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
A••••• A•••••••• I•••
Latest filing Aug 20, 2026
First filing on the tape Mar 28, 2012 · 48 filings
SEC status approved since Apr 6, 2001
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$997M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$143M
derived; firm RAUM over IAPD count
Employees
27
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$1.7B as of Aug 20, 2026
Mar 28, 2012$289M then
HNW client RAUM$724M as of Aug 20, 2026
Mar 26, 2018$288M then
State-registered IARs (5.B.3)12 as of Aug 20, 2026
Mar 18, 20139 then
Employees (5.A)27 as of Aug 20, 2026
Mar 18, 201318 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 13 to 12
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $593,236derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $877M, 367 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$724M42%
- State and municipal entities$578M34%
- Individuals$273M16%
- Corporations and businesses$93.0M5.4%
- Pension and profit-sharing plans$41.1M2.4%
- Charitable organizations$3.8M0.2%
- Individual clients
- 1,139reported
- HNW clients
- 271reported
- Pension plan clients
- 18reported
- Charitable clients
- 10reported
- Accounts
- 2,888reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $877M for 367 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.36 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• R••••• M••••Certified Financial Planner | R•••••, La | Mar 23, 2006 | 29 y | 1 |
| M•••••• R•• J•••• | R•••••, La | Apr 7, 2006 | 42 y | 1 |
| D••• S•••••• M••••••Chartered Financial Analyst | R•••••, La | Jun 8, 2006 | 30 y | 0 |
| B•••• M•••••• G•••• | R•••••, La | Jul 20, 2006 | 26 y | 0 |
| T••• D•••• C•••••Certified Financial Planner | Monroe, La | Oct 4, 2011 | 29 y | 1 |
| M•••••• V••••• A•••••Certified Financial Planner | Monroe, La | Apr 16, 2012 | 26 y | 4 |
| S•••••• R•••••• B••••••• | R•••••, La | Feb 8, 2016 | 16 y | 0 |
| J••••• W••• M••••••Certified Financial Planner | R•••••, La | Sep 3, 2016 | 12 y | 0 |
| T••••• B••• H•••• | R•••••, La | Aug 9, 2018 | 13 y | 1 |
| L••••• D•••••••• M•••••• | R•••••, La | Aug 27, 2018 | 36 y | 1 |
| K•••• C••• E••••• | R•••••, La | Oct 27, 2020 | 29 y | 0 |
| M•••••• M••••Certified Financial Planner | R•••••, La | Mar 5, 2021 | 13 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
- A••••• M• P••••••••• to M••••••••• W••••• • P•••••••• L••Jan 13, 2021 · RIA to a newly registered adviser
- J••••• T• P••••••••• to M••••••••• W••••• • P•••••••• L••Jan 13, 2021 · RIA to a newly registered adviser
- B•••• R•••••• G••••• to K••••• A••••••• S•••••••• L••Aug 1, 2017 · Other
- M•••••• B•••• K•••••••• to O•••••• C•••••• M••••••••• C•••Jan 20, 2017 · Other
- J••••• O••• H••••• to E••••• J••••Mar 6, 2015 · Other
- N•••• K•••• N••••• to S••Oct 22, 2012 · Other
- M•••••• V••••• A••••• to H••••••• C•••••• M••••••••• I•••Jan 25, 2012 · Other
- J•••• L••• T••• to O•••• F•• I•••Mar 31, 2010 · Other
Joined, latest
- L••••• D•••••••• M•••••• from A••••• R••••••••• P••• A•••••••• L••Aug 27, 2018 · Other
- T••••• B••• H•••• from A••••• R••••••••• P••• A•••••••• L••Aug 9, 2018 · Other
- A••••• M• P••••••••• from L•• F•••••••• L••Jun 2, 2015 · Other
- J••••• O••• H••••• from L•• F•••••••• L••Aug 21, 2014 · Other
- M•••••• V••••• A••••• from S••••• C•••••• M••••••••• L•••••Apr 16, 2012 · Other
- T••• D•••• C••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 4, 2011 · Other
- J•••• L••• T••• from U•••• F•••••••• S••••••• G••••• I•••Nov 4, 2008 · Other
- M•••••• V••••• A••••• from U•••• F•••••••• S••••••• G••••• I•••Aug 31, 2006 · Other
- B•••• R••••• M•••• from U•••• F•••••••• S••••••• G••••• I•••Mar 23, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••••••• W••••• • P•••••••• L••Jan 13, 2021 · Shreveport, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• C•••••• A•••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- J••••• M••••••• R•• · Board Member/Presidentcontrolsince 10/2005 · owns 5% to 10%
- M••••••• D•••• S•••••• · Board Member/ Managing Directorcontrolsince 07/2020 · owns less than 5%
- M••••• B••••• R••••• · Managing Director- P••••••• Grp/Board Membercontrolsince 10/2005 · owns less than 5%
Entity owners
- A••••• F•••••••• G••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••••• I••••••••• A••••••• I••investment advisernRAUM $64.3M
- A••••• I••••••••• T••••n
- A••••• I•••••••• S•••••••• L••real estaten
- A••••• R••••••••• P••• A•••••••• L••investment advisernRAUM $683M
- A••••• T•••• C••••••custodiann
- A••••• W•••••• L••investment advisernRAUM $487M
- H••••••• C•••••• M••••••••• I•••investment advisernRAUM $61.4M
- H••••••• C•••••• M••••••••• L••investment advisernRAUM $3.9B
- W••••• C•••••• M••••••••• L••investment advisernRAUM $27.0M
Advisers that list A••••• A•••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| R•••••, La · principal | 12 | 0 | 0 | ||
| Monroe, La | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- R•••••, LA9 employees
What changed
consecutive filings, newest first
- Accounts · 2,582 to 2,888Oct 29, 2025 to Mar 24, 2026
- Advisory employees · 13 to 12Oct 29, 2025 to Mar 24, 2026
- BD registered reps · 5 to 4Oct 29, 2025 to Mar 24, 2026
- Charity clients · 8 to 10Oct 29, 2025 to Mar 24, 2026
- Corporate clients · 44 to 40Oct 29, 2025 to Mar 24, 2026
- HNW clients · 220 to 271Oct 29, 2025 to Mar 24, 2026
- Individual clients · 1,127 to 1,139Oct 29, 2025 to Mar 24, 2026
- Pension plan clients · unset to 18.0Oct 29, 2025 to Mar 24, 2026
- Assets in custody · $852M to $877MOct 29, 2025 to Mar 24, 2026
- Employees · 28 to 27Oct 29, 2025 to Mar 24, 2026
- HQ city · MONROE to R•••••Oct 29, 2025 to Mar 24, 2026
- State-registered IARs · 13 to 12Oct 29, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.5B to $1.7BOct 29, 2025 to Mar 24, 2026
- HNW RAUM · $560M to $724MOct 29, 2025 to Mar 24, 2026
- Individual RAUM · $254M to $273MOct 29, 2025 to Mar 24, 2026
- Pension RAUM · unset to 41141153.0Oct 29, 2025 to Mar 24, 2026
- RAUM · $1.5B to $1.7BOct 29, 2025 to Mar 24, 2026
- Accounts · 2,432 to 2,582Nov 8, 2024 to Mar 21, 2025
- Charity clients · 6 to 8Nov 8, 2024 to Mar 21, 2025
- Corporate clients · 48 to 44Nov 8, 2024 to Mar 21, 2025
- HNW clients · 183 to 220Nov 8, 2024 to Mar 21, 2025
- Individual clients · 1,131 to 1,127Nov 8, 2024 to Mar 21, 2025
- Pension plan clients · 10.0 to unsetNov 8, 2024 to Mar 21, 2025
- Assets in custody · $820M to $852MNov 8, 2024 to Mar 21, 2025
- Employees · 29 to 28Nov 8, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 1-10Nov 8, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.4B to $1.5BNov 8, 2024 to Mar 21, 2025
- HNW RAUM · $475M to $560MNov 8, 2024 to Mar 21, 2025
- Individual RAUM · $265M to $254MNov 8, 2024 to Mar 21, 2025
- Pension RAUM · 8357255.0 to unsetNov 8, 2024 to Mar 21, 2025
- RAUM · $1.4B to $1.5BNov 8, 2024 to Mar 21, 2025
- Accounts · 2,288 to 2,432Dec 12, 2023 to Mar 22, 2024
- Charity clients · 8 to 6Dec 12, 2023 to Mar 22, 2024
- Corporate clients · 33 to 48Dec 12, 2023 to Mar 22, 2024
- HNW clients · 143 to 183Dec 12, 2023 to Mar 22, 2024
- Individual clients · 1,142 to 1,131Dec 12, 2023 to Mar 22, 2024
- Pension plan clients · unset to 10.0Dec 12, 2023 to Mar 22, 2024
- Assets in custody · $761M to $820MDec 12, 2023 to Mar 22, 2024
- Employees · 30 to 29Dec 12, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.2B to $1.4BDec 12, 2023 to Mar 22, 2024
Signals
1 dated events
- A••••• A•••••••• I••• reported RAUM $782.2M, up 48% from $529.1M (2018-11-15 to 2019-03-24)Mar 24, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••• A•••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 512-540-3811reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H••••://WWW.A•••••FINANICAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 318-251-5800reportedpublic record, Form ADV, Aug 20, 2026
- Contact form
- wealthtender.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026