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
F•• W••••• A•••••••
Legal name F•••••••• M••••••••• P••••••••• I••
Latest filing Jul 16, 2026
First filing on the tape Mar 28, 2012 · 42 filings
SEC status approved since Aug 17, 1987
RAUM
$1.3B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
90%
$1.2B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$95.7M
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.3B as of Jul 16, 2026
Mar 28, 2012$416M then
HNW client RAUM$986M as of Jul 16, 2026
Mar 26, 2018$377M then
State-registered IARs (5.B.3)11 as of Jul 16, 2026
Mar 28, 20120 then
Employees (5.A)14 as of Jul 16, 2026
Mar 25, 20138 then
Private funds2 as of Jul 16, 2026
Mar 28, 20121 then
RAUM +18% over the last fiscal year+18% a year over threeIARs 13 to 11
Practice profile
derived from the filing of Jul 16, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $95.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $477,599derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $398M, 319 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$986M74%
- Individuals$223M17%
- Pension and profit-sharing plans$82.4M6.2%
- Pooled investment vehicles$41.4M3.1%
- Corporations and businesses$7.5M0.6%
- Individual clients
- 393reported
- HNW clients
- 328reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 2,806reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $398M for 319 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.03 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••• H•••••Certified Financial Planner | Lake Charles, La | Jan 2, 2003 | 33 y | 0 |
| H•••• M••••• H•••••Certified Financial Planner | Austin, Tx | Jan 2, 2003 | 39 y | 0 |
| K•••• E••••• H•••••Certified Financial Planner | Austin, Tx | Jan 2, 2003 | 37 y | 0 |
| A••• P••••• T•••Certified Financial Planner | Austin, Tx | Jan 2, 2003 | 29 y | 0 |
| M••• L••••• H••••• | Austin, Tx | Jan 2, 2003 | 28 y | 0 |
| C•••• C••• H••• | Austin, Tx | Nov 22, 2006 | 20 y | 0 |
| M•••••• L• C••• | Austin, Tx | Mar 26, 2012 | 32 y | 2 |
| D••••• W••••• F••••Certified Financial Planner, Chartered Financial Analyst | Lake Charles, La | Sep 5, 2012 | 18 y | 1 |
| T•••••• L••• N••••• | Austin, Tx | Jan 5, 2018 | 24 y | 2 |
| J•••• Z•••••• P•••••••• | Austin, Tx | Aug 5, 2020 | 10 y | 0 |
| J••••• C••••• W••••••• | Lake Charles, La | Jan 3, 2025 | 12 y | 0 |
| C••••••••• S••• H••••• | Austin, Tx | May 1, 2026 | 10 y | 1 |
| C•••••••• S••••• H•••••••Certified Financial Planner | Austin, Tx | May 14, 2026 | 10 y | 0 |
| J•••• A••••• L•••••• | Austin, Tx | Jun 4, 2026 | 11 y | 0 |
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
- C••••••••• S••• H••••• from D••••••••• F••• A••••••• L•May 1, 2026 · Other
- T•••••• L••• N••••• from R•••••• J•••• • A••••••••• I•••Jan 5, 2018 · Other
- D••••• W••••• F•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 5, 2012 · Other
- M•••••• L• C••• from H•••••• S••••••••• I•••Mar 26, 2012 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•• S••••• A••••• D••••••••• F•••• L• | Hedge Fund | $41.0M | 80 | Dec 21, 2016 |
| F•• R••• E••••• T••• L• | Real Estate Fund | $4.4M | 56 | Nov 26, 2013 |
| F•• R••• E••••• O••• L•no longer reported | Real Estate Fund | $0 | 54 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• H••••• M••••• · Owner/Chief Compliance Officercontrolsince 06/1987 · owns 10% to 25%
- H•••••• J•••• C•••••• · Ownersince 09/1993 · owns 10% to 25%
- H•••••• K••••• E••••• · Ownersince 12/1998 · owns 10% to 25%
- H•••••• M•••• L••••• · Owner/Chief Compliance Officersince 12/2010 · owns 10% to 25%
- T•••• A•••• P••••• · Ownersince 12/2010 · owns 25% to 50%
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 | 12 | 3 | 0 | ||
| Lake Charles, La | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lake Charles,, LA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 16, 2026H•••••• H••••• M••••• (OWNER/CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-03-28 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,749 to 2,806Oct 24, 2025 to Mar 27, 2026
- Advisory employees · 11 to 12Oct 24, 2025 to Mar 27, 2026
- HNW clients · 316 to 328Oct 24, 2025 to Mar 27, 2026
- Individual clients · 390 to 393Oct 24, 2025 to Mar 27, 2026
- Pension plan clients · 16 to 15Oct 24, 2025 to Mar 27, 2026
- Assets in custody · $404M to $398MOct 24, 2025 to Mar 27, 2026
- Employees · 13 to 14Oct 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $1.3BOct 24, 2025 to Mar 27, 2026
- HNW RAUM · $839M to $986MOct 24, 2025 to Mar 27, 2026
- Individual RAUM · $172M to $223MOct 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $24.3M to $26.7MOct 24, 2025 to Mar 27, 2026
- Pension RAUM · $73.8M to $82.4MOct 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $41.3M to $41.4MOct 24, 2025 to Mar 27, 2026
- RAUM · $1.1B to $1.3BOct 24, 2025 to Mar 27, 2026
- Advisory employees · 12 to 11Mar 21, 2025 to Jul 22, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2025 to Jul 22, 2025
- State-registered IARs · 13 to 11Mar 21, 2025 to Jul 22, 2025
- Accounts · 2,613 to 2,749Jul 5, 2024 to Mar 21, 2025
- Advisory employees · 13 to 12Jul 5, 2024 to Mar 21, 2025
- HNW clients · 306 to 316Jul 5, 2024 to Mar 21, 2025
- Individual clients · 384 to 390Jul 5, 2024 to Mar 21, 2025
- Pension plan clients · 15 to 16Jul 5, 2024 to Mar 21, 2025
- Assets in custody · $357M to $404MJul 5, 2024 to Mar 21, 2025
- Employees · 14 to 13Jul 5, 2024 to Mar 21, 2025
- State-registered IARs · 10 to 13Jul 5, 2024 to Mar 21, 2025
- Discretionary RAUM · $910M to $1.1BJul 5, 2024 to Mar 21, 2025
- HNW RAUM · $700M to $839MJul 5, 2024 to Mar 21, 2025
- Individual RAUM · $140M to $172MJul 5, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $41.8M to $24.3MJul 5, 2024 to Mar 21, 2025
- Pension RAUM · $64.0M to $73.8MJul 5, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $41.2M to $41.3MJul 5, 2024 to Mar 21, 2025
- RAUM · $952M to $1.1BJul 5, 2024 to Mar 21, 2025
- Accounts · 2,727 to 2,613Jul 11, 2023 to Mar 26, 2024
- Advisory employees · 12 to 13Jul 11, 2023 to Mar 26, 2024
- Corporate clients · 9 to 10Jul 11, 2023 to Mar 26, 2024
- HNW clients · 296 to 306Jul 11, 2023 to Mar 26, 2024
- Individual clients · 393 to 384Jul 11, 2023 to Mar 26, 2024
- Pension plan clients · 21 to 15Jul 11, 2023 to Mar 26, 2024
- Assets in custody · $278M to $357MJul 11, 2023 to Mar 26, 2024
- Employees · 13 to 14Jul 11, 2023 to Mar 26, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- F•• W••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- mail@fmpwa.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 337-433-4334reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-329-5174reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/606989reportedpublic record, Form ADV, Sep 19, 2026
- Website
- FMPWA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512-329-5174reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- fmpwa.com/contactreportedpublished 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
- $95.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
F•• W••••• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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