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
P••••••• M•••• P•••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Apr 2, 2012 · 20 filings
SEC status approved since Apr 14, 2022
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.2M
derived; firm RAUM over IAPD count
Employees
5
3 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$127M as of Apr 7, 2026
Apr 2, 2012$51.0M then
HNW client RAUM$54.6M as of Apr 7, 2026
Mar 8, 2023$52.1M then
State-registered IARs (5.B.3)3 as of Apr 7, 2026
Apr 2, 20120 then
Employees (5.A)5 as of Apr 7, 2026
Mar 8, 20234 then
Private funds: no history
RAUM +9.4% over the last fiscal year+6.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 7, 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
- $42.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $223,912derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- Individuals$72.1M57%
- High-net-worth individuals$54.6M43%
- Individual clients
- 189reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 566reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| G••• W•••••• S••••••••Certified Financial Planner | Wichita Falls, Tx | May 16, 2012 | 36 y | 0 |
| M••••••• J• K•••••• | Wichita Falls, Tx | Jan 15, 2015 | 21 y | 0 |
| B••••••• N••••• S•••••• | Wichita Falls, Tx | Jan 3, 2023 | 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
- D•••••• W•••• T••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jul 15, 2019 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• M•••••••• J• · Chief Compliance Officer; Presidentcontrolsince 03/2009 · owns 25% to 50%
- S••••••• B•••••••• N••••• · Vice Presidentcontrolsince 01/2024 · owns 10% to 25%
- S••••••••• G•••• W•••••• · Ownercontrolsince 06/1995 · 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 |
|---|---|---|---|---|---|
| Wichita Falls, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 577 to 566Mar 26, 2025 to Mar 30, 2026
- HNW clients · 30 to 28Mar 26, 2025 to Mar 30, 2026
- Individual clients · 186 to 189Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $116M to $127MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $53.1M to $54.6MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $62.8M to $72.1MMar 26, 2025 to Mar 30, 2026
- RAUM · $116M to $127MMar 26, 2025 to Mar 30, 2026
- Accounts · 576 to 577Aug 5, 2024 to Mar 26, 2025
- HNW clients · 31 to 30Aug 5, 2024 to Mar 26, 2025
- Individual clients · 188 to 186Aug 5, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Aug 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $110M to $116MAug 5, 2024 to Mar 26, 2025
- HNW RAUM · $54.6M to $53.1MAug 5, 2024 to Mar 26, 2025
- Individual RAUM · $55.3M to $62.8MAug 5, 2024 to Mar 26, 2025
- RAUM · $110M to $116MAug 5, 2024 to Mar 26, 2025
- Accounts · 604 to 576Jul 31, 2023 to Mar 13, 2024
- HNW clients · 32 to 31Jul 31, 2023 to Mar 13, 2024
- Individual clients · 198 to 188Jul 31, 2023 to Mar 13, 2024
- Discretionary RAUM · $104M to $110MJul 31, 2023 to Mar 13, 2024
- HNW RAUM · $52.1M to $54.6MJul 31, 2023 to Mar 13, 2024
- Individual RAUM · $51.7M to $55.3MJul 31, 2023 to Mar 13, 2024
- RAUM · $104M to $110MJul 31, 2023 to Mar 13, 2024
- Employees · 4 to 5Mar 8, 2023 to Jul 31, 2023
- Accounts · 553 to 604Jan 3, 2023 to Mar 8, 2023
- Individual clients · 184 to 198Jan 3, 2023 to Mar 8, 2023
- Discretionary RAUM · $121M to $104MJan 3, 2023 to Mar 8, 2023
- HNW RAUM · $69.0M to $52.1MJan 3, 2023 to Mar 8, 2023
- Individual RAUM · $51.9M to $51.7MJan 3, 2023 to Mar 8, 2023
- RAUM · $121M to $104MJan 3, 2023 to Mar 8, 2023
- Advisory employees · 2 to 3Nov 30, 2022 to Jan 3, 2023
- State-registered IARs · 2 to 3Nov 30, 2022 to Jan 3, 2023
- Accounts · 326 to 553Jun 28, 2012 to Mar 14, 2022
- Advisory employees · unset to 2.0Jun 28, 2012 to Mar 14, 2022
- Business name · P••••••• M•••• P••••••• to P••••••• M•••• P•••••••• L••Jun 28, 2012 to Mar 14, 2022
- HNW clients · unset to 32.0Jun 28, 2012 to Mar 14, 2022
- Individual clients · unset to 184.0Jun 28, 2012 to Mar 14, 2022
- Employees · unset to 4.0Jun 28, 2012 to Mar 14, 2022
- State-registered IARs · 0 to 2Jun 28, 2012 to Mar 14, 2022
- Legal name · G••• W•••••• S•••••••• to P••••••• M•••• P•••••••• L••Jun 28, 2012 to Mar 14, 2022
- Other offices · unset to 0.0Jun 28, 2012 to Mar 14, 2022
Signals
2 dated events
- N••••• B••••••• S•••••• (Vice President) appeared on Schedule A of P••••••• M•••• P•••••••• L••Aug 5, 2024 · Control person joined · fact
- P••••••• M•••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 14, 2022 · First SEC registration · 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
- 940-692-6885reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- TEXASINVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 940-692-6885reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p•••••••••.comreportedpublished 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
- $42.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026