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.
SEC-registered adviser
Corda Investment Management, LLC
Latest filing Aug 26, 2026
First filing on the tape Jan 17, 2012 · 77 filings
SEC status approved since Dec 20, 1999
RAUM
$2.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$2.0B individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$66.7M
derived; firm RAUM over IAPD count
Employees
32
26 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
77 filings and snapshots on the tape
RAUM$2.0B as of Aug 26, 2026
Jan 30, 2012$301M then
HNW client RAUM$1.6B as of Aug 26, 2026
Feb 27, 2018$373M then
State-registered IARs (5.B.3)28 as of Aug 26, 2026
Feb 7, 20133 then
Employees (5.A)32 as of Aug 26, 2026
Feb 7, 201311 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 27 to 28offices 6 to 4
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $66.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $645,410derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 6.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B80%
- Individuals$389M19%
- Pension and profit-sharing plans$14.6M0.7%
- Charitable organizations$1.9M0.1%
- Individual clients
- 794reported
- HNW clients
- 565reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 3,099reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Bonner Castles Barnes | Houston, Tx | Jun 30, 2008 | 26 y | 0 |
| Jason Michael Iacobucci | Houston, Tx | Jun 18, 2009 | 25 y | 2 |
| John Patrick Schloegel | Houston, Tx | Oct 12, 2010 | 25 y | 3 |
| Brian Anthony Raupp | Houston, Tx | Jan 30, 2012 | 15 y | 0 |
| Terrance Stephen Puhl | Houston, Tx | Jul 10, 2012 | 43 y | 2 |
| Teresa S. Queal | Houston, Tx | Dec 6, 2012 | 28 y | 1 |
| Jeffrey Todd Dodson | Houston, Tx | Jul 29, 2013 | 32 y | 2 |
| Timothy Bryce Wolfcale | Houston, Tx | Feb 28, 2014 | 40 y | 5 |
| Craig Alan Fowlkes | Houston, Tx | Jul 30, 2015 | 25 y | 0 |
| Kevin P Hopkins | Houston, Tx | Mar 15, 2018 | 30 y | 11 |
| Brooke Hudson Naghavi | Houston, Tx | May 23, 2018 | 16 y | 0 |
| Duane Cameron Davis | Houston, Tx | Feb 28, 2019 | 39 y | 4 |
| William Ross Gorman | Houston, Tx | Apr 4, 2022 | 34 y | 3 |
| Shane Michael Bulgerin | Houston, Tx | May 10, 2022 | 19 y | 8 |
| Rajin Joshi | Houston, Tx | Aug 16, 2022 | 12 y | 0 |
| Vernon Keith Roberts | Houston, Tx | Aug 19, 2022 | 42 y | 9 |
| Jamie Dewayne CarmackCertified Financial Planner | Tyler, Tx | Jan 24, 2023 | 27 y | 5 |
| Joseph Frederick Biegaj | Philadelphia, Pa | Jan 17, 2024 | 13 y | 0 |
| Johnnie William Driver | Houston, Tx | Apr 17, 2024 | 22 y | 10 |
| Catherine Mcnally PatrickCertified Financial Planner | Houston, Tx | Jul 18, 2024 | 23 y | 2 |
| Javier Javier Parada | Houston, Tx | Aug 15, 2024 | 18 y | 1 |
| Elizabeth Meredith Nierzwicki | Houston, Tx | Sep 9, 2024 | 16 y | 1 |
| Kristen Leanne O'Brien | Broomfield, Co | Jan 9, 2025 | 32 y | 3 |
| David JulianCertified Financial Planner | Houston, Tx | Mar 20, 2025 | 10 y | 2 |
| Madison Marie Kiani | Dallas, Tx | Jun 18, 2025 | 14 y | 1 |
| Lesley Larkin Groux | Houston, Tx | Oct 31, 2025 | 10 y | 0 |
| Gerardo Alejandro Martinez | Austin, Tx | Feb 10, 2026 | 10 y | 1 |
| Alexandra Claire Neault | Houston, Tx | Feb 19, 2026 | 11 y | 1 |
| Joshua Christopher Mitchell | Houston, Tx | Mar 31, 2026 | 18 y | 4 |
| Robert Gwydir | Houston, Tx | Aug 6, 2026 | 10 y | 4 |
Advisor movement
1 left, 4 joined in 12 months
net +3 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 3.3% of current headcount3 left over 36 months
Left, latest
- Rami K Odeh to Edward JonesMar 2, 2026 · RIA to affiliated broker-dealer or bank
- Damah Rankin to Wealth Enhancement Advisory Services, LLCMay 29, 2025 · RIA to affiliated broker-dealer or bank
- Ryan James Petry to Key Investment Services LLCAug 13, 2024 · RIA to affiliated broker-dealer or bank
- Matthew Howie to Awm Financial Services Inc.Jun 7, 2023 · RIA to RIA
- Jonathan P English to Portfolio DynamixApr 20, 2022 · RIA to a state-registered adviser
- James Kevin Oneill to Intrua FinancialNov 14, 2017 · Other
- Gage Preston Dahmann to Strategic Advisers LLCMar 6, 2013 · Other
Joined, latest
- Robert Gwydir from The Goff Financial GroupAug 6, 2026 · RIA to RIA
- Joshua Christopher Mitchell from Orion Portfolio Solutions, LLCMar 31, 2026 · Affiliated broker-dealer or bank to independent RIA
- Alexandra Claire Neault from Florida Financial Advisors, LLCFeb 19, 2026 · Affiliated broker-dealer or bank to independent RIA
- Gerardo Alejandro Martinez from Brighton Jones LLCFeb 10, 2026 · RIA to RIA
- Madison Marie Kiani from Dimensional Fund Advisors LPJun 18, 2025 · Other
- David Julian from Morgan StanleyMar 20, 2025 · Wirehouse to independent RIA
- Kristen Leanne O'Brien from Mercer Global Advisors Inc.Jan 9, 2025 · RIA to RIA
- Elizabeth Meredith Nierzwicki from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 9, 2024 · Wirehouse to independent RIA
- Javier Javier Parada from Fidelity Personal And Workplace AdvisorsAug 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- Catherine Mcnally Patrick from MML Investors Services, LLCJul 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- Rami K Odeh from Morgan StanleyMay 7, 2024 · Wirehouse to independent RIA
- Johnnie William Driver from Charles Schwab & Co., Inc.Apr 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- Damah Rankin from United Capital Financial AdvisorsAug 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- Jamie Dewayne Carmack from Vanguard Advisers, Inc.Jan 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- Matthew Howie from The Broughton Investment Group, Inc.Jan 6, 2023 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Scottrade Investment ManagementMar 8, 2018 · Saint Louis, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Castles Bonner Barnes · Managing Membercontrolsince 05/2012 · owns 25% to 50%
- Keith Vernon Roberts · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- Nmi Corrin Barnes · Trusteecontrolsince 12/2014 · owns F of The Corrin Barnes Trust
- Wahl Dana Barnes · Trusteecontrolsince 12/2014 · owns F of Dana Wahl Barnes Trust
Entity owners
- Dana Wahl Barnes Trust · Memberdirect · owns 10% to 25%
- The Corrin Barnes Trust · Memberdirect · 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 | 29 | 5 | 1 | ||
| Broomfield, Co | 3 | 1 | 0 | ||
| Dallas, Tx | 3 | 0 | 0 | ||
| Austin, Tx | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX3 employees
- Austin, TX2 employees
- Broomfield, CO1 employees
- Coral Gables, FL1 employees
- Metairie, LA1 employees
- San Antonio, TX1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 26, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-02-10, yes on the filing of 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026Barnes, Dana, Wahl (TRUSTEE) left Schedule A between the filings of 2022-08-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Aug 26, 2026Barnes, Corrin, NMI (TRUSTEE) left Schedule A between the filings of 2022-08-30 and 2026-08-26peers: independent wealth managers, $1B to $5B (1,360)
- office count dropChange between filings · filing Feb 10, 2026offices other than the principal office (Item 1.F.5) moved from 6.0 to 3.0 (-50.0%) between the annual amendments of 2025-02-18 and 2026-02-10; the peer median change was 0.0% (379 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 1.6% percentile
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Feb 10, 2026 to Aug 26, 2026
- Other offices · 3 to 4Feb 10, 2026 to Aug 26, 2026
- Employees · 31 to 32Aug 12, 2025 to Feb 10, 2026
- State-registered IARs · 27 to 28Aug 12, 2025 to Feb 10, 2026
- Accounts · 2,966 to 3,099Aug 12, 2025 to Feb 10, 2026
- Advisory employees · 25 to 26Aug 12, 2025 to Feb 10, 2026
- Charity clients · unset to 1.0Aug 12, 2025 to Feb 10, 2026
- HNW clients · 503 to 565Aug 12, 2025 to Feb 10, 2026
- Individual clients · 824 to 794Aug 12, 2025 to Feb 10, 2026
- Pension plan clients · 5 to 3Aug 12, 2025 to Feb 10, 2026
- Discretionary RAUM · $1.6B to $1.9BAug 12, 2025 to Feb 10, 2026
- HNW RAUM · $1.4B to $1.6BAug 12, 2025 to Feb 10, 2026
- Individual RAUM · $356M to $389MAug 12, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $87.0M to $61.8MAug 12, 2025 to Feb 10, 2026
- Pension RAUM · $13.7M to $14.6MAug 12, 2025 to Feb 10, 2026
- RAUM · $1.7B to $2.0BAug 12, 2025 to Feb 10, 2026
- Other offices · 5 to 3Jun 17, 2025 to Aug 12, 2025
- Financial planning clients · 101-250 to 101-250May 19, 2025 to Jun 17, 2025
- Other offices · 6 to 5May 19, 2025 to Jun 17, 2025
- Accounts · 2,953 to 2,966Jan 6, 2025 to Feb 18, 2025
- Advisory employees · 18 to 25Jan 6, 2025 to Feb 18, 2025
- HNW clients · 607 to 503Jan 6, 2025 to Feb 18, 2025
- Individual clients · 708 to 824Jan 6, 2025 to Feb 18, 2025
- Pension plan clients · unset to 5.0Jan 6, 2025 to Feb 18, 2025
- Assets in custody · 1562573916.0 to unsetJan 6, 2025 to Feb 18, 2025
- Custody of client assets · true to falseJan 6, 2025 to Feb 18, 2025
- Employees · 27 to 31Jan 6, 2025 to Feb 18, 2025
- Financial planning clients · 251-500 to 101-250Jan 6, 2025 to Feb 18, 2025
- State-registered IARs · 22 to 27Jan 6, 2025 to Feb 18, 2025
- Discretionary RAUM · $1.5B to $1.6BJan 6, 2025 to Feb 18, 2025
- HNW RAUM · $1.3B to $1.4BJan 6, 2025 to Feb 18, 2025
- Individual RAUM · $281M to $356MJan 6, 2025 to Feb 18, 2025
- Non-discretionary RAUM · $83.2M to $87.0MJan 6, 2025 to Feb 18, 2025
- Pension RAUM · $7.9M to $13.7MJan 6, 2025 to Feb 18, 2025
- RAUM · $1.6B to $1.7BJan 6, 2025 to Feb 18, 2025
- Accounts · 2,890 to 2,953Nov 20, 2023 to Feb 9, 2024
- Advisory employees · 19 to 18Nov 20, 2023 to Feb 9, 2024
- HNW clients · 911 to 607Nov 20, 2023 to Feb 9, 2024
- Individual clients · 390 to 708Nov 20, 2023 to Feb 9, 2024
- Assets in custody · $1.4B to $1.6BNov 20, 2023 to Feb 9, 2024
Signals
8 dated events
- Rami K Odeh left Corda Investment Management, Llc for Edward Jones (registered 2026-04-10)Mar 2, 2026 · Advisor changed firm · fact
- Damah Rankin left Corda Investment Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-06-27)May 29, 2025 · Advisor changed firm · fact
- Ryan James Petry left Corda Investment Management, Llc for Key Investment Services Llc (registered 2024-11-04)Aug 13, 2024 · Advisor changed firm · fact
- Matthew Howie left Corda Investment Management, Llc for Awm Financial Services Inc. (registered 2023-09-29)Jun 7, 2023 · Advisor changed firm · fact
- Patrick John Schloegel (Chief Compliance Officer) no longer on Schedule A of Corda Investment Management, Llc (listed 2022-04-29, absent 2022-08-30)Aug 30, 2022 · Control person left · inference
- Keith Vernon Roberts (Chief Compliance Officer) appeared on Schedule A of Corda Investment Management, LlcAug 30, 2022 · Control person joined · fact
- Jonathan P English left Corda Investment Management, Llc for Portfolio Dynamix (registered 2022-09-15)Apr 20, 2022 · Advisor changed firm · fact
- Corda Investment Management reported succeeding to the business of Another Adviser (Form ADV Item 4)May 24, 2012 · 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 phone
- 713-439-0665reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 855-439-0665reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/corda-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- cordamanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 713-439-0665reportedpublic record, Form ADV, Aug 26, 2026
- Contact form
- cordamanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- cordamanagement.com/about/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
- $66.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026