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
R••••• W••••• G••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Mar 14, 2012 · 17 filings
SEC status approved since Mar 22, 1996
RAUM
$1.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
90%
$937M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
21
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.0B as of Mar 17, 2026
Mar 14, 2012$502M then
HNW client RAUM$400M as of Mar 17, 2026
Mar 29, 2018$256M then
State-registered IARs (5.B.3)8 as of Mar 17, 2026
Mar 14, 20120 then
Employees (5.A)21 as of Mar 17, 2026
Mar 28, 201315 then
Private funds: no history
RAUM +8.0% over the last fiscal year+5.8% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 17, 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
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $1.6M, 276 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$537M52%
- High-net-worth individuals$400M38%
- Corporations and businesses$54.5M5.3%
- Banks and thrifts$43.1M4.2%
- Pension and profit-sharing plans$2.1M0.2%
- Charitable organizations$1.5M0.1%
- Individual clients
- 197reported
- HNW clients
- 214reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 876reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 276 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••• C•••• R••••• | Fort Worth, Tx | Oct 2, 1996 | 54 y | 0 |
| C•••• C••••• R••••• | Fort Worth, Tx | Oct 8, 2002 | 31 y | 0 |
| M•••••• P•••••• L••••••• | Fort Worth, Tx | Sep 14, 2005 | 21 y | 2 |
| M•••••• F••• C••••• | Fort Worth, Tx | Mar 24, 2014 | 28 y | 0 |
| C••••••••• S••• M•••• | Fort Worth, Tx | Mar 24, 2014 | 27 y | 0 |
| D••• E••• W••••••• | Fort Worth, Tx | Apr 29, 2014 | 19 y | 0 |
| B•••• J••••• M••••••Certified Financial Planner | Fort Worth, Tx | Jul 20, 2017 | 25 y | 3 |
| C••••••••• R••• M•••••• | Fort Worth, Tx | Jul 18, 2022 | 12 y | 2 |
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
- C••••••••• R••• M•••••• to W••••••• L••Mar 7, 2022 · RIA to RIA
- A••••• H••••• L•••• to V•••• F•••••••• A•••••••• I•••Mar 3, 2015 · Other
Joined, latest
- C••••••••• R••• M•••••• from W••••••• L••Jul 18, 2022 · RIA to RIA
- B•••• J••••• M•••••• from M•••• W••••• A•••••••• L••Jul 20, 2017 · Other
- M•••••• P•••••• L••••••• from T•••• A•••••••• L••Sep 14, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• C••••• C••••• · President & Chief Executive Officercontrolsince 12/2016 · owns 25% to 50%
- R•••••• D•••• C•••• · Chairmancontrolsince 10/2004 · owns 50% to 75%
- L•••••••• M••••••• P•••••• · Senior Vice President & Chief Investment Officersince 07/2013 · owns less than 5%
- M••••••• B••••• J••••• · Chief Compliance Officersince 01/2018 · 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 |
|---|---|---|---|---|---|
| Fort Worth, Tx · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 855 to 876Mar 12, 2025 to Mar 17, 2026
- Charity clients · 4 to 5Mar 12, 2025 to Mar 17, 2026
- Corporate clients · 11 to 15Mar 12, 2025 to Mar 17, 2026
- HNW clients · 141 to 214Mar 12, 2025 to Mar 17, 2026
- Individual clients · 250 to 197Mar 12, 2025 to Mar 17, 2026
- Pension plan clients · 1 to 2Mar 12, 2025 to Mar 17, 2026
- Assets in custody · $2.0M to $1.6MMar 12, 2025 to Mar 17, 2026
- Discretionary RAUM · $936M to $1.0BMar 12, 2025 to Mar 17, 2026
- HNW RAUM · $368M to $400MMar 12, 2025 to Mar 17, 2026
- Individual RAUM · $504M to $537MMar 12, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $25.2M to $26.6MMar 12, 2025 to Mar 17, 2026
- Pension RAUM · $7.9M to $2.1MMar 12, 2025 to Mar 17, 2026
- RAUM · $961M to $1.0BMar 12, 2025 to Mar 17, 2026
- Accounts · 817 to 855Mar 25, 2024 to Mar 12, 2025
- HNW clients · 137 to 141Mar 25, 2024 to Mar 12, 2025
- Individual clients · 252 to 250Mar 25, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 12, 2025
- Discretionary RAUM · $815M to $936MMar 25, 2024 to Mar 12, 2025
- HNW RAUM · $327M to $368MMar 25, 2024 to Mar 12, 2025
- Individual RAUM · $429M to $504MMar 25, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $23.1M to $25.2MMar 25, 2024 to Mar 12, 2025
- Pension RAUM · $7.1M to $7.9MMar 25, 2024 to Mar 12, 2025
- RAUM · $838M to $961MMar 25, 2024 to Mar 12, 2025
- Accounts · 831 to 817Mar 24, 2023 to Mar 25, 2024
- Charity clients · 3 to 4Mar 24, 2023 to Mar 25, 2024
- HNW clients · 139 to 137Mar 24, 2023 to Mar 25, 2024
- Individual clients · 266 to 252Mar 24, 2023 to Mar 25, 2024
- Assets in custody · $2.1M to $2.0MMar 24, 2023 to Mar 25, 2024
- Employees · 23 to 21Mar 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $856M to $815MMar 24, 2023 to Mar 25, 2024
- HNW RAUM · $291M to $327MMar 24, 2023 to Mar 25, 2024
- Individual RAUM · $512M to $429MMar 24, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $20.7M to $23.1MMar 24, 2023 to Mar 25, 2024
- Pension RAUM · $6.5M to $7.1MMar 24, 2023 to Mar 25, 2024
- RAUM · $876M to $838MMar 24, 2023 to Mar 25, 2024
- Accounts · 839 to 831Mar 22, 2022 to Mar 24, 2023
- Corporate clients · 10 to 11Mar 22, 2022 to Mar 24, 2023
- HNW clients · 152 to 139Mar 22, 2022 to Mar 24, 2023
- Individual clients · 246 to 266Mar 22, 2022 to Mar 24, 2023
- Pension plan clients · 2 to 1Mar 22, 2022 to Mar 24, 2023
Signals
1 dated events
- C••••••••• R••• M•••••• left R••••• W••••• G••••• I••• for W••••••• L•• (registered 2022-03-16)Mar 7, 2022 · 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 phone
- 817-334-0351reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-476-4377reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••://WWW.R•••••CO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 817-334-0351reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- rogersco.com/retirement-plan-services/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rogersco.com/teamreportedpublished 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026