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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••• A••••••• S••••••• L•• C•
Latest filing Mar 30, 2026
First filing on the tape Mar 31, 2012 · 21 filings
SEC status approved since Sep 24, 1996
RAUM
$28B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
27%
$7.6B individuals and HNW
Advisors
42
registered through the firm on IAPD
RAUM per advisor
$677M
derived; firm RAUM over IAPD count
Employees
58
37 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$28B as of Mar 30, 2026
Mar 31, 2012$10B then
HNW client RAUM$4.3B as of Mar 30, 2026
Mar 28, 2018$276M then
State-registered IARs (5.B.3)40 as of Mar 30, 2026
Mar 28, 201332 then
Employees (5.A)58 as of Mar 30, 2026
Mar 28, 201342 then
Private funds: no history
RAUM +14% over the last fiscal year+23% a year over threeIARs 40 to 40
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $677MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 296derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 55%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 42.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$7.3B26%
- Corporations and businesses$4.7B17%
- High-net-worth individuals$4.3B15%
- Charitable organizations$3.9B14%
- Individuals$3.3B12%
- Insurance companies$2.8B9.9%
- State and municipal entities$1.7B6.1%
- Investment companies$179M0.6%
- Pooled investment vehicles$157M0.6%
- Individual clients
- 11,158reported
- HNW clients
- 1,283reported
- Pension plan clients
- 238reported
- Charitable clients
- 299reported
- Accounts
- 14,363reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $9.8B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.27 fund_share=0.01 institutional_share=0.55 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
42 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• G• S•••• | A•••••, Tx | Apr 2, 1997 | 32 y | 0 |
| S••• C•••• K••••• | A•••••, Tx | Oct 24, 2002 | 29 y | 0 |
| J•••••• S•••• T••••• | A•••••, Tx | Mar 18, 2003 | 23 y | 0 |
| T••••• H•••• U•••• | A•••••, Tx | Sep 23, 2003 | 23 y | 0 |
| R••••• D••••• W••••••• | A•••••, Tx | Jul 20, 2004 | 30 y | 1 |
| A••••• K••••• D••••• | A•••••, Tx | Jun 4, 2007 | 19 y | 0 |
| S••• B••••••• H•••• | A•••••, Tx | Jun 7, 2007 | 20 y | 0 |
| D•••••• A••••• B•••••• | A•••••, Tx | Mar 12, 2008 | 21 y | 0 |
| M•••••• D•••• W••••• | A•••••, Tx | Feb 5, 2010 | 29 y | 3 |
| L•••••• D••••• F••••• | A•••••, Tx | Sep 10, 2010 | 22 y | 1 |
| A••••• L••• C••••••• | A•••••, Tx | Feb 4, 2011 | 21 y | 2 |
| A•••••• C••••• H•••••• | A•••••, Tx | Jun 7, 2011 | 17 y | 0 |
| E•••• G•••••• M••• | A•••••, Tx | Jun 9, 2011 | 18 y | 0 |
| Z•••••• T••••• S••••• | A•••••, Tx | Sep 15, 2011 | 17 y | 1 |
| N••••••• C•••• E••••••• | A•••••, Tx | Nov 5, 2011 | 18 y | 0 |
| W••• T••••• U•••• | A•••••, Tx | Oct 2, 2013 | 25 y | 2 |
| M•••••• L••••••• C••••••••• | A•••••, Tx | Apr 22, 2015 | 12 y | 0 |
| K••• A•••••• K•••• | A•••••, Tx | May 18, 2015 | 17 y | 0 |
| R••••• W•••• M•••• | Lone Tree, Co | Mar 4, 2016 | 25 y | 0 |
| K••••• S•••••••••Chartered Financial Analyst | A•••••, Tx | Aug 23, 2016 | 10 y | 0 |
| G•••••• H••••••• C••• | A•••••, Tx | Jun 15, 2018 | 31 y | 2 |
| B•••• C••••••••• L••••• | A•••••, Tx | Aug 28, 2018 | 30 y | 0 |
| E••• L•••• H••••• | A•••••, Tx | Oct 5, 2018 | 10 y | 0 |
| L••• A•• A•••••• | A•••••, Tx | Dec 13, 2018 | 10 y | 0 |
| S••• F•••••• M••••• | A•••••, Tx | May 9, 2019 | 32 y | 1 |
| D•••• L••••Chartered Financial Analyst | A•••••, Tx | Jun 26, 2019 | 13 y | 0 |
| A••••• S••••••• P••••• | A•••••, Tx | Sep 3, 2019 | 11 y | 0 |
| A•• C••••• S••••••••• | A•••••, Tx | Feb 27, 2020 | 45 y | 3 |
| L••• T• | A•••••, Tx | Jun 26, 2020 | 18 y | 2 |
| B•••• A••••••••Chartered Financial Analyst | A•••••, Tx | Nov 17, 2021 | 10 y | 0 |
| J•••••• M•••••• A••••Chartered Financial Analyst | A•••••, Tx | Mar 9, 2022 | 13 y | 2 |
| C••••••• L•••• W••••• | Riverview, Fl | May 5, 2022 | 10 y | 0 |
| N••••••• B•••••• | A•••••, Tx | Nov 2, 2022 | 11 y | 0 |
| M•••••• M••••••• | A•••••, Tx | May 11, 2023 | 20 y | 8 |
| C••••• D•••• B•••• | A•••••, Tx | May 10, 2024 | 10 y | 0 |
| J•••• T• A•••• | A•••••, Tx | Jul 3, 2024 | 12 y | 0 |
| A•••• S•••• | A•••••, Tx | Sep 27, 2024 | 22 y | 1 |
| R••••• W•••••• F•••• | A•••••, Tx | Sep 30, 2024 | 27 y | 5 |
| A••• B•••••Chartered Financial Analyst | A•••••, Tx | Jul 10, 2025 | 11 y | 0 |
| B••••••• C••• W•••••• | A•••••, Tx | Jul 26, 2025 | 11 y | 0 |
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 headcount2 left over 36 months
Left, latest
- T••••• J• B•••• to F••••• I•••••••••Jun 23, 2025 · RIA to RIA
- M•••••• J•••••• to A••••••••• F•••••••• S•••••••• L••Jul 29, 2024 · RIA to affiliated broker-dealer or bank
- R••• O•••••• to D•••••• S•••••• A•••• M•••••••••Feb 27, 2023 · Other
- K••••••• F•••• S••••• to R•• C•••••• M••••••• L••Jan 6, 2023 · Other
- V•••••• M•••••• A••••• to J••• M••••• S••••••••• L••May 6, 2022 · Other
- A••••• R•••• P•••• to P•••••••• A•••••••Feb 23, 2022 · Other
- A••••• R•••••• H•••••• to K••••• A••••••• S•••••••• L••Feb 14, 2022 · Other
- D••• J•••••• K••••• to H••••• C•••••• A•••••••• I•••Aug 26, 2021 · Other
- S••••• G• B••••••••• to M••••••• W••••• A•••••••• L••May 20, 2019 · Other
- R•••• J••••••• S•••••• to R•••••• I•••••••••May 2, 2019 · Other
- J••••••• A•••• J••••• to F•••• T•••• A••••••• L•Oct 15, 2018 · Other
- S•••••••• C•••• S•••• to T••••••••• R••••••••• A•••••••• L••Jan 2, 2018 · Other
- B••••••• G••••• N•••••• to U•• F•••••••• S••••••• I•••Sep 12, 2017 · Other
- M•••••• R••••• N••••• to E••••••• C•••••• M••••••••• L••Jun 12, 2017 · Other
- C••••••••• J• H•••••• to F•••• T•••• A••••••• L•May 22, 2017 · Other
Joined, latest
- B•••••• D•••• J•••• from C•••••••• G••••• M•••••• I•••May 4, 2026 · Other
- J••• R•••••• K•••• from A••••• C•••••• A••••••• L••Oct 7, 2025 · RIA to RIA
- R••••• W•••••• F•••• from T••••• A••••••• S•••••••• I•••Sep 30, 2024 · Affiliated broker-dealer or bank to independent RIA
- A•••• S•••• from O•• P•••••• I••••••••• I••Sep 27, 2024 · Other
- M•••••• M••••••• from A••••••• B••••• A•••••••• I•••May 11, 2023 · Other
- J•••••• M•••••• A•••• from J••• M••••• S••••••••• L••Mar 9, 2022 · Other
- M•••••• J•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 17, 2022 · Other
- V•••••• M•••••• A••••• from U•• F•••••••• S••••••• I•••Oct 7, 2020 · Other
- L••• T• from J••• M••••• S••••••••• L••Jun 26, 2020 · Other
- D••• J•••••• K••••• from N•••• • P••••• F•••••••• S•••••••• I•••Apr 3, 2020 · Other
- A•• C••••• S••••••••• from A••••••• B••••• A•••••••• I•••Feb 27, 2020 · Other
- T••••• J• B•••• from I•••••• A•••••••• I•••Jan 2, 2020 · Other
- A••••• R•••••• H•••••• from U•• F•••••••• S••••••• I•••Sep 12, 2019 · Other
- S••• F•••••• M••••• from R••• L••• A•••• M•••••••••May 9, 2019 · Other
- A••••• R•••• P•••• from R•••••• J•••• • A••••••••• I•••Oct 15, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• R•••••• W•••• · Executive Committee Membercontrolsince 04/2021 · owns less than 5%
- S••••• J•••• R••••• · Chief Financial Officercontrolsince 06/2013 · owns less than 5%
- S••••• R•••••• G• · President And Co- Chief Investment Officercontrolsince 09/1996 · owns 25% to 50%
- U••••• W•••• T••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- U••••• T•••••• H•••• · Co-Chief Investment Officercontrolsince 01/2007 · owns 10% to 25%
- W•••••• M••••••• D•••• · Executive Committee Membercontrolsince 01/2016 · owns 5% to 10%
- W•••••••• R•••••• D••••• · Executive Committee Membercontrolsince 01/2007 · owns 10% to 25%
- D•••••• A•••••• K••••• · Vice Presidentsince 08/2021 · owns less than 5%
- F•••••• L••••••• D••••• · Vice Presidentsince 08/2021 · owns less than 5%
- H••••••• A••••••• C••••• · Vice Presidentsince 08/2021 · owns less than 5%
- H••••• S•••• B••••••• · Vice Presidentsince 08/2021 · owns less than 5%
- K•••••• S•••• C•••• · Vice Presidentsince 05/2004 · owns 5% to 10%
- L•••• R••••••• C•••••• · Vice Presidentsince 08/2021 · owns less than 5%
- P•••• J••• R•••••• C•••••• · Vice Presidentsince 05/2004 · owns 10% to 25%
- S••••••••• K••••• · Vice Presidentsince 08/2021 · owns less than 5%
- T•••••• J••••••• S•••• · Vice Presidentsince 07/2009 · owns 5% to 10%
Entity owners
- K••• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• U•• L••
- W•••• M•••••••• I•••••••• G••••• L•• · Shareholderindirect · owns 75% or more of W• H••••• ••••••••• L••
- W• H••••• ••••••••• L•• · Shareholderindirect · owns 75% or more of W• I••••••••• H••••••• L••
- W• I••••••••• H••••••• L•• · Shareholderindirect · owns 75% or more of W• R•••••• L••
- W• R•••••• L•• · Shareholderindirect · owns 75% or more of K••• I••••••••• H•••••••• L••
- K••• I••••••••• U•• L•• · Member Class A Interestsdirect · owns 25% to 50%
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 | 42 | 2 | 0 | ||
| New York, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12,206 to 14,363Mar 28, 2025 to Mar 30, 2026
- Charity clients · 280 to 299Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 986 to 1,219Mar 28, 2025 to Mar 30, 2026
- HNW clients · 1,047 to 1,283Mar 28, 2025 to Mar 30, 2026
- Individual clients · 9,503 to 11,158Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 237 to 238Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $25B to $28BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $3.9B to $4.3BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $2.7B to $3.3BMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $116M to $142MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $6.7B to $7.3BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $144M to $157MMar 28, 2025 to Mar 30, 2026
- RAUM · $25B to $28BMar 28, 2025 to Mar 30, 2026
- Wrap assets (manager) · $7.9B to $9.8BMar 28, 2025 to Mar 30, 2026
- Accounts · 8,128 to 12,206Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 35 to 37Mar 28, 2024 to Mar 28, 2025
- Charity clients · 268 to 280Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 453 to 986Mar 28, 2024 to Mar 28, 2025
- HNW clients · 239 to 1,047Mar 28, 2024 to Mar 28, 2025
- Individual clients · 6,773 to 9,503Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 230 to 237Mar 28, 2024 to Mar 28, 2025
- Employees · 53 to 58Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 38 to 40Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $23B to $25BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $2.8B to $3.9BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $3.4B to $2.7BMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $86.6M to $116MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $5.7B to $6.7BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $141M to $144MMar 28, 2024 to Mar 28, 2025
- RAUM · $23B to $25BMar 28, 2024 to Mar 28, 2025
- Wrap assets (manager) · $5.6B to $7.9BMar 28, 2024 to Mar 28, 2025
- Accounts · 4,888 to 8,128Jan 5, 2024 to Mar 28, 2024
- Charity clients · 211 to 268Jan 5, 2024 to Mar 28, 2024
- Corporate clients · 316 to 453Jan 5, 2024 to Mar 28, 2024
- HNW clients · 179 to 239Jan 5, 2024 to Mar 28, 2024
- Individual clients · 3,785 to 6,773Jan 5, 2024 to Mar 28, 2024
- Pension plan clients · 243 to 230Jan 5, 2024 to Mar 28, 2024
- Pooled vehicle clients · 6 to 7Jan 5, 2024 to Mar 28, 2024
- Discretionary RAUM · $15B to $23BJan 5, 2024 to Mar 28, 2024
Signals
17 dated events
- T••••• J• B•••• left S••• A••••••• S••••••• L•• C• for F••••• I••••••••• (registered 2025-08-18)Jun 23, 2025 · Advisor changed firm · fact
- M•••••• J•••••• left S••• A••••••• S••••••• L•• C• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-09-10)Jul 29, 2024 · Advisor changed firm · fact
- S••• A••••••• S••••••• L•• C• reported RAUM $22.7B, up 48% from $15.3B (2024-01-05 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- R••• O•••••• left S••• A••••••• S••••••• L•• C• for D•••••• S•••••• A•••• M••••••••• (registered 2024-01-29)Feb 27, 2023 · Advisor changed firm · fact
- K••••••• F•••• S••••• left S••• A••••••• S••••••• L•• C• for R•• C•••••• M••••••• L•• (registered 2026-04-28)Jan 6, 2023 · Advisor changed firm · fact
- V•••••• M•••••• A••••• left S••• A••••••• S••••••• L•• C• for J••• M••••• S••••••••• L•• (registered 2022-06-15)May 6, 2022 · Advisor changed firm · fact
- Wayne Robert Moser (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- K••••• S••••••••• (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- Kemett A••••• Demand (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- Bartlett Seth Henry (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- Claire Allison H•••••• (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- Dustin Leonard Finley (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- C•••••• R•••••• L••• (Vice President) appeared on Schedule A of S••• A••••••• S••••••• L•• C•Mar 29, 2022 · Control person joined · fact
- Joseph Gregory Figaro (Vice President) no longer on Schedule A of S••• A••••••• S••••••• L•• C• (listed 2021-03-29, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- A••••• R•••• P•••• left S••• A••••••• S••••••• L•• C• for P•••••••• A••••••• (registered 2022-04-19)Feb 23, 2022 · Advisor changed firm · fact
- A••••• R•••••• H•••••• left S••• A••••••• S••••••• L•• C• for K••••• A••••••• S•••••••• L•• (registered 2022-02-22)Feb 14, 2022 · Advisor changed firm · fact
- Cordes Mark Macqueen (Executive Vice President) no longer on Schedule A of S••• A••••••• S••••••• L•• C• (listed 2020-06-24, absent 2020-10-15)Oct 15, 2020 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/121004reportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••ADVISORY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-327-5530reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $677Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026