DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••••• A••••••• S•••••••• L•••••
Latest filing Mar 3, 2026
First filing on the tape Mar 15, 2012 · 25 filings
SEC status approved since May 21, 2018
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$185M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$185M as of Mar 3, 2026
Mar 15, 2012$84.7M then
HNW client RAUM$116M as of Mar 3, 2026
Mar 4, 2019$81.1M then
State-registered IARs (5.B.3)4 as of Mar 3, 2026
Mar 15, 20120 then
Employees (5.A)5 as of Mar 3, 2026
Mar 4, 20195 then
Private funds: no history
RAUM +9.9% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 3, 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
- 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
- $46.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $448,794derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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$116M63%
- Individuals$68.8M37%
- Corporations and businesses$122,2060.1%
- Individual clients
- 156reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 412reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•• B••••••• G•••• | Houston, Tx | Jan 10, 2003 | 41 y | 1 |
| R•••••• A•••• G••••Certified Financial Planner | Houston, Tx | Jun 20, 2012 | 43 y | 1 |
| J••••• B•••••• J•••••Certified Financial Planner | Houston, Tx | Jun 26, 2012 | 19 y | 4 |
| D••••• M•••••• W••••••• | Houston, Tx | Jul 11, 2024 | 14 y | 1 |
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
- J••••• B•••••• J••••• to U••••• C•••••• F•••••••• A•••••••Jan 15, 2010 · Other
Joined, latest
- J••••• B•••••• J••••• from I••••• F•••••••• C•••••••••Jun 26, 2012 · Other
- R•••••• A•••• G•••• from I••••• F•••••••• C•••••••••Jun 20, 2012 · Other
- J••••• B•••••• J••••• from I••••• F•••••••• C•••••••••May 1, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• R••••••• A•••• · Managing Member/Presidentcontrolsince 03/2004 · owns 50% to 75%
- G••••• S••• B••••••• · Member/Secretery/Treasurercontrolsince 01/2016 · owns 50% to 75%
- J•••••• J•••••• B•••••• · Chief Compliance Officer/Vice Presidentcontrolsince 10/2020 · owns less than 5%
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 | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 42.0% to 63.0% between the annual amendments of 2025-02-28 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 404 to 412Dec 23, 2025 to Mar 3, 2026
- HNW clients · 47 to 51Dec 23, 2025 to Mar 3, 2026
- Individual clients · 167 to 156Dec 23, 2025 to Mar 3, 2026
- Employees · 6 to 5Dec 23, 2025 to Mar 3, 2026
- Discretionary RAUM · $168M to $185MDec 23, 2025 to Mar 3, 2026
- HNW RAUM · $71.4M to $116MDec 23, 2025 to Mar 3, 2026
- Individual RAUM · $96.7M to $68.8MDec 23, 2025 to Mar 3, 2026
- RAUM · $168M to $185MDec 23, 2025 to Mar 3, 2026
- Accounts · 389 to 404Feb 23, 2024 to Feb 28, 2025
- Advisory employees · 2 to 3Feb 23, 2024 to Feb 28, 2025
- Advisory activities · 3 to 4Feb 23, 2024 to Feb 28, 2025
- HNW clients · 37 to 47Feb 23, 2024 to Feb 28, 2025
- Individual clients · 173 to 167Feb 23, 2024 to Feb 28, 2025
- Employees · 3 to 6Feb 23, 2024 to Feb 28, 2025
- Financial planning clients · 101-250 to 101-250Feb 23, 2024 to Feb 28, 2025
- State-registered IARs · 2 to 4Feb 23, 2024 to Feb 28, 2025
- Discretionary RAUM · $151M to $168MFeb 23, 2024 to Feb 28, 2025
- HNW RAUM · $76.5M to $71.4MFeb 23, 2024 to Feb 28, 2025
- Individual RAUM · $74.5M to $96.7MFeb 23, 2024 to Feb 28, 2025
- RAUM · $151M to $168MFeb 23, 2024 to Feb 28, 2025
- Accounts · 383 to 389Nov 17, 2023 to Feb 23, 2024
- Advisory employees · 3 to 2Nov 17, 2023 to Feb 23, 2024
- HNW clients · 32 to 37Nov 17, 2023 to Feb 23, 2024
- Individual clients · 181 to 173Nov 17, 2023 to Feb 23, 2024
- State-registered IARs · 3 to 2Nov 17, 2023 to Feb 23, 2024
- Discretionary RAUM · $137M to $151MNov 17, 2023 to Feb 23, 2024
- HNW RAUM · $62.8M to $76.5MNov 17, 2023 to Feb 23, 2024
- Individual RAUM · $74.1M to $74.5MNov 17, 2023 to Feb 23, 2024
- RAUM · $137M to $151MNov 17, 2023 to Feb 23, 2024
- Advisory employees · 2 to 3Sep 22, 2023 to Nov 17, 2023
- Advisory activities · 4 to 3Sep 22, 2023 to Nov 17, 2023
- Accounts · 378 to 383Dec 22, 2022 to Mar 14, 2023
- Charity clients · unset to 0.0Dec 22, 2022 to Mar 14, 2023
- HNW clients · 52 to 32Dec 22, 2022 to Mar 14, 2023
- Individual clients · 163 to 181Dec 22, 2022 to Mar 14, 2023
- Pension plan clients · unset to 0.0Dec 22, 2022 to Mar 14, 2023
- Pooled vehicle clients · unset to 0.0Dec 22, 2022 to Mar 14, 2023
- Discretionary RAUM · $153M to $137MDec 22, 2022 to Mar 14, 2023
- HNW RAUM · $86.3M to $62.8MDec 22, 2022 to Mar 14, 2023
- Individual RAUM · $66.4M to $74.1MDec 22, 2022 to Mar 14, 2023
Signals
1 dated events
- S•••••••• A••••••• S•••••••• L••••• filed its initial SEC registration (Form ADV)Apr 19, 2018 · First SEC registration · 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
- 713-977-3800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- sasoffice.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713-977-3800reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- askstrategicadvisory.com/team-memberreportedpublished by the firm, firm site, Sep 16, 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
- $46.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026