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
R•• F•••••••• A••••••• I••
Latest filing Jun 22, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Apr 12, 1991
RAUM
$581M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
86%
$502M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
11
3 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$581M as of Jun 22, 2026
Mar 30, 2012$317M then
HNW client RAUM$468M as of Jun 22, 2026
Mar 29, 2018$172M then
State-registered IARs (5.B.3)3 as of Jun 22, 2026
Mar 30, 20120 then
Employees (5.A)11 as of Jun 22, 2026
Mar 28, 201311 then
Private funds: no history
RAUM +14% over the last fiscal year+7.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 22, 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
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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$468M81%
- Pension and profit-sharing plans$69.3M12%
- Individuals$34.0M5.8%
- Charitable organizations$9.8M1.7%
- Individual clients
- 93reported
- HNW clients
- 85reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 521reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• H••••• R•• | D•••••, Tx | Mar 11, 2005 | 44 y | 1 |
| M••••• C• W••••••• | D•••••, Tx | Mar 11, 2005 | 44 y | 1 |
| S•••••• T•••• M•••••••Certified Financial Planner | D•••••, Tx | Apr 15, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••••• T•••• M••••••• from M••••••• I••••••••• N•••••• I•••Apr 15, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••• P••••• H••••• · Presidentcontrolsince 01/1991 · owns 25% to 50%
- W•••••••• M•••••• C• · Treasurer, Chief Compliance Officercontrolsince 01/1991 · owns 25% to 50%
Related persons
Schedule D 7.A
- M••••• C• W•••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| D•••••, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 500 to 521Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Charity clients · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 1 to 0Mar 31, 2025 to Mar 31, 2026
- HNW clients · 50 to 85Mar 31, 2025 to Mar 31, 2026
- Individual clients · 107 to 93Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $478M to $545MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $412M to $468MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $27.0M to $34.0MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $30.2M to $35.7MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $66.9M to $69.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $509M to $581MMar 31, 2025 to Mar 31, 2026
- Accounts · 495 to 500Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $442M to $478MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $339M to $412MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $70.5M to $27.0MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $29.9M to $30.2MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $60.1M to $66.9MMar 29, 2024 to Mar 31, 2025
- RAUM · $472M to $509MMar 29, 2024 to Mar 31, 2025
- Accounts · 468 to 495Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 4 to 3Mar 30, 2023 to Mar 29, 2024
- BD registered reps · 4 to 3Mar 30, 2023 to Mar 29, 2024
- HNW clients · 26 to 50Mar 30, 2023 to Mar 29, 2024
- Employees · 12 to 11Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $438M to $442MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $298M to $339MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $110M to $70.5MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $26.3M to $29.9MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $53.2M to $60.1MMar 30, 2023 to Mar 29, 2024
- RAUM · $464M to $472MMar 30, 2023 to Mar 29, 2024
- Accounts · 447 to 468Mar 30, 2022 to Mar 30, 2023
- Corporate clients · 2 to 1Mar 30, 2022 to Mar 30, 2023
- HNW clients · 17 to 26Mar 30, 2022 to Mar 30, 2023
- Individual clients · 116 to 107Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $366M to $438MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $167M to $298MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $163M to $110MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $16.8M to $26.3MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $49.7M to $53.2MMar 30, 2022 to Mar 30, 2023
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
- Principal office phone
- 972-960-1212reportedpublic record, Form ADV, Jun 22, 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
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026