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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Former SEC-registered adviser
W•••••••• A•••• M••••••••• I••
Latest filing Mar 22, 2022
First filing on the tape Mar 23, 2012 · 19 filings
RAUM
$413M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
93%
$383M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$413M as of Mar 22, 2022
Mar 23, 2012$138M then
HNW client RAUM$254M as of Mar 22, 2022
Mar 21, 2018$137M then
State-registered IARs (5.B.3)4 as of Mar 22, 2022
Mar 22, 20135 then
Employees (5.A)6 as of Mar 22, 2022
Mar 22, 201310 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $514,392derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, 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)
- 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$254M62%
- Individuals$129M31%
- Pension and profit-sharing plans$16.8M4.1%
- Charitable organizations$9.2M2.2%
- Corporations and businesses$3.7M0.9%
- Individual clients
- 431reported
- HNW clients
- 57reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 802reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M••••• L••• M••••• to A•••• W••••• M••••••••• L••Oct 5, 2022 · RIA to RIA
- D•••• P••• V•••••• to A•••• W••••• M••••••••• L••Oct 5, 2022 · RIA to RIA
- C••••••••• S•••• M••• to C••••••••• F•••••••• N••••••Aug 31, 2022 · RIA to affiliated broker-dealer or bank
- B•••••• C•••• M••••• to C••••••••• F•••••••• N••••••Aug 31, 2022 · RIA to affiliated broker-dealer or bank
- S•••••• W•••• C••••• to C••••••••• F•••••••• N••••••Aug 31, 2022 · RIA to affiliated broker-dealer or bank
- M••••••• G••••• L••• to F••••••• P••••••• A•• W•••••••• A•••••••Aug 18, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• N••• to F••••••• P••••••• A•• W•••••••• A•••••••May 6, 2022 · RIA to affiliated broker-dealer or bank
- J•••• A•••••• V••••• R•••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Aug 13, 2021 · RIA to affiliated broker-dealer or bank
- J•••• P••••• W••• to F•••• I••••••••• A••••••• S•••••••• I•••Aug 4, 2010 · Other
- D••••• C•••••• A••••••• to L•• F•••••••• L••Aug 10, 2005 · Other
Joined, latest
- M•••••• N••• from D••• H••• A•••••••• I•••Mar 1, 2018 · Other
- J•••• P••••• W••• from P•••••••• P•••••••• L••Sep 16, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••• W••••• M••••••••• L••Oct 5, 2022 · The W••••••••, Tx
- 3 left for C••••••••• F•••••••• N••••••Aug 31, 2022 · Lufkin, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M•••••• L••• · Pres/Ceo/Chief Compliance Officercontrolsince 01/1994 · owns 75% or more
Related persons
Schedule D 7.A
- C••••• S••••insurancey
- M••••• M•••••pooled vehicle sponsory
- R•••• M•••••••insurancen
- W•••••••• S••••••••• C•••••••••broker-dealerpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 751 to 802Mar 23, 2021 to Mar 22, 2022
- Advisory employees · 7 to 6Mar 23, 2021 to Mar 22, 2022
- Charity clients · 5 to 4Mar 23, 2021 to Mar 22, 2022
- Corporate clients · 2 to 3Mar 23, 2021 to Mar 22, 2022
- HNW clients · 60 to 57Mar 23, 2021 to Mar 22, 2022
- Individual clients · 401 to 431Mar 23, 2021 to Mar 22, 2022
- Employees · 7 to 6Mar 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $353M to $396MMar 23, 2021 to Mar 22, 2022
- HNW RAUM · $199M to $254MMar 23, 2021 to Mar 22, 2022
- Individual RAUM · $137M to $129MMar 23, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $513,190 to $16.8MMar 23, 2021 to Mar 22, 2022
- Pension RAUM · $10.6M to $16.8MMar 23, 2021 to Mar 22, 2022
- RAUM · $353M to $413MMar 23, 2021 to Mar 22, 2022
- Accounts · 673 to 751Nov 13, 2020 to Mar 23, 2021
- Advisory employees · 8 to 7Nov 13, 2020 to Mar 23, 2021
- BD registered reps · 6 to 5Nov 13, 2020 to Mar 23, 2021
- Charity clients · 6 to 5Nov 13, 2020 to Mar 23, 2021
- Corporate clients · 8 to 2Nov 13, 2020 to Mar 23, 2021
- HNW clients · 40 to 60Nov 13, 2020 to Mar 23, 2021
- Individual clients · 424 to 401Nov 13, 2020 to Mar 23, 2021
- Employees · 8 to 7Nov 13, 2020 to Mar 23, 2021
- State-registered IARs · 7 to 4Nov 13, 2020 to Mar 23, 2021
- Discretionary RAUM · $294M to $353MNov 13, 2020 to Mar 23, 2021
- HNW RAUM · $147M to $199MNov 13, 2020 to Mar 23, 2021
- Individual RAUM · $88.1M to $137MNov 13, 2020 to Mar 23, 2021
- Non-discretionary RAUM · $0 to $513,190Nov 13, 2020 to Mar 23, 2021
- Pension RAUM · $723,321 to $10.6MNov 13, 2020 to Mar 23, 2021
- RAUM · $294M to $353MNov 13, 2020 to Mar 23, 2021
- Accounts · 644 to 673Mar 20, 2019 to Mar 20, 2020
- Advisory employees · 11 to 8Mar 20, 2019 to Mar 20, 2020
- Advisory activities · 2 to 3Mar 20, 2019 to Mar 20, 2020
- BD registered reps · 10 to 6Mar 20, 2019 to Mar 20, 2020
- Corporate clients · 9 to 8Mar 20, 2019 to Mar 20, 2020
- HNW clients · 33 to 40Mar 20, 2019 to Mar 20, 2020
- Employees · 11 to 8Mar 20, 2019 to Mar 20, 2020
- Discretionary RAUM · $267M to $294MMar 20, 2019 to Mar 20, 2020
- HNW RAUM · $133M to $147MMar 20, 2019 to Mar 20, 2020
- Individual RAUM · $76.7M to $88.1MMar 20, 2019 to Mar 20, 2020
- Pension RAUM · $569,170 to $723,321Mar 20, 2019 to Mar 20, 2020
- RAUM · $267M to $294MMar 20, 2019 to Mar 20, 2020
Signals
9 dated events
- M••••• L••• M••••• left W•••••••• A•••• M••••••••• I•• for A•••• W••••• M••••••••• L•• (registered 2022-10-05)Oct 5, 2022 · Advisor changed firm · fact
- D•••• P••• V•••••• left W•••••••• A•••• M••••••••• I•• for A•••• W••••• M••••••••• L•• (registered 2022-10-04)Oct 5, 2022 · Advisor changed firm · fact
- 2 advisors left W•••••••• A•••• M••••••••• I•• (The W••••••••, TX) for A•••• W••••• M••••••••• L•• on the same dayOct 5, 2022 · Team lift-out · derived
- S•••••• W•••• C••••• left W•••••••• A•••• M••••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2022-09-01)Aug 31, 2022 · Advisor changed firm · fact
- B•••••• C•••• M••••• left W•••••••• A•••• M••••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2022-09-01)Aug 31, 2022 · Advisor changed firm · fact
- C••••••••• S•••• M••• left W•••••••• A•••• M••••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2022-09-01)Aug 31, 2022 · Advisor changed firm · fact
- W•••••••• A•••• M••••••••• I••'s advisors moved to C••••••••• F•••••••• N•••••• (Lufkin, TX): 3 of 5 registered, on the same dayAug 31, 2022 · Firm absorbed (people side) · derived
- M••••••• G••••• L••• left W•••••••• A•••• M••••••••• I•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-09-27)Aug 18, 2022 · Advisor changed firm · fact
- M•••••• N••• left W•••••••• A•••• M••••••••• I•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-05)May 6, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026