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
M••••• W••••• A•••••••
Legal name D••••• B•••••• P•••••• W••••• M••••••••• L••
Latest filing Sep 8, 2026
First filing on the tape Mar 30, 2012 · 45 filings
SEC status approved since Jan 25, 2001
RAUM
$2.8B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
92%
$2.6B individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
27
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$2.8B as of Feb 19, 2026
Mar 30, 2012$654M then
HNW client RAUM$2.6B as of Feb 19, 2026
Mar 28, 2018$833M then
State-registered IARs (5.B.3)20 as of Feb 19, 2026
Mar 30, 20120 then
Employees (5.A)27 as of Feb 19, 2026
Apr 1, 201312 then
Private funds2 as of Mar 28, 2023
Mar 28, 20182 then
RAUM +38% over the last fiscal year+26% a year over threeIARs 18 to 20offices 1 to 2
Practice profile
derived from the filing of Sep 8, 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
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $978,747derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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$2.6B91%
- Pooled investment vehicles$132M4.6%
- Corporations and businesses$63.9M2.2%
- Charitable organizations$24.4M0.9%
- Individuals$21.7M0.8%
- Individual clients
- 70reported
- HNW clients
- 311reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 2,905reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.05 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• B•••••• B••••••Personal Financial Specialist | Austin, Tx | Oct 17, 2001 | 12 y | 0 |
| M•••••• P••• J••••••••Chartered Financial Analyst | Austin, Tx | Aug 13, 2004 | 22 y | 0 |
| P••• D••••• L•••Certified Financial Planner | Austin, Tx | Jan 28, 2008 | 26 y | 0 |
| T•••• B••••••• S•••••Certified Financial Planner, Chartered Financial Analyst | Austin, Tx | May 6, 2015 | 12 y | 1 |
| E•••••••• J••• R•••••••Certified Financial Planner | Austin, Tx | Sep 19, 2016 | 11 y | 2 |
| A••••• M••••• S••••Certified Financial Planner | Austin, Tx | Jun 1, 2017 | 16 y | 3 |
| A••••• K••••••Certified Financial Planner | Austin, Tx | Jun 30, 2017 | 10 y | 0 |
| K•••••• T•••••• B•••• | Austin, Tx | Mar 1, 2019 | 14 y | 0 |
| T••••• F•••••• B•••••• | Austin, Tx | Oct 8, 2019 | 11 y | 0 |
| D••••• F• W••• | Austin, Tx | Jul 10, 2020 | 12 y | 0 |
| A•••••••• B•••••• R•••••• | Austin, Tx | Apr 2, 2021 | 10 y | 0 |
| D••••• E••• K••••••Certified Financial Planner, Chartered Financial Analyst | Austin, Tx | Jun 13, 2022 | 10 y | 0 |
| K•••• R• T•••••• | Austin, Tx | Sep 27, 2022 | 18 y | 2 |
| B••••• A••••Certified Financial Planner | Austin, Tx | Apr 14, 2023 | 11 y | 0 |
| J••••• R• Q•••••••Certified Financial Planner | Austin, Tx | Jun 27, 2023 | 13 y | 3 |
| A••••• F•••••• F•••Certified Financial Planner, Personal Financial Specialist | Austin, Tx | Mar 22, 2024 | 29 y | 1 |
| J•• M••••• G••••••Certified Financial Planner | Austin, Tx | Apr 5, 2024 | 13 y | 4 |
| I•••• T•••••••Chartered Financial Analyst | Austin, Tx | May 29, 2024 | 10 y | 0 |
| L•••• I••••• A•••••• | Austin, Tx | Oct 28, 2025 | 11 y | 0 |
| J••••• G••• Z••••••• | Austin, Tx | Feb 18, 2026 | 11 y | 0 |
| S••••• R••• T•••••Certified Financial Planner | Austin, Tx | May 12, 2026 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- M••• R••••• J•••••• to H•••••••• A•••••••• L••Nov 8, 2024 · RIA to affiliated broker-dealer or bank
- C••••• T•• P••• to X••• S•••••••Oct 3, 2023 · Other
- B••••• M••••••• P•••••••• to O•••••••• C••••••• L••Aug 15, 2023 · RIA to a newly registered adviser
- J••• S••••• C••••••• to B••••••• J•••• L••Feb 1, 2023 · RIA to RIA
- J•• M••••• G•••••• to B•• P•••••••• L••Aug 23, 2022 · RIA to RIA
- T••••• R••• J•••••• to C•••••••• F•••••••• A•••••••Apr 2, 2018 · RIA to RIA
- J••••• W••••••••• to K••••• A••••••• S•••••••• L••Feb 1, 2017 · Other
- M••••••• G• Y•••• to R••Aug 26, 2016 · Other
- A••••• D•••• G••• to V•••••••• V•••••••• L••Feb 25, 2015 · Other
- K•••• A••••• K••••••• to N••••••• T•••• S••••••••• I••Sep 9, 2014 · Other
- H••••• E•••••• P••••••• to M•••••• H••• A•••••••• L••May 27, 2014 · Other
- S••• L•••• S•••• to E••••••• W••••• M••••••••• L••Apr 23, 2013 · Other
Joined, latest
- S••••• R••• T••••• from P•••••• F•••••••• A•••••••May 12, 2026 · RIA to RIA
- J•• M••••• G•••••• from B•• P•••••••• L••Apr 5, 2024 · RIA to RIA
- A••••• F•••••• F••• from M••• W••••• M••••••••• L••Mar 22, 2024 · RIA to RIA
- J••••• R• Q••••••• from C•••••• S••••• • C••• I•••Jun 27, 2023 · Affiliated broker-dealer or bank to independent RIA
- K•••• R• T•••••• from D••••••••• F••• A••••••• L•Sep 27, 2022 · Other
- M••• R••••• J•••••• from J•• F•••••••• • T•• A••••••• G••••• L••Dec 10, 2021 · RIA to RIA
- J•• M••••• G•••••• from R••••• A•••••••Apr 14, 2020 · RIA to RIA
- A••••• M••••• S•••• from B•••••• C••••••Jun 1, 2017 · Other
- E•••••••• J••• R••••••• from K••••• A••••••• S•••••••• L••Sep 19, 2016 · Other
- T•••• B••••••• S••••• from D••••••••• F••• A••••••• L•May 6, 2015 · Other
- J••••• W••••••••• from C•••••• M••••••••• F•••••••• A•••••••Mar 3, 2015 · Other
- A••••• D•••• G••• from U••• I••••••••• S••••••• C••••••Nov 13, 2014 · Other
- K•••• A••••• K••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 12, 2011 · Other
- S••• L•••• S•••• from E••••••••• C•••••• M••••••••• L•Dec 2, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••••• T•••••• · Member/Partnercontrolsince 06/2023 · owns 5% to 10%
- F•••• A•••••• F•••••• · Member/Partnercontrolsince 01/2025 · owns 5% to 10%
- J••••••••• M••••••• P••• · Managing Member/Partner/Ciocontrolsince 07/2013 · owns 10% to 25%
- K••••••• A••••• · Managing Member/Partner Compliance Officercontrolsince 01/2022 · owns 10% to 25%
- L•••• P•••• D••••• · Managing Member/Partnercontrolsince 07/2013 · owns 10% to 25%
- S•••••• T••••• B••••••• · Manging Member/Partner/Ceocontrolsince 01/2017 · owns 10% to 25%
- S••••• A•••••• M••••• · Member/Partnercontrolsince 06/2023 · owns 5% to 10%
- T••••••• K••••• R• · Member/Partnercontrolsince 06/2023 · owns 5% to 10%
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 | 21 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 8, 2026S••••• A•••••• M••••• (MEMBER/PARTNER) left Schedule A between the filings of 2023-08-16 and 2026-09-08peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 8, 2026F•••• A•••••• F•••••• (MEMBER/PARTNER) appeared on Schedule A between the filings of 2023-08-16 and 2026-09-08peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Feb 19, 2026accounts (Item 5.F.2.f) moved from 450.0 to 2,905.0 (+546.0%) between the annual amendments of 2025-03-19 and 2026-02-19; the peer median change was +6.0% (1206 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 100% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Feb 19, 2026 to Sep 8, 2026
- Related adviser · false to unsetFeb 19, 2026 to Sep 8, 2026
- Related bank · false to unsetFeb 19, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetFeb 19, 2026 to Sep 8, 2026
- Related insurance company · false to unsetFeb 19, 2026 to Sep 8, 2026
- Succession · false to unsetFeb 19, 2026 to Sep 8, 2026
- Accounts · 450 to 2,905Jul 8, 2025 to Feb 19, 2026
- Advisory employees · 15 to 16Jul 8, 2025 to Feb 19, 2026
- Advisory activities · 6 to 5Jul 8, 2025 to Feb 19, 2026
- Charity clients · 3 to 5Jul 8, 2025 to Feb 19, 2026
- Corporate clients · 5 to 6Jul 8, 2025 to Feb 19, 2026
- HNW clients · 277 to 311Jul 8, 2025 to Feb 19, 2026
- Individual clients · 63 to 70Jul 8, 2025 to Feb 19, 2026
- Pooled vehicle clients · unset to 3.0Jul 8, 2025 to Feb 19, 2026
- Employees · 24 to 27Jul 8, 2025 to Feb 19, 2026
- State-registered IARs · 18 to 20Jul 8, 2025 to Feb 19, 2026
- Discretionary RAUM · $1.8B to $2.3BJul 8, 2025 to Feb 19, 2026
- HNW RAUM · $1.8B to $2.6BJul 8, 2025 to Feb 19, 2026
- Individual RAUM · $185M to $21.7MJul 8, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $295M to $553MJul 8, 2025 to Feb 19, 2026
- Pooled vehicle RAUM · unset to 131978000.0Jul 8, 2025 to Feb 19, 2026
- RAUM · $2.1B to $2.8BJul 8, 2025 to Feb 19, 2026
- Financial planning clients · 251-500 to 251-500May 15, 2025 to Jul 8, 2025
- Other offices · 1 to 2May 15, 2025 to Jul 8, 2025
- Accounts · 355 to 450Nov 1, 2024 to Mar 19, 2025
- Advisory employees · 10 to 15Nov 1, 2024 to Mar 19, 2025
- Corporate clients · unset to 5.0Nov 1, 2024 to Mar 19, 2025
- HNW clients · 189 to 277Nov 1, 2024 to Mar 19, 2025
- Individual clients · 73 to 63Nov 1, 2024 to Mar 19, 2025
- Pooled vehicle clients · 3.0 to unsetNov 1, 2024 to Mar 19, 2025
- Employees · 22 to 24Nov 1, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 251-500Nov 1, 2024 to Mar 19, 2025
- State-registered IARs · 16 to 18Nov 1, 2024 to Mar 19, 2025
- Discretionary RAUM · $1.5B to $1.8BNov 1, 2024 to Mar 19, 2025
- HNW RAUM · $1.5B to $1.8BNov 1, 2024 to Mar 19, 2025
- Individual RAUM · $28.7M to $185MNov 1, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $275M to $295MNov 1, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · 174997536.0 to unsetNov 1, 2024 to Mar 19, 2025
- RAUM · $1.8B to $2.1BNov 1, 2024 to Mar 19, 2025
- Other offices · 0 to 1Apr 1, 2024 to Apr 5, 2024
Signals
15 dated events
- M••••• W••••• A••••••• reported RAUM $2.8B, up 38% from $2.1B (2025-07-08 to 2026-02-19)Feb 19, 2026 · RAUM change · derived
- M••• R••••• J•••••• left M••••• W••••• A••••••• for H•••••••• A•••••••• L•• (registered 2024-08-20)Nov 8, 2024 · Advisor changed firm · fact
- Baldwin Richard B•••••• (Member/Partner) no longer on Schedule A of M••••• W••••• A••••••• (listed 2024-05-21, absent 2024-07-12)Jul 12, 2024 · Control person left · inference
- Thi Cherry Phan (Member/Partner) no longer on Schedule A of M••••• W••••• A••••••• (listed 2023-09-08, absent 2023-12-14)Dec 14, 2023 · Control person left · inference
- C••••• T•• P••• left M••••• W••••• A••••••• for X••• S••••••• (registered 2024-11-26)Oct 3, 2023 · Advisor changed firm · fact
- Meagan Angela Smith (Member/Partner) appeared on Schedule A of M••••• W••••• A•••••••Aug 16, 2023 · Control person joined · fact
- R Kevin Tiernan (Member/Partner) appeared on Schedule A of M••••• W••••• A•••••••Aug 16, 2023 · Control person joined · fact
- T•••••• K•••••• B•••• (Member/Partner) appeared on Schedule A of M••••• W••••• A•••••••Aug 16, 2023 · Control person joined · fact
- B••••• M••••••• P•••••••• left M••••• W••••• A••••••• for O•••••••• C••••••• L•• (registered 2024-05-15)Aug 15, 2023 · Advisor changed firm · fact
- J••• S••••• C••••••• left M••••• W••••• A••••••• for B••••••• J•••• L•• (registered 2023-01-31)Feb 1, 2023 · Advisor changed firm · fact
- J•• M••••• G•••••• left M••••• W••••• A••••••• for B•• P•••••••• L•• (registered 2022-08-18)Aug 23, 2022 · Advisor changed firm · fact
- Huang Margaret Casey (Member/Partner) no longer on Schedule A of M••••• W••••• A••••••• (listed 2022-05-02, absent 2022-06-27)Jun 27, 2022 · Control person left · inference
- A••••• K•••••• (Member/Partner) appeared on Schedule A of M••••• W••••• A•••••••Mar 28, 2022 · Control person joined · fact
- Thi Cherry Phan (Member) appeared on Schedule A of M••••• W••••• A•••••••Mar 31, 2020 · Control person joined · fact
- D••••• B•••••• P••••••• P•••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 15, 2013 · 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
- fredfrey@maslow-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- janierichards@maslow-wealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/maslow-wealth-advisors/postsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- maslow-wealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-610-6930reportedpublic record, Form ADV, Sep 8, 2026
- Team page
- maslow-wealth.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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026