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
F•••• I••••••••• M•••••••••
Latest filing Mar 31, 2026
First filing on the tape Jan 17, 2012 · 21 filings
SEC status approved since Mar 10, 1992
RAUM
$418M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$411M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$139M
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
21 filings and snapshots on the tape
RAUM$418M as of Mar 31, 2026
Jan 17, 2012$192M then
HNW client RAUM$379M as of Mar 31, 2026
Mar 23, 2018$172M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Jan 17, 20120 then
Employees (5.A)3 as of Mar 31, 2026
Feb 7, 20134 then
Private funds: no history
RAUM +3.3% over the last fiscal year+4.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $138M, 73 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$379M91%
- Individuals$31.8M7.6%
- Corporations and businesses$7.0M1.7%
- Individual clients
- 70reported
- HNW clients
- 102reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 403reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 73 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| R•••••• J••• F•••• | Houston, Tx | May 15, 1992 | 46 y | 0 |
| D••• R••••• K••••• | Houston, Tx | May 18, 2019 | 11 y | 0 |
| K••••••• B••• W••••• | Houston, Tx | Sep 26, 2024 | 13 y | 1 |
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
- K••• J••••••• W••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 11, 2025 · RIA to affiliated broker-dealer or bank
- J•••• M•••••• C••••••• to J•• A•••• M••••••••• L••Feb 14, 2018 · Other
- R••• M••••••• to C•••••••• G••••• M•••••• I•••Jun 2, 2010 · Other
- J• D•• P•••••• to D• C•••••• M••••••••• I•••Aug 15, 2008 · Other
- T••• S••••••• to L••••••••• C•••••• M•••••••••May 24, 2006 · Other
Joined, latest
- K••••••• B••• W••••• from A••••••••• F•••••••• S•••••••• L••Sep 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• M•••••• C••••••• from C•••••• S••••• • C••• I•••Jan 16, 2012 · Other
- R••• M••••••• from K••• I••••••••• A•••••••• I•••Nov 18, 2008 · Other
- J• D•• P•••••• from C•••••• S••••• • C••• I•••Dec 5, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• R••••••• J••• · President /Chief Compliance Officercontrolsince 05/1992 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 434 to 403Mar 31, 2025 to Mar 31, 2026
- HNW clients · 104 to 102Mar 31, 2025 to Mar 31, 2026
- Individual clients · 71 to 70Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $154M to $138MMar 31, 2025 to Mar 31, 2026
- Employees · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $403M to $415MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $363M to $379MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $34.3M to $31.8MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.0M to $2.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $405M to $418MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 2 to 3Dec 13, 2024 to Mar 31, 2025
- Corporate clients · 2 to 1Dec 13, 2024 to Mar 31, 2025
- HNW clients · 103 to 104Dec 13, 2024 to Mar 31, 2025
- Individual clients · 72 to 71Dec 13, 2024 to Mar 31, 2025
- Assets in custody · $135M to $154MDec 13, 2024 to Mar 31, 2025
- Employees · 3 to 4Dec 13, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Dec 13, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 3Dec 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $384M to $403MDec 13, 2024 to Mar 31, 2025
- HNW RAUM · $343M to $363MDec 13, 2024 to Mar 31, 2025
- Individual RAUM · $34.7M to $34.3MDec 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.8M to $2.0MDec 13, 2024 to Mar 31, 2025
- RAUM · $386M to $405MDec 13, 2024 to Mar 31, 2025
- Accounts · 423 to 434Mar 30, 2023 to Mar 27, 2024
- HNW clients · 95 to 103Mar 30, 2023 to Mar 27, 2024
- Individual clients · 75 to 72Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $117M to $135MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $362M to $384MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $318M to $343MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $37.1M to $34.7MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.7M to $1.8MMar 30, 2023 to Mar 27, 2024
- RAUM · $364M to $386MMar 30, 2023 to Mar 27, 2024
- Accounts · 420 to 423Mar 21, 2022 to Mar 30, 2023
- Corporate clients · 3 to 2Mar 21, 2022 to Mar 30, 2023
- HNW clients · 97 to 95Mar 21, 2022 to Mar 30, 2023
- Individual clients · 78 to 75Mar 21, 2022 to Mar 30, 2023
- Assets in custody · $110M to $117MMar 21, 2022 to Mar 30, 2023
- Financial planning clients · 11-25 to 1-10Mar 21, 2022 to Mar 30, 2023
- Discretionary RAUM · $373M to $362MMar 21, 2022 to Mar 30, 2023
- HNW RAUM · $328M to $318MMar 21, 2022 to Mar 30, 2023
Signals
1 dated events
- K••• J••••••• W••• left F•••• I••••••••• M••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2026-01-23)Jun 11, 2025 · 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
- info@rjfruth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-464-2283reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- rjfruth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-464-2283reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- rjfruth.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026