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
B••••• F•••••••• A••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Jan 23, 2012 · 24 filings
SEC status approved since Mar 12, 1993
RAUM
$297M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$297M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$297M as of Jun 9, 2026
Mar 5, 2012$159M then
HNW client RAUM$276M as of Jun 9, 2026
Mar 8, 2018$220M then
State-registered IARs (5.B.3)1 as of Jun 9, 2026
Mar 5, 20120 then
Employees (5.A)2 as of Jun 9, 2026
Mar 21, 20133 then
Private funds: no history
RAUM +2.3% over the last fiscal year+4.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $603,481derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$276M93%
- Individuals$21.2M7.1%
- Individual clients
- 33reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 492reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• J••• H•••••Certified Financial Planner, Chartered Financial Analyst | Houston, Tx | Dec 2, 2002 | 42 y | 0 |
| J••••• J••• H•••••Certified Financial Planner | Houston, Tx | Aug 3, 2020 | 19 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 headcount1 left over 36 months
Left, latest
- D••• C•••••••• S•••••• to O••••• W••••• G••••• L••Apr 2, 2025 · RIA to RIA
Joined, latest
- D••• C•••••••• S•••••• from F•••••••• S••••••••Feb 21, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••••• J••• · Prinicipal And Chief Compliance Officersince 01/2012 · owns 75% or more
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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 500 to 492Mar 24, 2025 to Mar 27, 2026
- HNW clients · 59 to 53Mar 24, 2025 to Mar 27, 2026
- Individual clients · 35 to 33Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $285M to $293MMar 24, 2025 to Mar 27, 2026
- HNW RAUM · $266M to $276MMar 24, 2025 to Mar 27, 2026
- Individual RAUM · $24.2M to $21.2MMar 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $5.5M to $4.3MMar 24, 2025 to Mar 27, 2026
- RAUM · $290M to $297MMar 24, 2025 to Mar 27, 2026
- Accounts · 539 to 500Mar 28, 2024 to Mar 24, 2025
- Advisory employees · 2 to 1Mar 28, 2024 to Mar 24, 2025
- Charity clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Corporate clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Individual clients · 45 to 35Mar 28, 2024 to Mar 24, 2025
- Pension plan clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Pooled vehicle clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Employees · 3 to 2Mar 28, 2024 to Mar 24, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 1Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $275M to $285MMar 28, 2024 to Mar 24, 2025
- HNW RAUM · $256M to $266MMar 28, 2024 to Mar 24, 2025
- Individual RAUM · $26.9M to $24.2MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $7.3M to $5.5MMar 28, 2024 to Mar 24, 2025
- Pension RAUM · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- RAUM · $283M to $290MMar 28, 2024 to Mar 24, 2025
- Accounts · 545 to 539Mar 8, 2023 to Mar 28, 2024
- Individual clients · 44 to 45Mar 8, 2023 to Mar 28, 2024
- Employees · 4 to 3Mar 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $255M to $275MMar 8, 2023 to Mar 28, 2024
- HNW RAUM · $236M to $256MMar 8, 2023 to Mar 28, 2024
- Individual RAUM · $25.0M to $26.9MMar 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $6.6M to $7.3MMar 8, 2023 to Mar 28, 2024
- RAUM · $261M to $283MMar 8, 2023 to Mar 28, 2024
- Accounts · 578 to 545Feb 3, 2022 to Mar 8, 2023
- HNW clients · 65 to 59Feb 3, 2022 to Mar 8, 2023
- Discretionary RAUM · $313M to $255MFeb 3, 2022 to Mar 8, 2023
- HNW RAUM · $292M to $236MFeb 3, 2022 to Mar 8, 2023
- Individual RAUM · $28.1M to $25.0MFeb 3, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $6.9M to $6.6MFeb 3, 2022 to Mar 8, 2023
- RAUM · $320M to $261MFeb 3, 2022 to Mar 8, 2023
Signals
2 dated events
- D••• C•••••••• S•••••• left B••••• F•••••••• A••••••• L•• for O••••• W••••• G••••• L•• (registered 2025-05-22)Apr 2, 2025 · Advisor changed firm · fact
- John Marcel Hebert (President) no longer on Schedule A of B••••• F•••••••• A••••••• L•• (listed 2023-03-08, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
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
- 713-622-9981reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.b•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-622-9981reportedpublic record, Form ADV, Jun 9, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026