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
E•••••• A•••••••• I•••
Latest filing Sep 9, 2026
First filing on the tape Mar 8, 2012 · 20 filings
SEC status approved since Dec 10, 1987
RAUM
$64.7M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
63%
$40.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$32.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$64.7M as of Feb 25, 2026
Mar 8, 2012$52.0M then
HNW client RAUM$40.4M as of Feb 25, 2026
Mar 22, 2018$24.2M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Apr 1, 20130 then
Employees (5.A)3 as of Feb 25, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +1.6% over the last fiscal year+2.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $32.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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$40.4M63%
- Investment companies$24.0M37%
- Individuals$220,7200.3%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 42reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.63 fund_share=0.37 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A•••• C•••••• | Austin, Tx | May 27, 2003 | 38 y | 0 |
| G•••••• J•••• R•••••••• | Austin, Tx | Jun 4, 2008 | 18 y | 0 |
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 headcount0 left over 36 months
Left, latest
- A••••• G••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 16, 2011 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••• A•••• · Presidentcontrolsince 10/1987 · owns less than 5%
- C••••••• L••••• M••• · Partnercontrolsince 09/1997 · owns 25% to 50% of L••• C•••• L•••••• Partners
- C••••••• M•••• A•••• · Partnercontrolsince 09/1997 · owns F of L••• C•••• L•••••• Partners
- C••••••• N•••••••• J•••• · Partnercontrolsince 09/1997 · owns 25% to 50% of L••• C•••• L•••••• Partners
- R••••••••• G••••••• J•••• · Chief Compliance Officersince 01/2018 · owns less than 5%
Entity owners
- L••• C•••• L•••••• P••••••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••••• D••••••••• I•••broker-dealery
- E•••••• I•••••••••investment adviseryRAUM $9.9M
Advisers that list E•••••• A•••••••• I••• as a related person
- 164683 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetFeb 25, 2026 to Sep 9, 2026
- Succession · false to unsetFeb 25, 2026 to Sep 9, 2026
- Advisory employees · 3 to 2Mar 5, 2025 to Feb 25, 2026
- Discretionary RAUM · $63.0M to $64.1MMar 5, 2025 to Feb 25, 2026
- HNW RAUM · $38.5M to $40.4MMar 5, 2025 to Feb 25, 2026
- Individual RAUM · $227,696 to $220,720Mar 5, 2025 to Feb 25, 2026
- RAUM · $63.6M to $64.7MMar 5, 2025 to Feb 25, 2026
- Accounts · 40 to 42Mar 5, 2024 to Mar 5, 2025
- BD registered reps · 3 to 2Mar 5, 2024 to Mar 5, 2025
- Insurance-licensed employees · 3 to 2Mar 5, 2024 to Mar 5, 2025
- Financial planning clients · unset to Mar 5, 2024 to Mar 5, 2025
- State-registered IARs · 3 to 2Mar 5, 2024 to Mar 5, 2025
- Discretionary RAUM · $60.5M to $63.0MMar 5, 2024 to Mar 5, 2025
- HNW RAUM · $35.3M to $38.5MMar 5, 2024 to Mar 5, 2025
- Individual RAUM · unset to 227696.0Mar 5, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $577,811 to $577,812Mar 5, 2024 to Mar 5, 2025
- RAUM · $61.1M to $63.6MMar 5, 2024 to Mar 5, 2025
- Accounts · 43 to 40Mar 1, 2023 to Mar 5, 2024
- HNW clients · 17 to 15Mar 1, 2023 to Mar 5, 2024
- Individual clients · 1.0 to unsetMar 1, 2023 to Mar 5, 2024
- Discretionary RAUM · $60.1M to $60.5MMar 1, 2023 to Mar 5, 2024
- HNW RAUM · $35.9M to $35.3MMar 1, 2023 to Mar 5, 2024
- Individual RAUM · 237782.0 to unsetMar 1, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $577,812 to $577,811Mar 1, 2023 to Mar 5, 2024
- RAUM · $60.6M to $61.1MMar 1, 2023 to Mar 5, 2024
- Accounts · 46 to 43Mar 15, 2022 to Mar 1, 2023
- HNW clients · 19 to 17Mar 15, 2022 to Mar 1, 2023
- Individual clients · unset to 1.0Mar 15, 2022 to Mar 1, 2023
- Insurance-licensed employees · 0 to 3Mar 15, 2022 to Mar 1, 2023
- State-registered IARs · 0 to 3Mar 15, 2022 to Mar 1, 2023
- Discretionary RAUM · $73.8M to $60.1MMar 15, 2022 to Mar 1, 2023
- HNW RAUM · $44.0M to $35.9MMar 15, 2022 to Mar 1, 2023
- Individual RAUM · unset to 237782.0Mar 15, 2022 to Mar 1, 2023
- RAUM · $74.4M to $60.6MMar 15, 2022 to Mar 1, 2023
- Accounts · 43 to 46Mar 26, 2021 to Mar 15, 2022
- Individual clients · 1.0 to unsetMar 26, 2021 to Mar 15, 2022
- Discretionary RAUM · $67.8M to $73.8MMar 26, 2021 to Mar 15, 2022
- HNW RAUM · $38.8M to $44.0MMar 26, 2021 to Mar 15, 2022
- Individual RAUM · 30033.0 to unsetMar 26, 2021 to Mar 15, 2022
- RAUM · $68.4M to $74.4MMar 26, 2021 to Mar 15, 2022
Signals
No event on the tape.
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
- 512-328-9321reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-328-9809reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-839-7424reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/empiric-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- E••••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-328-9321reportedpublic record, Form ADV, Sep 9, 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
- $32.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026