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
F•••••••• S••••••••
Legal name F•••••••• S•••••••• W••••• A•••••••• I•••
Latest filing Jun 24, 2026
First filing on the tape Mar 21, 2012 · 58 filings
SEC status approved since Jul 30, 1987
RAUM
$1.8B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$1.8B individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
21
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$1.8B as of Jun 24, 2026
Mar 26, 2012$394M then
HNW client RAUM$1.6B as of Jun 24, 2026
Mar 20, 2018$657M then
State-registered IARs (5.B.3)15 as of Jun 24, 2026
Mar 20, 20134 then
Employees (5.A)21 as of Jun 24, 2026
Mar 20, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Jun 24, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 8.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Financial planning clients
- 900reportedItem 5.H
- Custody
- $358M, 574 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B91%
- Individuals$153M8.5%
- Corporations and businesses$13.8M0.8%
- Individual clients
- 369reported
- HNW clients
- 558reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 928reported
- Financial planning clients
- 900reported
- Wrap fee programs
- noreported
- Custody of client assets
- $358M for 574 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• F••• B•••••Certified Financial Planner, Chartered Financial Consultant | Houston, Tx | Jul 2, 1997 | 40 y | 2 |
| H•••• V••••• H••••••••Certified Financial Planner | Houston, Tx | Mar 22, 2004 | 23 y | 1 |
| B•••• D•••• Z•••••••••Certified Financial Planner | Houston, Tx | Jan 3, 2005 | 22 y | 0 |
| M•••••• A••• M•••••Certified Financial Planner | Houston, Tx | Jan 26, 2010 | 23 y | 0 |
| W•••••• N••• G••••••Certified Financial Planner | Houston, Tx | Jan 21, 2015 | 14 y | 1 |
| B•••••• M•••• V•••••• | Houston, Tx | Jun 17, 2016 | 10 y | 0 |
| K•••• A••••• N•••••Certified Financial Planner | Houston, Tx | Mar 30, 2017 | 19 y | 1 |
| Z•••••• W•••••• R••••••• | Houston, Tx | Jul 28, 2020 | 16 y | 3 |
| G•••• M•••••• B••• | Houston, Tx | Apr 9, 2021 | 12 y | 0 |
| R••••• M•••••• B•••••••Certified Financial Planner | Houston, Tx | Oct 28, 2021 | 14 y | 0 |
| T•••••• R••••• G••••••••• | Houston, Tx | Aug 15, 2022 | 10 y | 0 |
| C••••• A• O•••Certified Financial Planner | Houston, Tx | Aug 21, 2023 | 13 y | 0 |
| M••••• L•••• | Houston, Tx | May 9, 2025 | 26 y | 0 |
| K••••• L•• G•••••Certified Financial Planner | Houston, Tx | Aug 15, 2025 | 12 y | 0 |
| M•••• L•• C•••• | Houston, Tx | Sep 11, 2025 | 12 y | 1 |
| S•• C•••••••••Certified Financial Planner | Houston, Tx | Oct 28, 2025 | 12 y | 4 |
| A•• V••••••Chartered Financial Consultant | Houston, Tx | Oct 29, 2025 | 46 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- J••••• C••••• W••• to Q••••••• W••••• P•••••••• L••Aug 27, 2024 · RIA to RIA
- A••• P••••• L••••••• to T••••••••• T•••• W••••• M••••••••• I•••May 9, 2024 · RIA to RIA
- D••• C•••••••• S•••••• to B••••• F•••••••• A••••••• L••Oct 25, 2023 · RIA to RIA
- J•••• A•••••• S•••••• to M••••• W••••• M••••••••• L••Jun 30, 2022 · RIA to RIA
- A•••• M•• P••••• to A•••••• S•••••••• W•••••• I•••Nov 1, 2021 · RIA to RIA
- S••••• C•••••••• D•••• to L••••• F•••••••• D••••••Mar 31, 2021 · RIA to a state-registered adviser
- B•••• V••••• H•••••••• to A••••••••• F•••••••• S•••••••• L••Sep 15, 2020 · RIA to affiliated broker-dealer or bank
- J•• M•••••• S•••••• to F•••••••• S•••••••• W••••• A•••••••• I•••Jun 26, 2003 · Other
Joined, latest
- A•• V•••••• from F•• A••••••• G••••• I•••Oct 29, 2025 · Other
- S•• C••••••••• from H•••••••• A•••••••• L••Oct 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••• L•• C•••• from W••••• J•••••• W•••••Sep 11, 2025 · RIA to RIA
- Z•••••• W•••••• R••••••• from C•••••• S••••• • C••• I•••Jul 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- K•••• A••••• N••••• from H••••••• W••••• M•••••••••Mar 30, 2017 · Other
- W•••••• N••• G•••••• from F•• S••••••••• C•••••••••Jan 21, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• F••• · President/Shareholdercontrolsince 04/1997 · owns 50% to 75%
- V•••••• S•••••••• B••••••• M•••• · Chief Compliance Officer/Director Of Operationscontrolsince 01/2016 · owns less than 5%
- H••••••••• H••••• V••••• · Financial Advisor/Shareholdersince 06/2003 · owns 10% to 25%
- M•••••• M••••••• A••• · Portfolio Manager/Shareholdersince 02/2003 · owns 10% to 25%
- Z••••••••• B••••• D•••• · Financial Advisor/Shareholdersince 11/2013 · owns 10% to 25%
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 | 17 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tyler, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 879 to 928Aug 12, 2025 to Mar 30, 2026
- Advisory employees · 15 to 16Aug 12, 2025 to Mar 30, 2026
- Charity clients · 2.0 to unsetAug 12, 2025 to Mar 30, 2026
- Corporate clients · 2 to 1Aug 12, 2025 to Mar 30, 2026
- HNW clients · 402 to 558Aug 12, 2025 to Mar 30, 2026
- Individual clients · 473 to 369Aug 12, 2025 to Mar 30, 2026
- Assets in custody · $337M to $358MAug 12, 2025 to Mar 30, 2026
- Employees · 18 to 21Aug 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $1.8BAug 12, 2025 to Mar 30, 2026
- HNW RAUM · $1.3B to $1.6BAug 12, 2025 to Mar 30, 2026
- Individual RAUM · $235M to $153MAug 12, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $6.1M to $13.8MAug 12, 2025 to Mar 30, 2026
- RAUM · $1.6B to $1.8BAug 12, 2025 to Mar 30, 2026
- Financial planning clients · More than 500 to More than 500Apr 21, 2025 to May 12, 2025
- Accounts · 789 to 879Dec 19, 2024 to Apr 21, 2025
- Advisory employees · 14 to 15Dec 19, 2024 to Apr 21, 2025
- Corporate clients · unset to 2.0Dec 19, 2024 to Apr 21, 2025
- HNW clients · 3,330 to 402Dec 19, 2024 to Apr 21, 2025
- Individual clients · 456 to 473Dec 19, 2024 to Apr 21, 2025
- Pension plan clients · 1.0 to unsetDec 19, 2024 to Apr 21, 2025
- Assets in custody · $278M to $337MDec 19, 2024 to Apr 21, 2025
- Employees · 17 to 18Dec 19, 2024 to Apr 21, 2025
- State-registered IARs · 14 to 15Dec 19, 2024 to Apr 21, 2025
- Discretionary RAUM · $1.3B to $1.6BDec 19, 2024 to Apr 21, 2025
- HNW RAUM · $1.1B to $1.3BDec 19, 2024 to Apr 21, 2025
- Individual RAUM · $198M to $235MDec 19, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $0 to $6.1MDec 19, 2024 to Apr 21, 2025
- Pension RAUM · 251.0 to unsetDec 19, 2024 to Apr 21, 2025
- RAUM · $1.3B to $1.6BDec 19, 2024 to Apr 21, 2025
- Accounts · 764 to 789Oct 25, 2023 to Mar 11, 2024
- Advisory employees · 15 to 14Oct 25, 2023 to Mar 11, 2024
- HNW clients · 300 to 3,330Oct 25, 2023 to Mar 11, 2024
- Individual clients · 460 to 456Oct 25, 2023 to Mar 11, 2024
- Pension plan clients · 2 to 1Oct 25, 2023 to Mar 11, 2024
- State-registered IARs · 15 to 14Oct 25, 2023 to Mar 11, 2024
- Discretionary RAUM · $1.1B to $1.3BOct 25, 2023 to Mar 11, 2024
- HNW RAUM · $902M to $1.1BOct 25, 2023 to Mar 11, 2024
- Individual RAUM · $177M to $198MOct 25, 2023 to Mar 11, 2024
- Pension RAUM · $9.8M to $251Oct 25, 2023 to Mar 11, 2024
- RAUM · $1.1B to $1.3BOct 25, 2023 to Mar 11, 2024
Signals
5 dated events
- J••••• C••••• W••• left F•••••••• S•••••••• for Q••••••• W••••• P•••••••• L•• (registered 2024-11-08)Aug 27, 2024 · Advisor changed firm · fact
- A••• P••••• L••••••• left F•••••••• S•••••••• for T••••••••• T•••• W••••• M••••••••• I••• (registered 2024-07-29)May 9, 2024 · Advisor changed firm · fact
- D••• C•••••••• S•••••• left F•••••••• S•••••••• for B••••• F•••••••• A••••••• L•• (registered 2024-02-21)Oct 25, 2023 · Advisor changed firm · fact
- J•••• A•••••• S•••••• left F•••••••• S•••••••• for M••••• W••••• M••••••••• L•• (registered 2023-06-16)Jun 30, 2022 · Advisor changed firm · fact
- F•••••••• S•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 20, 2018 · Succession (Item 4) · 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
- Business phone
- 713-623-6600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/financialsynergiesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FINSYN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-623-6600reportedpublic record, Form ADV, Jun 24, 2026
- Team page
- FINSYN.COM/our-teamreportedpublished 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026