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
C••••••• S••••••• L•••
Legal name C••••••• S••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Jul 1, 1992
RAUM
$210M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
87%
$183M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$52.5M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$210M as of Mar 30, 2026
Mar 28, 2012$140M then
HNW client RAUM$144M as of Mar 30, 2026
Mar 29, 2018$104M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)7 as of Mar 30, 2026
Mar 26, 20135 then
Private funds: no history
RAUM -1.8% over the last fiscal year+0.8% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $52.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $461,978derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $22.5M, 25 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M68%
- Individuals$39.6M19%
- Charitable organizations$26.3M13%
- Corporations and businesses$800,0000.4%
- Individual clients
- 137reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 455reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.5M for 25 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• H••••• T•••••••Certified Financial Planner, Chartered Financial Analyst | Metairie, La | May 26, 2006 | 39 y | 0 |
| M•••••• T••••• N•••••Certified Financial Planner | Metairie, La | Jun 10, 2011 | 36 y | 2 |
| T••••• W•••••• T••••••• | Metairie, La | Mar 2, 2024 | 10 y | 0 |
| D••••• J•••• J•••••• | Metairie, La | Oct 10, 2025 | 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 headcount1 left over 36 months
Left, latest
- M••••••• R••••• B••••••• to D•••••• I••••••••• L••Jul 3, 2024 · RIA to RIA
- B•••••• B••••••• to W••••••••• C••••••• L••Jul 24, 2023 · RIA to RIA
- K•••••• J••• K••••••••• to A••••••• A••••••• S•••••••Dec 8, 2016 · Other
- H•••• E••••• G••• to G••• F••••••••• L•••••May 7, 2010 · Other
Joined, latest
- B•••••• B••••••• from A• W••••• M••••••••• L••Jul 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••••••• R••••• B••••••• from H•••••• W•••••• I••••••••• S••••••• I•••Feb 22, 2017 · Other
- K•••••• J••• K••••••••• from P••••• M••••••••• G••••Nov 5, 2016 · Other
- M•••••• T••••• N••••• from T• A••••••••• I••••••••• M••••••••• L••Jun 10, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• W••••••• H••••• · President/Treasurer/Chief Compliance Officercontrolsince 08/1992 · 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 |
|---|---|---|---|---|---|
| Metairie, La · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-28, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 461 to 455Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Charity clients · 2 to 3Mar 28, 2025 to Mar 30, 2026
- HNW clients · 57 to 54Mar 28, 2025 to Mar 30, 2026
- Individual clients · 135 to 137Mar 28, 2025 to Mar 30, 2026
- Assets in custody · unset to 22500000.0Mar 28, 2025 to Mar 30, 2026
- Custody of client assets · false to trueMar 28, 2025 to Mar 30, 2026
- Employees · 6 to 7Mar 28, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $189M to $185MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $146M to $144MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $42.3M to $39.6MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $25.4M to $25.7MMar 28, 2025 to Mar 30, 2026
- RAUM · $214M to $210MMar 28, 2025 to Mar 30, 2026
- Accounts · 527 to 461Jun 11, 2024 to Mar 28, 2025
- HNW clients · 63 to 57Jun 11, 2024 to Mar 28, 2025
- Individual clients · 169 to 135Jun 11, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 26-50Jun 11, 2024 to Mar 28, 2025
- Discretionary RAUM · $186M to $189MJun 11, 2024 to Mar 28, 2025
- HNW RAUM · $142M to $146MJun 11, 2024 to Mar 28, 2025
- Individual RAUM · $43.2M to $42.3MJun 11, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $26.7M to $25.4MJun 11, 2024 to Mar 28, 2025
- RAUM · $212M to $214MJun 11, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Mar 27, 2024 to Jun 11, 2024
- Employees · 7 to 6Mar 27, 2024 to Jun 11, 2024
- State-registered IARs · 4 to 3Mar 27, 2024 to Jun 11, 2024
- Accounts · 516 to 527Mar 29, 2023 to Mar 27, 2024
- Charity clients · unset to 2.0Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 0 to 1Mar 29, 2023 to Mar 27, 2024
- HNW clients · 55 to 63Mar 29, 2023 to Mar 27, 2024
- Individual clients · 170 to 169Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $177M to $186MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $131M to $142MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $46.0M to $43.2MMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $27.7M to $26.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $205M to $212MMar 29, 2023 to Mar 27, 2024
- Accounts · 485 to 516Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 3 to 4Mar 30, 2022 to Mar 29, 2023
- HNW clients · 50 to 55Mar 30, 2022 to Mar 29, 2023
- Individual clients · 148 to 170Mar 30, 2022 to Mar 29, 2023
Signals
2 dated events
- M••••••• R••••• B••••••• left C••••••• S••••••• L••• for D•••••• I••••••••• L•• (registered 2024-07-08)Jul 3, 2024 · Advisor changed firm · fact
- B•••••• B••••••• left C••••••• S••••••• L••• for W••••••••• C••••••• L•• (registered 2023-08-28)Jul 24, 2023 · Advisor changed firm · 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 email
- advisor@crescentsterling.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 504-885-1135reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 504-885-1135reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- crescentsterling.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- crescentsterling.com/our-teamreportedpublished 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
- $52.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026