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
W•••••• P•••••••
Legal name W•••••• I••••••••• M••••••••• I•••
Latest filing Jun 16, 2026
First filing on the tape Mar 1, 2012 · 28 filings
SEC status approved since Jul 19, 1979
RAUM
$2.5B
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
62%
$1.5B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$496M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.5B as of Jun 16, 2026
Mar 1, 2012$447M then
HNW client RAUM$1.5B as of Jun 16, 2026
Feb 7, 2018$448M then
State-registered IARs (5.B.3)4 as of Jun 16, 2026
Mar 1, 20120 then
Employees (5.A)9 as of Jun 16, 2026
Jan 28, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 16, 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
- $496MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $784M, 294 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B61%
- Pension and profit-sharing plans$490M20%
- Charitable organizations$433M17%
- Individuals$19.2M0.8%
- Corporations and businesses$16.3M0.7%
- Individual clients
- 51reported
- HNW clients
- 202reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,533reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $784M for 294 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.37 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••• H••• G••••• | Bryan, Tx | Apr 1, 2003 | 45 y | 1 |
| G•••• M••••••• S•••••Certified Financial Planner | Bryan, Tx | Oct 21, 2020 | 14 y | 2 |
| R••• H••••••• W•••••••Chartered Financial Analyst | Bryan, Tx | Feb 26, 2025 | 13 y | 0 |
| T••••• E••••• F•••• | Bryan, Tx | May 22, 2025 | 14 y | 0 |
| F••••••• T••••• F•••••• | Bryan, Tx | Aug 10, 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
none on the tape
Joined, latest
- G•••• M••••••• S••••• from B••••• W•••••• L••Oct 21, 2020 · RIA to RIA
- C••••••• H••• G••••• from A•••••••• C•••••• C•••••••••Apr 1, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C•••••••• H••• · President And Shareholdercontrolsince 09/1991 · owns 50% to 75%
- S••••••• R•••••• B•••• · Vice Presidentcontrolsince 12/2005 · owns 50% to 75%
- W•••••••• R•••• H••••••• · Chief Investment Officer, Shareholdercontrolsince 02/2025 · owns 10% to 25%
- K•••••• J•••••• · Chief Compliance Officersince 04/2026 · owns less than 5%
- S•••••• G••••• M••••••• · Shareholdersince 01/2024 · 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 |
|---|---|---|---|---|---|
| Bryan, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 16, 2026S••••••• R•••••• B•••• (VICE PRESIDENT) left Schedule A between the filings of 2024-03-29 and 2026-06-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 16, 2026W•••••••• R•••• H••••••• (CHIEF INVESTMENT OFFICER, SHAREHOLDER) appeared on Schedule A between the filings of 2024-03-29 and 2026-06-16peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 928.0 to 1,533.0 (+65.0%) between the annual amendments of 2025-03-19 and 2026-03-25; the peer median change was +6.0% (1206 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 928 to 1,533Dec 15, 2025 to Mar 25, 2026
- Advisory employees · 5 to 4Dec 15, 2025 to Mar 25, 2026
- Corporate clients · 0.0 to unsetDec 15, 2025 to Mar 25, 2026
- HNW clients · 155 to 202Dec 15, 2025 to Mar 25, 2026
- Individual clients · 74 to 51Dec 15, 2025 to Mar 25, 2026
- Assets in custody · $4.7M to $784MDec 15, 2025 to Mar 25, 2026
- Employees · 10 to 9Dec 15, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 4Dec 15, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.7B to $2.0BDec 15, 2025 to Mar 25, 2026
- HNW RAUM · $1.3B to $1.5BDec 15, 2025 to Mar 25, 2026
- Individual RAUM · $36.5M to $19.2MDec 15, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $416M to $490MDec 15, 2025 to Mar 25, 2026
- Pension RAUM · $416M to $490MDec 15, 2025 to Mar 25, 2026
- RAUM · $2.1B to $2.5BDec 15, 2025 to Mar 25, 2026
- Employees · 11 to 10May 22, 2025 to Jun 24, 2025
- Financial planning clients · 101-250 to 101-250May 22, 2025 to Jun 24, 2025
- Advisory employees · 4 to 5Mar 19, 2025 to May 22, 2025
- Employees · 10 to 11Mar 19, 2025 to May 22, 2025
- State-registered IARs · 4 to 5Mar 19, 2025 to May 22, 2025
- Accounts · 901 to 928Apr 1, 2024 to Mar 19, 2025
- Advisory employees · 3 to 4Apr 1, 2024 to Mar 19, 2025
- Advisory activities · 3 to 5Apr 1, 2024 to Mar 19, 2025
- Charity clients · 2.0 to unsetApr 1, 2024 to Mar 19, 2025
- Corporate clients · unset to 0.0Apr 1, 2024 to Mar 19, 2025
- HNW clients · 146 to 155Apr 1, 2024 to Mar 19, 2025
- Individual clients · 82 to 74Apr 1, 2024 to Mar 19, 2025
- Pension plan clients · 3.0 to unsetApr 1, 2024 to Mar 19, 2025
- Pooled vehicle clients · unset to 0.0Apr 1, 2024 to Mar 19, 2025
- Assets in custody · $6.3M to $4.7MApr 1, 2024 to Mar 19, 2025
- Employees · 8 to 10Apr 1, 2024 to Mar 19, 2025
- State-registered IARs · 3 to 4Apr 1, 2024 to Mar 19, 2025
- Legal name · W•••••• INVESTMENT MANAGEMENT INC to W•••••• INVESTMENT MANAGEMENT, INC.Apr 1, 2024 to Mar 19, 2025
- Other offices · 0 to 1Apr 1, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.3B to $1.7BApr 1, 2024 to Mar 19, 2025
- HNW RAUM · $1.0B to $1.3BApr 1, 2024 to Mar 19, 2025
- Individual RAUM · $43.7M to $36.5MApr 1, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $391M to $416MApr 1, 2024 to Mar 19, 2025
- Pension RAUM · $391M to $416MApr 1, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · unset to 0.0Apr 1, 2024 to Mar 19, 2025
- RAUM · $1.7B to $2.1BApr 1, 2024 to Mar 19, 2025
Signals
2 dated events
- W•••••• P••••••• reported RAUM $1.5B, up 30% from $1.1B (2021-03-29 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- W•••••• P••••••• reported RAUM $1.0B, up 25% from $813.6M (2019-03-29 to 2020-05-07)May 7, 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
- Business email
- info@warwickpartners.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 979-260-9712reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 979-260-9777reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/warwick-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- warwickpartners.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (979) 260-9777reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- warwickpartners.net/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $496Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026