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
C•••••• M•••••••••
Legal name P••••••••• D••• E••••
Latest filing Mar 12, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Apr 8, 2004
RAUM
$324M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
92%
$299M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$324M as of Mar 12, 2026
Mar 29, 2012$277M then
HNW client RAUM$299M as of Mar 12, 2026
Mar 29, 2018$343M then
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 12, 2026
Mar 26, 20133 then
Private funds: no history
RAUM -5.9% over the last fiscal year-3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $5.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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$299M92%
- Charitable organizations$25.3M7.8%
- Individual clients
- 0reported
- HNW clients
- 53reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 55reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
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
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
- P••••••••• D•••• E•••• · Sole Proprietor; Chief Compliance Officercontrolsince 08/1995 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 12, 2026RAUM per account of $5,899,724 against a peer median of $439,994 (5433 comparable advisers, 100.0th percentile, 3.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,433) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 53 to 55Mar 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $208M to $199MMar 25, 2025 to Mar 12, 2026
- HNW RAUM · $320M to $299MMar 25, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $137M to $125MMar 25, 2025 to Mar 12, 2026
- RAUM · $345M to $324MMar 25, 2025 to Mar 12, 2026
- Accounts · 57 to 53Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $173M to $208MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $380M to $320MMar 26, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $207M to $137MMar 26, 2024 to Mar 25, 2025
- RAUM · $380M to $345MMar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $165M to $173MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $365M to $380MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $200M to $207MMar 30, 2023 to Mar 26, 2024
- RAUM · $365M to $380MMar 30, 2023 to Mar 26, 2024
- Accounts · 56 to 57Mar 30, 2022 to Mar 30, 2023
- HNW clients · 52 to 53Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $175M to $165MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $388M to $365MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $213M to $200MMar 30, 2022 to Mar 30, 2023
- RAUM · $388M to $365MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $157M to $175MMar 19, 2021 to Mar 30, 2022
- HNW RAUM · $363M to $388MMar 19, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $206M to $213MMar 19, 2021 to Mar 30, 2022
- RAUM · $363M to $388MMar 19, 2021 to Mar 30, 2022
- HNW clients · 51 to 52May 28, 2020 to Mar 19, 2021
- Discretionary RAUM · $159M to $157MMay 28, 2020 to Mar 19, 2021
- HNW RAUM · $379M to $363MMay 28, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $220M to $206MMay 28, 2020 to Mar 19, 2021
- RAUM · $379M to $363MMay 28, 2020 to Mar 19, 2021
- Accounts · 55 to 56Mar 21, 2019 to Mar 13, 2020
- HNW clients · 52 to 51Mar 21, 2019 to Mar 13, 2020
- Other offices · 1 to 0Mar 21, 2019 to Mar 13, 2020
- Discretionary RAUM · $135M to $159MMar 21, 2019 to Mar 13, 2020
- HNW RAUM · $374M to $379MMar 21, 2019 to Mar 13, 2020
- Non-discretionary RAUM · $239M to $220MMar 21, 2019 to Mar 13, 2020
- RAUM · $374M to $379MMar 21, 2019 to Mar 13, 2020
- Accounts · 54 to 55Mar 29, 2018 to Mar 21, 2019
- HNW clients · 54 to 52Mar 29, 2018 to Mar 21, 2019
- Discretionary RAUM · $125M to $135MMar 29, 2018 to Mar 21, 2019
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
- Business email
- d••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••••MANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-525-1520reportedpublic record, Form ADV, Mar 12, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026