DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••• F•••••••• G••••• I•••

Independent wealth managerVictoria, TexasCRD 109344SEC 801-57925website IAPD

Latest filing Sep 10, 2026

First filing on the tape Mar 20, 2012 · 36 filings

SEC status approved since Oct 3, 2000

RAUM

$2.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

74%

$1.7B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$252M

derived; firm RAUM over IAPD count

Employees

9 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

36 filings and snapshots on the tape

RAUM$2.3B as of Jan 26, 2026

Mar 20, 2012$266M then

HNW client RAUM$1.6B as of Jan 26, 2026

Mar 6, 2018$432M then

State-registered IARs (5.B.3)9 as of Jan 26, 2026

Mar 20, 20120 then

Employees (5.A)9 as of Jan 26, 2026

Mar 21, 20135 then

Private funds: no history

RAUM +16% over the last fiscal year+10% a year over threeIARs 9 to 9

Practice profile

derived from the filing of Sep 10, 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: $252MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.5MderivedHNW RAUM over HNW clients
Average account: $1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.8%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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$1.6B71%
Charitable organizations$306M13%
Corporations and businesses$241M11%
Individuals$74.0M3.3%
Pension and profit-sharing plans$41.1M1.8%

Individual clients: 201reported
HNW clients: 247reported
Pension plan clients: 10reported
Charitable clients: 18reported
Accounts: 1,506reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.74 fund_share=0.0 institutional_share=0.15 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

9 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••• S•••• S•••••Certified Financial Planner	Victoria, Tx	Apr 15, 1999	33 y	0
W••••• A•••• U••Certified Financial Planner	Victoria, Tx	Apr 21, 2005	24 y	0
T•••• C•••• K••••••••	Victoria, Tx	Apr 13, 2010	30 y	3
J••••••• M•••••• Z•••••••Certified Financial Planner	Victoria, Tx	Oct 10, 2011	15 y	0
C•••• R• B•••••••••	Victoria, Tx	Jul 30, 2021	15 y	0
E••• P•••••• M•••••••	New Braunfels, Tx	Jan 24, 2023	10 y	0
J••••• O••••Certified Financial Planner	Victoria, Tx	Aug 24, 2024	11 y	3
D•••• D•••• S••••••	Victoria, Tx	Nov 18, 2024	12 y	0
W•••••• C•••••• E•••••	New Braunfels, Tx	Jul 14, 2025	11 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

J••••• D••••• Z••••• to W•••• F•••• A•••••••
Apr 9, 2009 · Other

Joined, latest

J••••• O•••• from E••••• J••••
Aug 24, 2024 · Affiliated broker-dealer or bank to independent RIA
T•••• C•••• K•••••••• from M••••• S••••••
Apr 13, 2010 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• D••••• S•••• · Ceo And Chief Compliance Officercontrol
since 07/1998 · owns 50% to 75%
U••• W•••••• A•••• · Presidentcontrol
since 01/2019 · owns 10% to 25%
Z•••••••• J•••••••• M•••••• · Vice Presidentcontrol
since 01/2019 · owns 10% to 25%
K••••••••• T••••• C•••• · Shareholder
since 01/2019 · 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
Victoria, Tx · principal	9	0	0
New Braunfels, Tx	5	0	0

Offices

Schedule D 1.F, the 25 largest

New Braunfels, TX3 employees
, 1 employees

What changed

consecutive filings, newest first

Financial planning clients · 251-500 to 251-500
Jan 26, 2026 to Sep 10, 2026
Related adviser · false to unset
Jan 26, 2026 to Sep 10, 2026
Related bank · false to unset
Jan 26, 2026 to Sep 10, 2026
Related broker-dealer · false to unset
Jan 26, 2026 to Sep 10, 2026
Related insurance company · false to unset
Jan 26, 2026 to Sep 10, 2026
Succession · false to unset
Jan 26, 2026 to Sep 10, 2026
Accounts · 1,400 to 1,506
Oct 8, 2025 to Jan 26, 2026
Corporate clients · 5 to 6
Oct 8, 2025 to Jan 26, 2026
HNW clients · 206 to 247
Oct 8, 2025 to Jan 26, 2026
Individual clients · 234 to 201
Oct 8, 2025 to Jan 26, 2026
Discretionary RAUM · $1.9B to $2.3B
Oct 8, 2025 to Jan 26, 2026
HNW RAUM · $1.4B to $1.6B
Oct 8, 2025 to Jan 26, 2026
Individual RAUM · $83.8M to $74.0M
Oct 8, 2025 to Jan 26, 2026
Non-discretionary RAUM · $5.0M to $6.7M
Oct 8, 2025 to Jan 26, 2026
Pension RAUM · $38.5M to $41.1M
Oct 8, 2025 to Jan 26, 2026
RAUM · $1.9B to $2.3B
Oct 8, 2025 to Jan 26, 2026
Accounts · 1,305 to 1,400
Nov 25, 2024 to Jan 9, 2025
Charity clients · 11 to 18
Nov 25, 2024 to Jan 9, 2025
Individual clients · 191 to 234
Nov 25, 2024 to Jan 9, 2025
Financial planning clients · 251-500 to 251-500
Nov 25, 2024 to Jan 9, 2025
Discretionary RAUM · $1.7B to $1.9B
Nov 25, 2024 to Jan 9, 2025
HNW RAUM · $1.4B to $1.4B
Nov 25, 2024 to Jan 9, 2025
Individual RAUM · $66.9M to $83.8M
Nov 25, 2024 to Jan 9, 2025
Non-discretionary RAUM · $0 to $5.0M
Nov 25, 2024 to Jan 9, 2025
Pension RAUM · $34.7M to $38.5M
Nov 25, 2024 to Jan 9, 2025
RAUM · $1.7B to $1.9B
Nov 25, 2024 to Jan 9, 2025
Advisory employees · 8 to 9
Sep 6, 2024 to Nov 25, 2024
Employees · 8 to 9
Sep 6, 2024 to Nov 25, 2024
State-registered IARs · 8 to 9
Sep 6, 2024 to Nov 25, 2024
Advisory employees · 7 to 8
Apr 24, 2024 to Sep 6, 2024
Employees · 7 to 8
Apr 24, 2024 to Sep 6, 2024
State-registered IARs · 7 to 8
Apr 24, 2024 to Sep 6, 2024
Other offices · 1 to 2
Jan 31, 2024 to Apr 24, 2024
Accounts · 394 to 1,305
Oct 19, 2023 to Jan 31, 2024
Charity clients · 13 to 11
Oct 19, 2023 to Jan 31, 2024
Corporate clients · 3 to 5
Oct 19, 2023 to Jan 31, 2024
HNW clients · 167 to 206
Oct 19, 2023 to Jan 31, 2024
Individual clients · 201 to 191
Oct 19, 2023 to Jan 31, 2024
Pension plan clients · 9 to 10
Oct 19, 2023 to Jan 31, 2024
Discretionary RAUM · $1.7B to $1.7B
Oct 19, 2023 to Jan 31, 2024

Signals

2 dated events

S••••• F•••••••• G••••• I••• reported RAUM $1.4B, up 36% from $1.1B (2021-12-15 to 2022-02-22)
Feb 22, 2022 · RAUM change · derived
S••••• F•••••••• G••••• I••• reported RAUM $853.7M, up 32% from $645.4M (2019-03-06 to 2020-03-30)
Mar 30, 2020 · RAUM change · derived

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: 415-124-5678reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 361-570-1800reportedpublished by the firm, firm site, Sep 15, 2026
Website: S•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 361-570-1800reportedpublic record, Form ADV, Sep 10, 2026
Team page: s•••••••••.comreportedpublished 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: $252Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026