DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• A•••• M••••••••• I••
Latest filing Apr 1, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Apr 10, 1996
RAUM
$456M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
61%
$277M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$456M as of Apr 1, 2026
Mar 29, 2012$474M then
HNW client RAUM$274M as of Apr 1, 2026
Mar 28, 2018$346M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 27, 20133 then
Employees (5.A)5 as of Apr 1, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +10% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 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
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$274M60%
- Corporations and businesses$116M25%
- Charitable organizations$63.1M14%
- Individuals$3.3M0.7%
- Individual clients
- 12reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 87reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.61 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• G•••••• | Houston, Tx | Apr 23, 2003 | 35 y | 0 |
| F•••• P• L••Chartered Financial Analyst | Houston, Tx | Oct 23, 2012 | 35 y | 0 |
| W•••••• L••••••• G•••••• | Houston, Tx | Nov 20, 2012 | 14 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• W•••••• · Presidentcontrolsince 03/1996 · owns 50% to 75%
- L••• F••••• P• · Chief Operating Officercontrolsince 03/1996 · owns 50% to 75%
- M•••••• J••• · Chief Compliance Officersince 03/2022 · owns less than 5%
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Apr 1, 2026RAUM per account of $5,239,034 against a peer median of $439,994 (5433 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,433) · 99% percentile
- very high RAUM per advisorStatic outlier · filing Apr 1, 2026RAUM per registered advisor of $151,931,989 against a peer median of $55,766,318 (3256 comparable advisers, 99.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,256) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 107 to 87Mar 31, 2025 to Apr 1, 2026
- Charity clients · 6 to 7Mar 31, 2025 to Apr 1, 2026
- Corporate clients · unset to 9.0Mar 31, 2025 to Apr 1, 2026
- HNW clients · 58 to 59Mar 31, 2025 to Apr 1, 2026
- Individual clients · 40 to 12Mar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $414M to $456MMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $271M to $274MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $11.7M to $3.3MMar 31, 2025 to Apr 1, 2026
- RAUM · $414M to $456MMar 31, 2025 to Apr 1, 2026
- Accounts · 123 to 107May 1, 2024 to Mar 31, 2025
- HNW clients · 50 to 58May 1, 2024 to Mar 31, 2025
- Individual clients · 59 to 40May 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $343M to $414MMay 1, 2024 to Mar 31, 2025
- HNW RAUM · $216M to $271MMay 1, 2024 to Mar 31, 2025
- Individual RAUM · $14.2M to $11.7MMay 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.3M to $0May 1, 2024 to Mar 31, 2025
- RAUM · $348M to $414MMay 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $5.3M to $5.3MMar 15, 2023 to Mar 26, 2024
- RAUM · $298M to $348MMar 15, 2023 to Mar 26, 2024
- Accounts · 124 to 123Mar 15, 2023 to Mar 26, 2024
- Charity clients · 5 to 6Mar 15, 2023 to Mar 26, 2024
- Corporate clients · 4.0 to unsetMar 15, 2023 to Mar 26, 2024
- HNW clients · 57 to 50Mar 15, 2023 to Mar 26, 2024
- Individual clients · 53 to 59Mar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $293M to $343MMar 15, 2023 to Mar 26, 2024
- HNW RAUM · $190M to $216MMar 15, 2023 to Mar 26, 2024
- Individual RAUM · $10.8M to $14.2MMar 15, 2023 to Mar 26, 2024
- Accounts · 140 to 124Mar 29, 2022 to Mar 15, 2023
- Charity clients · 7 to 5Mar 29, 2022 to Mar 15, 2023
- HNW clients · 74 to 57Mar 29, 2022 to Mar 15, 2023
- Employees · 7 to 5Mar 29, 2022 to Mar 15, 2023
- Discretionary RAUM · $442M to $293MMar 29, 2022 to Mar 15, 2023
- HNW RAUM · $307M to $190MMar 29, 2022 to Mar 15, 2023
- Individual RAUM · $17.8M to $10.8MMar 29, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $368,882 to $5.3MMar 29, 2022 to Mar 15, 2023
- RAUM · $442M to $298MMar 29, 2022 to Mar 15, 2023
- Accounts · 136 to 140Feb 17, 2021 to Mar 29, 2022
- Charity clients · 8 to 7Feb 17, 2021 to Mar 29, 2022
- HNW clients · 68 to 74Feb 17, 2021 to Mar 29, 2022
Signals
2 dated events
- C•••••• A•••• M••••••••• I•• reported RAUM $298.0M, down 33% from $442.2M (2022-03-29 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- C•••••• A•••• M••••••••• I•• reported RAUM $294.8M, down 40% from $492.4M (2018-03-28 to 2019-03-27)Mar 27, 2019 · 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 phone
- 713-512-2100reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-512-2105reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••ASSET.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713-512-2100reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- c•••••••••.comreportedpublished 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026