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.

Former SEC-registered adviser

1st Global Advisors Inc

Former SEC-registered adviserDallas, TexasCRD 111133SEC 801-41517IAPD
Latest filing Sep 26, 2019
First filing on the tape Nov 14, 2011 · 40 filings
RAUM
$11B
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
83%
$8.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
976
976 advisory (5.B.1)
Offices
436
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$11B as of Sep 26, 2019
Sep 18, 2012$4.6B then
HNW client RAUM$3.9B as of Sep 26, 2019
Sep 25, 2018$3.5B then
State-registered IARs (5.B.3)791 as of Sep 26, 2019
Sep 23, 20131,077 then
Employees (5.A)976 as of Sep 26, 2019
Sep 23, 20131,182 then
Private funds: no history
RAUM +8.2% over the last fiscal year+11% a year over threeIARs 887 to 791
Practice profile
derived from the filing of Sep 26, 2019; every figure names its basis
RAUM per advisor
$13.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$353,814derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.8derived437 offices incl. principal (1.F.5)
RAUM growth, one year
+8.2%derivedbetween the last two annual amendments
Advisor growth, one year
-11%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.6%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Financial planning clients
30,500reportedItem 5.H
Wrap fee program
$9.9BreportedItem 5.I
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$5.1B47%
  • High-net-worth individuals$3.9B36%
  • Pension and profit-sharing plans$1.3B12%
  • Corporations and businesses$580M5.4%
  • Charitable organizations$14.0M0.1%
Individual clients
25,889reported
HNW clients
2,712reported
Pension plan clients
1,624reported
Charitable clients
29reported
Accounts
30,580reported
Financial planning clients
30,500reported
Wrap fee programs
$6.1B sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Christopher Todd Mackay · Directorcontrol
    since 05/2019 · owns less than 5%
  • Scott Jeffrey Magson · Executive Vice President And Client Experience Officercontrol
    since 03/2015 · owns less than 5%
  • Anthony Michael Pagano · Executive Vice President, Compliance, Legal And Risk Assessmentcontrol
    since 12/2015 · owns less than 5%
  • Garrett Stephen Smith · Assistant Vice President And Ccocontrol
    since 12/2017 · owns less than 5%
  • Paul Everett Stewart · Executive Vice President - Chief Operating Officercontrol
    since 03/2015 · owns less than 5%
  • Martin Enrique Vasquez · Presidentcontrol
    since 07/2019 · owns less than 5%
Entity owners
  • 1st Global, Inc. · Stockholder
    direct · owns 75% or more
  • 1g Acquisitions, LLC · Shareholder
    indirect · owns 75% or more of 1st Global, Inc.
  • Blucora, Inc. · Shareholder
    indirect · owns 75% or more of 1st Global, Inc. · public reporting company
  • Hdv Holdings, Inc. · Shareholder
    indirect · owns 75% or more of 1st Global, Inc.
  • Project Baseball Sub, Inc. · Shareholder
    indirect · owns 75% or more of 1st Global, Inc.
  • Taxact Holdings, Inc. · Shareholder
    indirect · owns 75% or more of 1st Global, Inc.
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Irving, TX25 employees
What changed
consecutive filings, newest first
  • Accounts · 28,955 to 30,580
    Jul 25, 2019 to Sep 26, 2019
  • Advisory employees · 1,049 to 976
    Jul 25, 2019 to Sep 26, 2019
  • BD registered reps · 966 to 907
    Jul 25, 2019 to Sep 26, 2019
  • Corporate clients · 314 to 326
    Jul 25, 2019 to Sep 26, 2019
  • HNW clients · 2,626 to 2,712
    Jul 25, 2019 to Sep 26, 2019
  • Individual clients · 24,469 to 25,889
    Jul 25, 2019 to Sep 26, 2019
  • Pension plan clients · 1,517 to 1,624
    Jul 25, 2019 to Sep 26, 2019
  • Employees · 1,049 to 976
    Jul 25, 2019 to Sep 26, 2019
  • Insurance-licensed employees · 65 to 41
    Jul 25, 2019 to Sep 26, 2019
  • State-registered IARs · 887 to 791
    Jul 25, 2019 to Sep 26, 2019
  • Discretionary RAUM · $7.3B to $7.9B
    Jul 25, 2019 to Sep 26, 2019
  • HNW RAUM · $3.5B to $3.9B
    Jul 25, 2019 to Sep 26, 2019
  • Individual RAUM · $4.8B to $5.1B
    Jul 25, 2019 to Sep 26, 2019
  • Non-discretionary RAUM · $2.7B to $2.9B
    Jul 25, 2019 to Sep 26, 2019
  • Pension RAUM · $1.2B to $1.3B
    Jul 25, 2019 to Sep 26, 2019
  • RAUM · $10.0B to $11B
    Jul 25, 2019 to Sep 26, 2019
  • Wrap assets (sponsor) · $5.5B to $6.1B
    Jul 25, 2019 to Sep 26, 2019
  • Accounts · 28,571 to 28,955
    Aug 14, 2018 to Sep 25, 2018
  • Advisory employees · 1,089 to 1,049
    Aug 14, 2018 to Sep 25, 2018
  • BD registered reps · 1,010 to 966
    Aug 14, 2018 to Sep 25, 2018
  • Corporate clients · 313 to 314
    Aug 14, 2018 to Sep 25, 2018
  • HNW clients · 2,664 to 2,626
    Aug 14, 2018 to Sep 25, 2018
  • Individual clients · 24,040 to 24,469
    Aug 14, 2018 to Sep 25, 2018
  • Pension plan clients · 1,525 to 1,517
    Aug 14, 2018 to Sep 25, 2018
  • Employees · 1,089 to 1,049
    Aug 14, 2018 to Sep 25, 2018
  • Insurance-licensed employees · 75 to 65
    Aug 14, 2018 to Sep 25, 2018
  • State-registered IARs · 854 to 887
    Aug 14, 2018 to Sep 25, 2018
  • Other offices · 438 to 436
    Aug 14, 2018 to Sep 25, 2018
  • Discretionary RAUM · $7.3B to $7.3B
    Aug 14, 2018 to Sep 25, 2018
  • HNW RAUM · $3.5B to $3.5B
    Aug 14, 2018 to Sep 25, 2018
  • Individual RAUM · $4.8B to $4.8B
    Aug 14, 2018 to Sep 25, 2018
  • Non-discretionary RAUM · $2.6B to $2.7B
    Aug 14, 2018 to Sep 25, 2018
  • Pension RAUM · $1.1B to $1.2B
    Aug 14, 2018 to Sep 25, 2018
  • RAUM · $9.9B to $10.0B
    Aug 14, 2018 to Sep 25, 2018
  • Wrap assets (sponsor) · $5.6B to $5.5B
    Aug 14, 2018 to Sep 25, 2018
  • Accounts · 25,039 to 28,571
    Sep 11, 2017 to Apr 18, 2018
  • Charity clients · unset to 29.0
    Sep 11, 2017 to Apr 18, 2018
  • Corporate clients · unset to 313.0
    Sep 11, 2017 to Apr 18, 2018
  • HNW clients · unset to 2664.0
    Sep 11, 2017 to Apr 18, 2018
  • Individual clients · unset to 24040.0
    Sep 11, 2017 to Apr 18, 2018
Signals
4 dated events
  • Martin Enrique Vasquez (President) appeared on Schedule A of 1St Global Advisors Inc
    Jul 22, 2019 · Control person joined · fact
  • Christopher David Knoch (President And Ceo) no longer on Schedule A of 1St Global Advisors Inc (listed 2019-05-21, absent 2019-07-22)
    Jul 22, 2019 · Control person left · inference
  • Christopher Todd Mackay (Director) appeared on Schedule A of 1St Global Advisors Inc
    May 6, 2019 · Control person joined · fact
  • Anthony Stephen Batman (Chairman And Ceo) no longer on Schedule A of 1St Global Advisors Inc (listed 2019-03-07, absent 2019-05-06)
    May 6, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026