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••••••• C•••••• M••••••••• I••
Latest filing Feb 19, 2026
First filing on the tape Dec 20, 2011 · 25 filings
SEC status approved since Jan 31, 1995
RAUM
$282M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$263M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$93.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$282M as of Feb 19, 2026
Mar 26, 2012$126M then
HNW client RAUM$249M as of Feb 19, 2026
Mar 29, 2018$68.5M then
State-registered IARs (5.B.3)2 as of Feb 19, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Feb 19, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$249M88%
- Individuals$13.8M4.9%
- Charitable organizations$11.0M3.9%
- Pension and profit-sharing plans$8.2M2.9%
- Individual clients
- 62reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 130reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• P•••• B••• | Houston, Tx | Jan 6, 2003 | 45 y | 0 |
| J•••• L•••••• W••••• | Houston, Tx | Feb 6, 2012 | 34 y | 4 |
| W••• R••••• O••••• | Houston, Tx | Jan 22, 2019 | 15 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
- S•••• F•••••••• O•• to S•• C••••••• I•••Feb 6, 2019 · RIA to a state-registered adviser
Joined, latest
- J•••• L•••••• W••••• from S••••••• E••••• A•••••••• I•••Feb 6, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• G••••• E••• · Shareholdercontrolsince 01/1995 · owns 75% or more
- W•••••• J••••• L•••••• · Vice President/Chief Compliance Officercontrolsince 09/2011 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 126 to 130Sep 25, 2025 to Feb 19, 2026
- HNW clients · 60 to 68Sep 25, 2025 to Feb 19, 2026
- Individual clients · 67 to 62Sep 25, 2025 to Feb 19, 2026
- Discretionary RAUM · $235M to $274MSep 25, 2025 to Feb 19, 2026
- HNW RAUM · $210M to $249MSep 25, 2025 to Feb 19, 2026
- Individual RAUM · $15.0M to $13.8MSep 25, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $5.9M to $8.2MSep 25, 2025 to Feb 19, 2026
- Pension RAUM · $7.1M to $8.2MSep 25, 2025 to Feb 19, 2026
- RAUM · $241M to $282MSep 25, 2025 to Feb 19, 2026
- Accounts · 122 to 126Feb 29, 2024 to Jan 15, 2025
- Individual clients · 62 to 67Feb 29, 2024 to Jan 15, 2025
- Financial planning clients · 26-50 to 26-50Feb 29, 2024 to Jan 15, 2025
- Discretionary RAUM · $209M to $235MFeb 29, 2024 to Jan 15, 2025
- HNW RAUM · $188M to $210MFeb 29, 2024 to Jan 15, 2025
- Individual RAUM · $11.6M to $15.0MFeb 29, 2024 to Jan 15, 2025
- Non-discretionary RAUM · $5.5M to $5.9MFeb 29, 2024 to Jan 15, 2025
- Pension RAUM · $8.6M to $7.1MFeb 29, 2024 to Jan 15, 2025
- RAUM · $214M to $241MFeb 29, 2024 to Jan 15, 2025
- Accounts · 125 to 122Mar 3, 2023 to Feb 29, 2024
- HNW clients · 47 to 60Mar 3, 2023 to Feb 29, 2024
- Individual clients · 78 to 62Mar 3, 2023 to Feb 29, 2024
- Discretionary RAUM · $194M to $209MMar 3, 2023 to Feb 29, 2024
- HNW RAUM · $163M to $188MMar 3, 2023 to Feb 29, 2024
- Individual RAUM · $20.0M to $11.6MMar 3, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $0 to $5.5MMar 3, 2023 to Feb 29, 2024
- Pension RAUM · $5.4M to $8.6MMar 3, 2023 to Feb 29, 2024
- RAUM · $194M to $214MMar 3, 2023 to Feb 29, 2024
- HNW clients · 52 to 47Apr 27, 2022 to Mar 3, 2023
- Individual clients · 73 to 78Apr 27, 2022 to Mar 3, 2023
- Financial planning clients · 11-25 to 26-50Apr 27, 2022 to Mar 3, 2023
- State-registered IARs · 3 to 2Apr 27, 2022 to Mar 3, 2023
- Discretionary RAUM · $205M to $194MApr 27, 2022 to Mar 3, 2023
- HNW RAUM · $179M to $163MApr 27, 2022 to Mar 3, 2023
- Individual RAUM · $17.8M to $20.0MApr 27, 2022 to Mar 3, 2023
- Pension RAUM · $3.0M to $5.4MApr 27, 2022 to Mar 3, 2023
- RAUM · $205M to $194MApr 27, 2022 to Mar 3, 2023
- Advisory employees · 3 to 2Mar 22, 2022 to Apr 27, 2022
- Employees · 4 to 3Mar 22, 2022 to Apr 27, 2022
- Accounts · 120 to 125Mar 23, 2021 to Mar 22, 2022
- Advisory activities · 1 to 2Mar 23, 2021 to Mar 22, 2022
Signals
1 dated events
- F••••••• C•••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 26, 2012 · 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
- 713-877-1044reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-877-1188reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/35560482reportedpublic record, Form ADV, Sep 19, 2026
- Website
- f•••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-877-1188reportedpublic record, Form ADV, Feb 19, 2026
- Contact form
- f•••••••••.netreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- f•••••••••.netreportedpublished 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
- $93.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026