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•••••••••
Legal name F••••• B••••••• J•••••
Latest filing Sep 14, 2026
First filing on the tape Jan 31, 2012 · 22 filings
SEC status approved since Aug 31, 2001
RAUM
$214M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
80%
$170M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$214M as of Jan 14, 2026
Jan 31, 2012$168M then
HNW client RAUM$169M as of Jan 14, 2026
Jan 18, 2018$141M then
State-registered IARs (5.B.3)0 as of Jan 14, 2026
Jan 31, 20120 then
Employees (5.A)4 as of Jan 14, 2026
Jan 23, 20132 then
Private funds: no history
RAUM +4.4% over the last fiscal year-1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 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
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $763,221derivedHNW RAUM over HNW clients
- Average account
- $693,241derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.2%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
- +4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$169M79%
- Corporations and businesses$40.5M19%
- Pension and profit-sharing plans$2.1M1.0%
- Individuals$1.7M0.8%
- Charitable organizations$482,9890.2%
- Individual clients
- 58reported
- HNW clients
- 221reported
- Pension plan clients
- 8reported
- Charitable clients
- 1reported
- Accounts
- 308reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• J•••• L•••••• | Texarkana, Tx | May 6, 2024 | 13 y | 0 |
| K•••••• J•••••• | Texarkana, Tx | Nov 20, 2024 | 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
- F••••• B•••••••• J••••• · Chief Compliance Officercontrolsince 06/1986 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Texarkana, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJan 14, 2026 to Sep 2, 2026
- Related adviser · false to unsetJan 14, 2026 to Sep 2, 2026
- Related bank · false to unsetJan 14, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetJan 14, 2026 to Sep 2, 2026
- Related insurance company · false to unsetJan 14, 2026 to Sep 2, 2026
- Succession · false to unsetJan 14, 2026 to Sep 2, 2026
- Accounts · 267 to 308Jan 25, 2025 to Jan 14, 2026
- Charity clients · 2 to 1Jan 25, 2025 to Jan 14, 2026
- Corporate clients · 16 to 20Jan 25, 2025 to Jan 14, 2026
- HNW clients · 224 to 221Jan 25, 2025 to Jan 14, 2026
- Individual clients · 19 to 58Jan 25, 2025 to Jan 14, 2026
- Pension plan clients · 6 to 8Jan 25, 2025 to Jan 14, 2026
- Discretionary RAUM · $205M to $199MJan 25, 2025 to Jan 14, 2026
- HNW RAUM · $171M to $169MJan 25, 2025 to Jan 14, 2026
- Individual RAUM · $802,605 to $1.7MJan 25, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $0 to $14.6MJan 25, 2025 to Jan 14, 2026
- Pension RAUM · $1.4M to $2.1MJan 25, 2025 to Jan 14, 2026
- RAUM · $205M to $214MJan 25, 2025 to Jan 14, 2026
- Accounts · 271 to 267Jan 8, 2024 to Jan 25, 2025
- Advisory employees · 3 to 4Jan 8, 2024 to Jan 25, 2025
- Corporate clients · 14 to 16Jan 8, 2024 to Jan 25, 2025
- HNW clients · 227 to 224Jan 8, 2024 to Jan 25, 2025
- Individual clients · 17 to 19Jan 8, 2024 to Jan 25, 2025
- Pension plan clients · 4 to 6Jan 8, 2024 to Jan 25, 2025
- Employees · 3 to 4Jan 8, 2024 to Jan 25, 2025
- Financial planning clients · unset to Jan 8, 2024 to Jan 25, 2025
- Discretionary RAUM · $223M to $205MJan 8, 2024 to Jan 25, 2025
- HNW RAUM · $187M to $171MJan 8, 2024 to Jan 25, 2025
- Individual RAUM · $810,980 to $802,605Jan 8, 2024 to Jan 25, 2025
- Pension RAUM · $1.3M to $1.4MJan 8, 2024 to Jan 25, 2025
- RAUM · $223M to $205MJan 8, 2024 to Jan 25, 2025
- Accounts · 286 to 271Jan 13, 2023 to Jan 8, 2024
- Advisory employees · 2 to 3Jan 13, 2023 to Jan 8, 2024
- Corporate clients · 8 to 14Jan 13, 2023 to Jan 8, 2024
- HNW clients · 242 to 227Jan 13, 2023 to Jan 8, 2024
- Individual clients · 20 to 17Jan 13, 2023 to Jan 8, 2024
- Pension plan clients · 5 to 4Jan 13, 2023 to Jan 8, 2024
- Employees · 2 to 3Jan 13, 2023 to Jan 8, 2024
- Discretionary RAUM · $222M to $223MJan 13, 2023 to Jan 8, 2024
- HNW RAUM · $195M to $187MJan 13, 2023 to Jan 8, 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
- Website
- floydcapitalmanagement.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 903-794-2704reportedpublic record, Form ADV, Sep 14, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026