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••• D•••• M•••••••• I••
Latest filing Mar 12, 2026
First filing on the tape Mar 6, 2012 · 29 filings
SEC status approved since May 12, 1977
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$227M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.4B as of Mar 12, 2026
Mar 6, 2012$480M then
HNW client RAUM$1.3B as of Mar 12, 2026
Mar 29, 2018$450M then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 6, 20120 then
Employees (5.A)10 as of Mar 12, 2026
Mar 19, 201311 then
Private funds: no history
RAUM +8.1% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $227MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $46.0M, 9 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B96%
- Charitable organizations$30.4M2.2%
- Pension and profit-sharing plans$20.3M1.5%
- Individuals$4.8M0.4%
- Individual clients
- 18reported
- HNW clients
- 193reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 549reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.0M for 9 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• V•• O•••• | Dallas, Tx | Jun 10, 1987 | 40 y | 0 |
| J•••••• W•••••• H•••••••Chartered Financial Analyst | Dallas, Tx | Aug 5, 2010 | 16 y | 0 |
| R••••• E••• F•••• | Dallas, Tx | Mar 27, 2013 | 22 y | 2 |
| C•••••• L•••• N•••••Chartered Financial Analyst | Dallas, Tx | Nov 17, 2015 | 27 y | 2 |
| H••• W••••••• R•••••••Certified Financial Planner | Dallas, Tx | Sep 28, 2022 | 10 y | 1 |
| E•••••••• G••••• T••••••••Certified Financial Planner | Dallas, Tx | Jan 8, 2025 | 10 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
none on the tape
Joined, latest
- E•••••••• G••••• T•••••••• from C•••••• S••••• • C••• I•••Jan 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- H••• W••••••• R••••••• from R•• W••••• A•••••••Sep 28, 2022 · RIA to RIA
- C•••••• L•••• N••••• from U•• M•••••• A•••••••• I•••Nov 17, 2015 · Other
- R••••• E••• F•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 27, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• R•••••• E••• · Vice President & Chief Compliance Officercontrolsince 05/2020 · owns less than 5%
- H•••••••• J••••••• W•••••• · Senior Vice- President And Directorcontrolsince 05/2020 · owns 25% to 50%
- O••••• R•••••• V•• · President And Directorcontrolsince 05/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Deerfield Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 555 to 549Apr 16, 2025 to Mar 12, 2026
- HNW clients · 197 to 193Apr 16, 2025 to Mar 12, 2026
- Individual clients · 20 to 18Apr 16, 2025 to Mar 12, 2026
- Assets in custody · $43.0M to $46.0MApr 16, 2025 to Mar 12, 2026
- Employees · 11 to 10Apr 16, 2025 to Mar 12, 2026
- Discretionary RAUM · $1.3B to $1.4BApr 16, 2025 to Mar 12, 2026
- HNW RAUM · $1.2B to $1.3BApr 16, 2025 to Mar 12, 2026
- Individual RAUM · $5.0M to $4.8MApr 16, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $3.5M to $5.5MApr 16, 2025 to Mar 12, 2026
- Pension RAUM · $22.4M to $20.3MApr 16, 2025 to Mar 12, 2026
- RAUM · $1.3B to $1.4BApr 16, 2025 to Mar 12, 2026
- Accounts · 247 to 555Oct 23, 2024 to Apr 16, 2025
- Advisory employees · 4 to 7Oct 23, 2024 to Apr 16, 2025
- HNW clients · 101 to 197Oct 23, 2024 to Apr 16, 2025
- Individual clients · 27 to 20Oct 23, 2024 to Apr 16, 2025
- Assets in custody · $470,000 to $43.0MOct 23, 2024 to Apr 16, 2025
- Financial planning clients · 1-10 to 11-25Oct 23, 2024 to Apr 16, 2025
- Discretionary RAUM · $838M to $1.3BOct 23, 2024 to Apr 16, 2025
- HNW RAUM · $808M to $1.2BOct 23, 2024 to Apr 16, 2025
- Individual RAUM · $13.8M to $5.0MOct 23, 2024 to Apr 16, 2025
- Non-discretionary RAUM · $4.8M to $3.5MOct 23, 2024 to Apr 16, 2025
- Pension RAUM · $0 to $22.4MOct 23, 2024 to Apr 16, 2025
- RAUM · $843M to $1.3BOct 23, 2024 to Apr 16, 2025
- Advisory employees · 3 to 4Mar 5, 2024 to Oct 23, 2024
- Employees · 9 to 11Mar 5, 2024 to Oct 23, 2024
- Other offices · 0 to 1Mar 5, 2024 to Oct 23, 2024
- Accounts · 216 to 247Mar 1, 2023 to Mar 5, 2024
- HNW clients · 88 to 101Mar 1, 2023 to Mar 5, 2024
- Individual clients · 32 to 27Mar 1, 2023 to Mar 5, 2024
- Assets in custody · $450,000 to $470,000Mar 1, 2023 to Mar 5, 2024
- Employees · 8 to 9Mar 1, 2023 to Mar 5, 2024
- Discretionary RAUM · $692M to $838MMar 1, 2023 to Mar 5, 2024
- HNW RAUM · $657M to $808MMar 1, 2023 to Mar 5, 2024
- Individual RAUM · $19.3M to $13.8MMar 1, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $5.7M to $4.8MMar 1, 2023 to Mar 5, 2024
- RAUM · $698M to $843MMar 1, 2023 to Mar 5, 2024
- Accounts · 208 to 216Oct 19, 2022 to Mar 1, 2023
- Advisory activities · 2 to 3Oct 19, 2022 to Mar 1, 2023
- HNW clients · 85 to 88Oct 19, 2022 to Mar 1, 2023
- Individual clients · 34 to 32Oct 19, 2022 to Mar 1, 2023
Signals
6 dated events
- P••• D•••• M•••••••• I•• reported RAUM $1.3B, up 50% from $843.2M (2024-10-23 to 2025-04-16)Apr 16, 2025 · RAUM change · derived
- Samuel John Mcfarland (Senior Vice President & Secretary-Treasurer) no longer on Schedule A of P••• D•••• M•••••••• I•• (listed 2022-04-22, absent 2022-10-19)Oct 19, 2022 · Control person left · inference
- Earl Robert Felty (Vice President & Chief Compliance Officer) appeared on Schedule A of P••• D•••• M•••••••• I••Sep 17, 2020 · Control person joined · fact
- Mckinney Frederick Penn (Sr. Vice-President) no longer on Schedule A of P••• D•••• M•••••••• I•• (listed 2019-12-13, absent 2020-04-23)Apr 23, 2020 · Control person left · inference
- Hopkins John Davis (Sr. Vice-President) no longer on Schedule A of P••• D•••• M•••••••• I•• (listed 2019-12-13, absent 2020-04-23)Apr 23, 2020 · Control person left · inference
- William Jeffrey Helfrich (Vice-President) appeared on Schedule A of P••• D•••• M•••••••• I••Apr 23, 2020 · Control person joined · 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 email
- k•••••@p•••••.orgreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 214-871-2772reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 214-953-0718reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-394-3612reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- PD••••.ORGreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-871-2772reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- p•••••.orgreportedpublished 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
- $227Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026