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
I•• W••••• M••••••••• I•••
Latest filing Jul 23, 2026
First filing on the tape Mar 27, 2012 · 45 filings
SEC status approved since Oct 19, 2001
RAUM
$589M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$587M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$589M as of Jul 23, 2026
Mar 27, 2012$145M then
HNW client RAUM$546M as of Jul 23, 2026
Mar 17, 2018$260M then
State-registered IARs (5.B.3)5 as of Jul 23, 2026
Mar 27, 20120 then
Employees (5.A)8 as of Jul 23, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 23, 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
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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$546M93%
- Individuals$40.9M6.9%
- Charitable organizations$1.4M0.2%
- Corporations and businesses$338,2280.1%
- Individual clients
- 98reported
- HNW clients
- 134reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 235reported
- Financial planning clients
- 26-50reported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L••••• H••••• | The Woodlands, Tx | Feb 26, 2002 | 35 y | 0 |
| H•••• A••• S•••••• | The Woodlands, Tx | Jan 28, 2011 | 16 y | 0 |
| C••• E•••• B••• | The Woodlands, Tx | Jan 5, 2018 | 37 y | 0 |
| J•••• D••••• H•••• | The Woodlands, Tx | Dec 19, 2018 | 18 y | 0 |
| J•••••• A•••• N•••••• | The Woodlands, Tx | Jun 25, 2024 | 10 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
- R•••••• D•••••• W••• to M••••• S••••••Nov 13, 2017 · Other
Joined, latest
- R•••••• D•••••• W••• from P•••••• W••••• M••••••••• I•••Sep 22, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• C•••• E•••• · Secretary & Treasurercontrolsince 03/2021 · owns less than 5%
- H•••••• J•••• L••••• · Chairmancontrolsince 03/2021 · owns 75% or more
- S••••••• H••••• A••• · Presidentcontrolsince 03/2021 · owns less than 5%
- H•••••• C••••••••• J••• · Chief Compliance Officersince 01/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 23, 2026accounts (Item 5.F.2.f) moved from 865.0 to 231.0 (-73.0%) between the annual amendments of 2025-03-24 and 2026-03-23; the peer median change was +6.0% (1256 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.2% percentile
What changed
consecutive filings, newest first
- Accounts · 231 to 235Mar 23, 2026 to Jul 23, 2026
- HNW clients · 130 to 134Mar 23, 2026 to Jul 23, 2026
- Financial planning clients · 0 to 26-50Mar 23, 2026 to Jul 23, 2026
- Discretionary RAUM · $549M to $589MMar 23, 2026 to Jul 23, 2026
- HNW RAUM · $508M to $546MMar 23, 2026 to Jul 23, 2026
- Individual RAUM · $38.9M to $40.9MMar 23, 2026 to Jul 23, 2026
- RAUM · $549M to $589MMar 23, 2026 to Jul 23, 2026
- Accounts · 865 to 231Mar 24, 2025 to Mar 23, 2026
- HNW clients · 128 to 130Mar 24, 2025 to Mar 23, 2026
- Individual clients · 95 to 98Mar 24, 2025 to Mar 23, 2026
- Employees · 7 to 8Mar 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $496M to $549MMar 24, 2025 to Mar 23, 2026
- HNW RAUM · $460M to $508MMar 24, 2025 to Mar 23, 2026
- Individual RAUM · $34.4M to $38.9MMar 24, 2025 to Mar 23, 2026
- RAUM · $496M to $549MMar 24, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 0Feb 25, 2025 to Mar 24, 2025
- HNW clients · 127 to 128Nov 12, 2024 to Feb 25, 2025
- Individual clients · 85 to 95Nov 12, 2024 to Feb 25, 2025
- Discretionary RAUM · $447M to $496MNov 12, 2024 to Feb 25, 2025
- HNW RAUM · $419M to $460MNov 12, 2024 to Feb 25, 2025
- Individual RAUM · $27.7M to $34.4MNov 12, 2024 to Feb 25, 2025
- RAUM · $447M to $496MNov 12, 2024 to Feb 25, 2025
- Accounts · 781 to 865Nov 12, 2024 to Feb 25, 2025
- Advisory employees · 4 to 5Nov 6, 2024 to Nov 12, 2024
- State-registered IARs · 4 to 5Nov 6, 2024 to Nov 12, 2024
- Accounts · 773 to 781Dec 20, 2023 to Feb 28, 2024
- HNW clients · 86 to 127Dec 20, 2023 to Feb 28, 2024
- Individual clients · 112 to 85Dec 20, 2023 to Feb 28, 2024
- Discretionary RAUM · $451M to $447MDec 20, 2023 to Feb 28, 2024
- HNW RAUM · $427M to $419MDec 20, 2023 to Feb 28, 2024
- Individual RAUM · $22.8M to $27.7MDec 20, 2023 to Feb 28, 2024
- RAUM · $451M to $447MDec 20, 2023 to Feb 28, 2024
- Accounts · 743 to 773Sep 15, 2023 to Dec 20, 2023
- HNW clients · 112 to 86Sep 15, 2023 to Dec 20, 2023
- Individual clients · 82 to 112Sep 15, 2023 to Dec 20, 2023
- Employees · 6 to 7Sep 15, 2023 to Dec 20, 2023
- Legal name · I••••••••• A••••••• S•••••••• I•• to I•• W••••• M••••••••• I•••Sep 15, 2023 to Dec 20, 2023
- Discretionary RAUM · $383M to $451MSep 15, 2023 to Dec 20, 2023
- HNW RAUM · $22.8M to $427MSep 15, 2023 to Dec 20, 2023
- Individual RAUM · $360M to $22.8MSep 15, 2023 to Dec 20, 2023
Signals
2 dated events
- Alan H•••• Stevens (President) appeared on Schedule A of I•• W••••• M••••••••• I•••Mar 30, 2021 · Control person joined · fact
- E•••• C••• B••• (Secretary & Treasurer) appeared on Schedule A of I•• W••••• M••••••••• I•••Mar 30, 2021 · Control person joined · 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 email
- c•@i••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-364-0606reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.i••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281-364-0606reportedpublic record, Form ADV, Jul 23, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026