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
P••••••• A•••• M••••••••• G••••• C••••••••• •••••
Latest filing Mar 25, 2026
First filing on the tape Aug 13, 2018 · 18 filings
SEC status approved since Nov 2, 2018
RAUM
$156M
reported, Item 5.F
Discretionary
1.5%
of RAUM
Private clients
86%
$135M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$156M as of Mar 25, 2026
Mar 29, 2019$142M then
HNW client RAUM$76.3M as of Mar 25, 2026
Mar 29, 2019$40.9M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 29, 20193 then
Employees (5.A)2 as of Mar 25, 2026
Mar 29, 20195 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $78.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $556,461derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.5%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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)
- 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$76.3M49%
- Individuals$58.6M37%
- Corporations and businesses$12.1M7.7%
- Pension and profit-sharing plans$9.4M6.0%
- Individual clients
- 172reported
- HNW clients
- 61reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 281reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.06 related_bd=false 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 |
|---|---|---|---|---|
| C•••••••• M•••• D•••••••• | Shreveport, La | Jan 29, 2023 | 30 y | 2 |
| D•••• M•••• D••••••••Certified Financial Planner | Shreveport, La | Jan 29, 2023 | 40 y | 2 |
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
- K•••• D• L••••••••• to L•• F•••••••• L••May 28, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••••• M•••• D•••••••• from S•••••••• F••••••••• I•••Dec 22, 2022 · Affiliated broker-dealer or bank to independent RIA
- K•••• D• L••••••••• from S•••••••• F••••••••• I•••Aug 14, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• D••••• M•••• · Partner And Chief Compliance Officercontrolsince 01/1996 · owns 75% or more
- D••••••••• C••••••••• M• · Partnersince 09/2004 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Shreveport, La · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 232 to 281Feb 28, 2025 to Mar 25, 2026
- BD registered reps · 3 to 2Feb 28, 2025 to Mar 25, 2026
- Corporate clients · 6 to 3Feb 28, 2025 to Mar 25, 2026
- HNW clients · 26 to 61Feb 28, 2025 to Mar 25, 2026
- Individual clients · 196 to 172Feb 28, 2025 to Mar 25, 2026
- Employees · 3 to 2Feb 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $9.4M to $2.3MFeb 28, 2025 to Mar 25, 2026
- HNW RAUM · $49.1M to $76.3MFeb 28, 2025 to Mar 25, 2026
- Individual RAUM · $58.1M to $58.6MFeb 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $122M to $154MFeb 28, 2025 to Mar 25, 2026
- Pension RAUM · $12.7M to $9.4MFeb 28, 2025 to Mar 25, 2026
- RAUM · $132M to $156MFeb 28, 2025 to Mar 25, 2026
- Accounts · 289 to 232Aug 6, 2024 to Feb 28, 2025
- Advisory employees · 4 to 2Aug 6, 2024 to Feb 28, 2025
- BD registered reps · 4 to 3Aug 6, 2024 to Feb 28, 2025
- Corporate clients · 8 to 6Aug 6, 2024 to Feb 28, 2025
- HNW clients · 164 to 26Aug 6, 2024 to Feb 28, 2025
- Individual clients · 113 to 196Aug 6, 2024 to Feb 28, 2025
- Employees · 4 to 3Aug 6, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 1-10Aug 6, 2024 to Feb 28, 2025
- State-registered IARs · 4 to 2Aug 6, 2024 to Feb 28, 2025
- Discretionary RAUM · $9.0M to $9.4MAug 6, 2024 to Feb 28, 2025
- HNW RAUM · $33.6M to $49.1MAug 6, 2024 to Feb 28, 2025
- Individual RAUM · $55.1M to $58.1MAug 6, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $103M to $122MAug 6, 2024 to Feb 28, 2025
- Pension RAUM · $10.2M to $12.7MAug 6, 2024 to Feb 28, 2025
- RAUM · $112M to $132MAug 6, 2024 to Feb 28, 2025
- Accounts · 270 to 289Jul 14, 2023 to Mar 28, 2024
- Corporate clients · 10 to 8Jul 14, 2023 to Mar 28, 2024
- HNW clients · 41 to 164Jul 14, 2023 to Mar 28, 2024
- Individual clients · 179 to 113Jul 14, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 4Jul 14, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.4M to $9.0MJul 14, 2023 to Mar 28, 2024
- HNW RAUM · $45.0M to $33.6MJul 14, 2023 to Mar 28, 2024
- Individual RAUM · $45.1M to $55.1MJul 14, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $97.8M to $103MJul 14, 2023 to Mar 28, 2024
- Pension RAUM · $2.7M to $10.2MJul 14, 2023 to Mar 28, 2024
- RAUM · $102M to $112MJul 14, 2023 to Mar 28, 2024
- Accounts · 243 to 270Jan 25, 2023 to Feb 8, 2023
- Advisory employees · 3 to 4Jan 25, 2023 to Feb 8, 2023
Signals
2 dated events
- P••••••• A•••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Aug 13, 2018 · First SEC registration · fact
- P••••••• A•••• M••••••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 13, 2018 · Succession (Item 4) · 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
- 318-221-7526reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 318-221-7527reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 954-782-4771reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 318-221-7526reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $78.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026