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
P•••••••• A••••••• C•••••••••
Legal name P•••••••• A••••••• C••••••• L•••••
Latest filing Mar 11, 2026
First filing on the tape Apr 10, 2012 · 30 filings
SEC status approved since Sep 15, 1986
RAUM
$495M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
80%
$394M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$70.7M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$495M as of Mar 11, 2026
Apr 10, 2012$299M then
HNW client RAUM$141M as of Mar 11, 2026
Mar 14, 2018$149M then
State-registered IARs (5.B.3)6 as of Mar 11, 2026
Apr 10, 20120 then
Employees (5.A)9 as of Mar 11, 2026
Apr 30, 20136 then
Private funds: no history
RAUM +6.4% over the last fiscal year+21% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $70.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $509,722derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- Individuals$253M51%
- High-net-worth individuals$141M29%
- Pension and profit-sharing plans$101M20%
- Individual clients
- 420reported
- HNW clients
- 130reported
- Pension plan clients
- 17reported
- Charitable clients
- 0reported
- Accounts
- 971reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• W•••••• H••••••• | Houston, Tx | Aug 26, 2003 | 32 y | 1 |
| W•••••• T••••• S••••• | Houston, Tx | Aug 26, 2003 | 54 y | 2 |
| P••••• B•••• M••••Certified Financial Planner, Chartered Financial Consultant | Houston, Tx | Aug 27, 2003 | 27 y | 2 |
| W•••• E•••• B••••••••• K•••••Certified Financial Planner, Personal Financial Specialist | Houston, Tx | Sep 7, 2005 | 31 y | 1 |
| J•••• M•••••• S•••• | Houston, Tx | Aug 22, 2006 | 32 y | 1 |
| J••• C••••• H••••••• | Houston, Tx | Dec 4, 2006 | 38 y | 1 |
| C•••••• F••• M•••• | Houston, Tx | Jul 19, 2022 | 12 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
- T••••• P••••• M•••• to G••••••• W••••• A•••••••• L••Mar 1, 2024 · RIA to RIA
- J••••• J•••••••• M•••• to L•• F•••••••• L••Mar 23, 2007 · Other
Joined, latest
- C•••••• F••• M•••• from R•• C•••••• M••••••• L••Jul 19, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• J•••••••• M•••• from M•• I•••••••• S•••••••• L••Nov 1, 2006 · Other
- P••••• B•••• M•••• from M•• I•••••••• S•••••••• L••Aug 27, 2003 · Other
- W•••••• T••••• S••••• from M•• I•••••••• S•••••••• L••Aug 26, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J••••• W•••••• · Non-Managing Partnercontrolsince 08/1998 · owns 25% to 50%
- M••••• P•••••• B•••• · Managing Partner, Compliance Officercontrolsince 08/1998 · owns 25% to 50%
- S•••••• W••••••• T••••• · Managing Partner & Chief Compliance Officercontrolsince 08/1998 · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••• I•••••••• I•••••••••real estaten
- W•••• K•••••• C••insurancen
- W•••••• T• S•••••• J••investment companyy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 909 to 971Mar 25, 2025 to Mar 11, 2026
- HNW clients · 120 to 130Mar 25, 2025 to Mar 11, 2026
- Individual clients · 406 to 420Mar 25, 2025 to Mar 11, 2026
- Pension plan clients · 16 to 17Mar 25, 2025 to Mar 11, 2026
- Discretionary RAUM · $369M to $394MMar 25, 2025 to Mar 11, 2026
- HNW RAUM · $129M to $141MMar 25, 2025 to Mar 11, 2026
- Individual RAUM · $240M to $253MMar 25, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $95.8M to $101MMar 25, 2025 to Mar 11, 2026
- Pension RAUM · $95.8M to $101MMar 25, 2025 to Mar 11, 2026
- RAUM · $465M to $495MMar 25, 2025 to Mar 11, 2026
- Accounts · 863 to 909Mar 19, 2024 to Mar 25, 2025
- HNW clients · 119 to 120Mar 19, 2024 to Mar 25, 2025
- Individual clients · 404 to 406Mar 19, 2024 to Mar 25, 2025
- Pension plan clients · 14 to 16Mar 19, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Mar 19, 2024 to Mar 25, 2025
- Discretionary RAUM · $290M to $369MMar 19, 2024 to Mar 25, 2025
- HNW RAUM · $88.1M to $129MMar 19, 2024 to Mar 25, 2025
- Individual RAUM · $202M to $240MMar 19, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $61.3M to $95.8MMar 19, 2024 to Mar 25, 2025
- Pension RAUM · $61.3M to $95.8MMar 19, 2024 to Mar 25, 2025
- RAUM · $351M to $465MMar 19, 2024 to Mar 25, 2025
- Accounts · 913 to 863Mar 1, 2024 to Mar 19, 2024
- HNW clients · 112 to 119Mar 1, 2024 to Mar 19, 2024
- Individual clients · 425 to 404Mar 1, 2024 to Mar 19, 2024
- Pension plan clients · 12 to 14Mar 1, 2024 to Mar 19, 2024
- Discretionary RAUM · $239M to $290MMar 1, 2024 to Mar 19, 2024
- HNW RAUM · $168M to $88.1MMar 1, 2024 to Mar 19, 2024
- Individual RAUM · $70.4M to $202MMar 1, 2024 to Mar 19, 2024
- Non-discretionary RAUM · $42.8M to $61.3MMar 1, 2024 to Mar 19, 2024
- Pension RAUM · $42.8M to $61.3MMar 1, 2024 to Mar 19, 2024
- RAUM · $281M to $351MMar 1, 2024 to Mar 19, 2024
- Advisory employees · 7 to 6Sep 14, 2023 to Mar 1, 2024
- Employees · 10 to 9Sep 14, 2023 to Mar 1, 2024
- State-registered IARs · 7 to 6Sep 14, 2023 to Mar 1, 2024
- Accounts · 912 to 913Jul 29, 2022 to Mar 14, 2023
- Individual clients · 429 to 425Jul 29, 2022 to Mar 14, 2023
- Discretionary RAUM · $354M to $239MJul 29, 2022 to Mar 14, 2023
- HNW RAUM · $267M to $168MJul 29, 2022 to Mar 14, 2023
- Individual RAUM · $86.5M to $70.4MJul 29, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $68.6M to $42.8MJul 29, 2022 to Mar 14, 2023
Signals
4 dated events
- P•••••••• A••••••• C••••••••• reported RAUM $465.0M, up 32% from $351.1M (2024-03-19 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- T••••• P••••• M•••• left P•••••••• A••••••• C••••••••• for G••••••• W••••• A•••••••• L•• (registered 2024-03-15)Mar 1, 2024 · Advisor changed firm · fact
- P•••••••• A••••••• C••••••••• reported RAUM $281.4M, down 33% from $422.2M (2022-07-29 to 2023-03-14)Mar 14, 2023 · RAUM change · derived
- P•••••••• A••••••• C••••••••• reported RAUM $284.8M, down 32% from $416.6M (2017-11-09 to 2018-03-14)Mar 14, 2018 · 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
- 713-622-3950reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-574-6015reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-574-6030reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713.574.6015reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- p•••••••••.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
- $70.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026