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
A•••• H••••••• • C••••••••
Legal name A•••• H••••••• • C•••••••• I••
Latest filing Aug 27, 2026
First filing on the tape Mar 20, 2012 · 33 filings
SEC status approved since Nov 29, 1995
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.9B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$348M
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$2.1B as of Aug 27, 2026
Mar 20, 2012$442M then
HNW client RAUM$1.8B as of Aug 27, 2026
Mar 29, 2018$595M then
State-registered IARs (5.B.3)5 as of Aug 27, 2026
Mar 20, 20120 then
Employees (5.A)13 as of Aug 27, 2026
Mar 21, 201310 then
Private funds: no history
RAUM +19% over the last fiscal year+24% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Aug 27, 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
- $348MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $738,782derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $2.1B, 819 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B86%
- Corporations and businesses$156M7.5%
- Individuals$78.9M3.8%
- Pension and profit-sharing plans$39.9M1.9%
- Charitable organizations$13.2M0.6%
- Individual clients
- 240reported
- HNW clients
- 524reported
- Pension plan clients
- 20reported
- Charitable clients
- 11reported
- Accounts
- 2,825reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.1B for 819 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• D•••••• A••••Certified Financial Planner | Houston, Tx | May 3, 2004 | 41 y | 0 |
| L••• P••••• C••••••••Chartered Financial Analyst | Houston, Tx | May 10, 2004 | 40 y | 0 |
| M••••• W••••• B•••• | Houston, Tx | Oct 26, 2017 | 19 y | 0 |
| S••• W•••••• J••••••Chartered Financial Analyst | Houston, Tx | Jan 1, 2020 | 13 y | 0 |
| J••••••• L••• B••••• | Houston, Tx | Feb 28, 2024 | 29 y | 3 |
| J•••• P•••••• D••••Certified Financial Planner | Houston, Tx | Aug 30, 2026 | 11 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••• P•••••• D•••• from R•• C•••••• M••••••• L••Aug 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••••• L••• B••••• from E•••• V•••• M•••••••••Feb 28, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••••• D•••••• · Principalcontrolsince 01/1995 · owns 10% to 25%
- B•••••• J•••••••• L••• · Principalcontrolsince 08/2024 · owns less than 5%
- B••••• M•••••• W••••• · Principalcontrolsince 01/2020 · owns 10% to 25%
- C••••••••• L•••• P••••• · Principal, Chief Compliance Officercontrolsince 01/1995 · owns 25% to 50%
- J••••••• S•••• W•••••• · Principalcontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,091 to 2,825Mar 28, 2025 to Mar 30, 2026
- Charity clients · 4 to 11Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 27 to 24Mar 28, 2025 to Mar 30, 2026
- HNW clients · 493 to 524Mar 28, 2025 to Mar 30, 2026
- Individual clients · 239 to 240Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 18 to 20Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $1.8B to $2.1BMar 28, 2025 to Mar 30, 2026
- Employees · 11 to 13Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.8B to $2.1BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $1.5B to $1.8BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $78.4M to $78.9MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $32.4M to $39.9MMar 28, 2025 to Mar 30, 2026
- RAUM · $1.8B to $2.1BMar 28, 2025 to Mar 30, 2026
- Accounts · 1,963 to 2,091Aug 20, 2024 to Mar 28, 2025
- Charity clients · 0 to 4Aug 20, 2024 to Mar 28, 2025
- Corporate clients · 28 to 27Aug 20, 2024 to Mar 28, 2025
- HNW clients · 427 to 493Aug 20, 2024 to Mar 28, 2025
- Individual clients · 251 to 239Aug 20, 2024 to Mar 28, 2025
- Pension plan clients · 17 to 18Aug 20, 2024 to Mar 28, 2025
- Assets in custody · $1.3B to $1.8BAug 20, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Aug 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.3B to $1.8BAug 20, 2024 to Mar 28, 2025
- HNW RAUM · $1.1B to $1.5BAug 20, 2024 to Mar 28, 2025
- Individual RAUM · $84.3M to $78.4MAug 20, 2024 to Mar 28, 2025
- Pension RAUM · $24.1M to $32.4MAug 20, 2024 to Mar 28, 2025
- RAUM · $1.3B to $1.8BAug 20, 2024 to Mar 28, 2025
- Accounts · 1,901 to 1,963Mar 27, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Mar 27, 2023 to Mar 28, 2024
- Corporate clients · 37 to 28Mar 27, 2023 to Mar 28, 2024
- HNW clients · 375 to 427Mar 27, 2023 to Mar 28, 2024
- Individual clients · 406 to 251Mar 27, 2023 to Mar 28, 2024
- Pension plan clients · 16 to 17Mar 27, 2023 to Mar 28, 2024
- Assets in custody · $1.1B to $1.3BMar 27, 2023 to Mar 28, 2024
- Employees · 10 to 11Mar 27, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 5Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.3BMar 27, 2023 to Mar 28, 2024
- HNW RAUM · $877M to $1.1BMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $106M to $84.3MMar 27, 2023 to Mar 28, 2024
- Pension RAUM · $18.2M to $24.1MMar 27, 2023 to Mar 28, 2024
- RAUM · $1.1B to $1.3BMar 27, 2023 to Mar 28, 2024
Signals
5 dated events
- A•••• H••••••• • C•••••••• reported RAUM $1.8B, up 32% from $1.3B (2024-08-20 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- L••• J••••••• B••••• (Principal) appeared on Schedule A of A•••• H••••••• • C••••••••Aug 20, 2024 · Control person joined · fact
- Clifford Mark Harriman (Principal) no longer on Schedule A of A•••• H••••••• • C•••••••• (listed 2021-03-30, absent 2021-07-21)Jul 21, 2021 · Control person left · inference
- Wallace Scot Johnson (Principal) appeared on Schedule A of A•••• H••••••• • C••••••••Mar 24, 2021 · Control person joined · fact
- Wilson Marcus Berry (Principal) appeared on Schedule A of A•••• H••••••• • C••••••••Jan 17, 2020 · Control person joined · 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@ahcinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-621-1155reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-621-7318reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/adell-harriman-&-carpenter-inc./aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-621-1155reportedpublic record, Form ADV, Aug 27, 2026
- Contact form
- ahcinvest.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ahcinvest.com/our-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
- $348Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026