DFX Intelligence
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SEC-registered adviser
P•••••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 17, 2012 · 22 filings
SEC status approved since Aug 3, 1992
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.0M
derived; firm RAUM over IAPD count
Employees
3
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$152M as of Mar 25, 2026
Mar 17, 2012$90.7M then
HNW client RAUM$140M as of Mar 25, 2026
Mar 6, 2018$121M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 17, 20120 then
Employees (5.A)3 as of Mar 25, 2026
Mar 19, 20131 then
Private funds: no history
RAUM +5.2% over the last fiscal year+4.8% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 25, 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
- $76.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $493,284derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M92%
- Individuals$11.7M7.7%
- Individual clients
- 46reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 308reported
- Financial planning clients
- 0reported
- 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 |
|---|---|---|---|---|
| R•••••• W••••••• K••••Certified Financial Planner | Austin, Tx | Oct 15, 2014 | 43 y | 0 |
| B•••••• E••• K•••• L••••••Certified Financial Planner | Austin, Tx | Jan 2, 2019 | 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• R••••••• W••••••• · Owner/Presidentcontrolsince 07/1992 · owns 75% or more
- L••••••• B••••••• E••• K•••• · Vice President/Chief Compliance Officercontrolsince 01/2020 · 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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Sugar Land, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 339 to 308Mar 28, 2025 to Mar 25, 2026
- HNW clients · 64 to 65Mar 28, 2025 to Mar 25, 2026
- Individual clients · 51 to 46Mar 28, 2025 to Mar 25, 2026
- Other offices · 1 to 0Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $144M to $152MMar 28, 2025 to Mar 25, 2026
- HNW RAUM · $132M to $140MMar 28, 2025 to Mar 25, 2026
- Individual RAUM · $12.1M to $11.7MMar 28, 2025 to Mar 25, 2026
- RAUM · $144M to $152MMar 28, 2025 to Mar 25, 2026
- Accounts · 334 to 339Mar 27, 2024 to Mar 28, 2025
- HNW clients · 49 to 64Mar 27, 2024 to Mar 28, 2025
- Individual clients · 70 to 51Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $140M to $144MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $118M to $132MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $21.7M to $12.1MMar 27, 2024 to Mar 28, 2025
- RAUM · $140M to $144MMar 27, 2024 to Mar 28, 2025
- Accounts · 332 to 334Mar 29, 2023 to Mar 27, 2024
- Individual clients · 68 to 70Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $132M to $140MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $111M to $118MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $20.5M to $21.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $132M to $140MMar 29, 2023 to Mar 27, 2024
- Accounts · 330 to 332Mar 28, 2022 to Mar 29, 2023
- HNW clients · 53 to 49Mar 28, 2022 to Mar 29, 2023
- Individual clients · 63 to 68Mar 28, 2022 to Mar 29, 2023
- Discretionary RAUM · $151M to $132MMar 28, 2022 to Mar 29, 2023
- HNW RAUM · $131M to $111MMar 28, 2022 to Mar 29, 2023
- Individual RAUM · $20.0M to $20.5MMar 28, 2022 to Mar 29, 2023
- RAUM · $151M to $132MMar 28, 2022 to Mar 29, 2023
- Accounts · 312 to 330Mar 11, 2021 to Mar 28, 2022
- Advisory employees · 2 to 3Mar 11, 2021 to Mar 28, 2022
- HNW clients · 42 to 53Mar 11, 2021 to Mar 28, 2022
- Individual clients · 74 to 63Mar 11, 2021 to Mar 28, 2022
- Employees · 2 to 3Mar 11, 2021 to Mar 28, 2022
- Discretionary RAUM · $141M to $151MMar 11, 2021 to Mar 28, 2022
- HNW RAUM · $110M to $131MMar 11, 2021 to Mar 28, 2022
- Individual RAUM · $30.2M to $20.0MMar 11, 2021 to Mar 28, 2022
- RAUM · $141M to $151MMar 11, 2021 to Mar 28, 2022
- Accounts · 328 to 312Oct 15, 2020 to Mar 11, 2021
- HNW clients · 45 to 42Oct 15, 2020 to Mar 11, 2021
Signals
2 dated events
- E••• K•••• B•••••• Ledonne (Vice President/Chief Compliance Officer) appeared on Schedule A of P•••••••• M••••••••• L••Jan 28, 2020 · Control person joined · fact
- P•••••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 30, 2014 · Succession (Item 4) · 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
- i•••@p•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-222-4035reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.p•••••••.comreportedpublic record, Form ADV, Mar 25, 2026
- Principal office phone
- 512-222-4035reportedpublic record, Form ADV, Mar 25, 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
- $76.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026