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
S••••• I••••••••• A•••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Mar 21, 2012 · 36 filings
SEC status approved since May 24, 1999
RAUM
$631M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
96%
$607M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$315M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$631M as of Mar 12, 2026
Mar 21, 2012$227M then
HNW client RAUM$526M as of Mar 12, 2026
Mar 15, 2018$36.8M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 21, 20120 then
Employees (5.A)4 as of Mar 12, 2026
Mar 6, 20131 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- $315MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 193derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $627,369derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$526M83%
- Individuals$80.9M13%
- Pension and profit-sharing plans$11.0M1.7%
- Charitable organizations$9.9M1.6%
- Corporations and businesses$3.1M0.5%
- Individual clients
- 217reported
- HNW clients
- 169reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 1,005reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• W••••• S••••• | Austin, Tx | Feb 10, 1998 | 46 y | 0 |
| L•••••• B•••• S••••• | Austin, Tx | Jun 30, 2023 | 12 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• C•••• W••••• · President/Chief Compliance Officercontrolsince 12/1997 · owns 75% or more
- B••••••••• L•••• L• · Vice Presidentsince 12/1997 · owns less than 5%
- H••••• L••••• J•••• · Secretary/Treasurersince 03/1999 · 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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 12, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $515,188,081 to $630,506,335, advisors 2 to 2, private clients 517 to 386, offices 0 to 0 (2025-04-30 to 2026-03-12)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 12, 2026HNW share of RAUM moved from 61.0% to 83.0% between the annual amendments of 2025-04-30 and 2026-03-12peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing Mar 12, 2026financial planning (Item 5.G.1): no on the filing of 2025-12-05, yes on the filing of 2026-03-12peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 939 to 1,005Dec 5, 2025 to Mar 12, 2026
- Advisory activities · 2 to 3Dec 5, 2025 to Mar 12, 2026
- Charity clients · 6 to 10Dec 5, 2025 to Mar 12, 2026
- Corporate clients · unset to 5.0Dec 5, 2025 to Mar 12, 2026
- HNW clients · 135 to 169Dec 5, 2025 to Mar 12, 2026
- Individual clients · 382 to 217Dec 5, 2025 to Mar 12, 2026
- Pooled vehicle clients · 1.0 to unsetDec 5, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 1-10Dec 5, 2025 to Mar 12, 2026
- Discretionary RAUM · $419M to $549MDec 5, 2025 to Mar 12, 2026
- HNW RAUM · $314M to $526MDec 5, 2025 to Mar 12, 2026
- Individual RAUM · $190M to $80.9MDec 5, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $95.9M to $81.6MDec 5, 2025 to Mar 12, 2026
- Pension RAUM · $9.5M to $11.0MDec 5, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · 68180.0 to unsetDec 5, 2025 to Mar 12, 2026
- RAUM · $515M to $631MDec 5, 2025 to Mar 12, 2026
- Business name · C••• S••••• I••••••••• A••••••• I••• to S••••• I••••••••• A•••••••• I•••Feb 5, 2025 to Apr 30, 2025
- Financial planning clients · 0 to 0Feb 5, 2025 to Apr 30, 2025
- Legal name · C••• S••••• I••••••••• A••••••• I••• to S••••• I••••••••• A•••••••• I•••Feb 5, 2025 to Apr 30, 2025
- Accounts · 937 to 939Apr 11, 2024 to Feb 5, 2025
- Advisory activities · 1 to 2Apr 11, 2024 to Feb 5, 2025
- Charity clients · unset to 6.0Apr 11, 2024 to Feb 5, 2025
- HNW clients · 250 to 135Apr 11, 2024 to Feb 5, 2025
- Individual clients · 402 to 382Apr 11, 2024 to Feb 5, 2025
- Pooled vehicle clients · unset to 1.0Apr 11, 2024 to Feb 5, 2025
- Assets in custody · 3063592.0 to unsetApr 11, 2024 to Feb 5, 2025
- Custody of client assets · true to falseApr 11, 2024 to Feb 5, 2025
- Discretionary RAUM · $366M to $419MApr 11, 2024 to Feb 5, 2025
- HNW RAUM · $375M to $314MApr 11, 2024 to Feb 5, 2025
- Individual RAUM · $79.0M to $190MApr 11, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $103M to $95.9MApr 11, 2024 to Feb 5, 2025
- Pension RAUM · $10.8M to $9.5MApr 11, 2024 to Feb 5, 2025
- Pooled vehicle RAUM · unset to 68180.0Apr 11, 2024 to Feb 5, 2025
- RAUM · $468M to $515MApr 11, 2024 to Feb 5, 2025
- Accounts · 993 to 937Dec 1, 2023 to Jan 23, 2024
- Advisory employees · 1 to 2Dec 1, 2023 to Jan 23, 2024
- Corporate clients · 9.0 to unsetDec 1, 2023 to Jan 23, 2024
- HNW clients · 49 to 250Dec 1, 2023 to Jan 23, 2024
- Individual clients · 366 to 402Dec 1, 2023 to Jan 23, 2024
- Assets in custody · $5,388 to $3.1MDec 1, 2023 to Jan 23, 2024
- State-registered IARs · 1 to 2Dec 1, 2023 to Jan 23, 2024
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
- 512-478-2275reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 512-921-5888reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- stuartadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512-478-2275reportedpublic record, Form ADV, Mar 12, 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
- $315Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026