered 2025-10-13)Jul 30, 2025 · Advisor changed firm · fact
- D••••• F••• left A••••• A•••• for W••••• B••••• M••• (registered 2024-10-22)Apr 26, 2024 · Advisor changed firm · fact
- Lee K•••••• J•••••• (Chief Financial Officer) no longer on Schedule A of A••••• A•••• (listed 2023-12-11, absent 2024-03-19)Mar 19, 2024 · Control person left · inference
- T••••• J•••• S•••••••• left A••••• A•••• for A•••• F•••••••• A••••••• (registered 2022-02-13)Mar 8, 2022 · Advisor changed firm · fact
- Lee K•••••• J•••••• (Chief Financial Officer) appeared on Schedule A of A••••• A••••Mar 14, 2020 · Control person joined · fact
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
- ehehman.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-453-6622reportedpublic record, Form ADV, Feb 27, 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026