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
S•••• C••••
Latest filing Sep 17, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jun 8, 2016
RAUM
$1.6B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
92%
$1.5B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$529M
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
28 filings and snapshots on the tape
RAUM$587M as of May 4, 2026
Mar 29, 2012$43.5M then
HNW client RAUM$403M as of May 4, 2026
Feb 21, 2018$76.5M then
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 30, 20171 then
Employees (5.A)2 as of May 4, 2026
Mar 30, 20171 then
Private funds: no history
RAUM +246% over the last fiscal year+90% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 17, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $529MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $29.5MderivedHNW RAUM over HNW clients
- Average account
- $18.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%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
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, 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$1.4B89%
- Other investment advisers$126M7.9%
- Individuals$33.7M2.1%
- Corporations and businesses$9.0M0.6%
- Individual clients
- 36reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 88reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.08 institutional_share=0.0 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• L•••• B••••••• D• Q••••• | The Woodlands, Tx | Jun 12, 2012 | 38 y | 0 |
| R•••••• G•••••• D• L• G•••• | The Woodlands, Tx | Jun 6, 2019 | 31 y | 1 |
| A••••• V••••••••• D•• R•• | The Woodlands, Tx | May 4, 2026 | 20 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
- R•••••• G•••••• D• L• G•••• from L•• A••••••• L••Jun 6, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D• Q•••••• M••••• L•••• · President/Chief Compliance Officercontrolsince 01/2001 · owns 75% or more
- D• L• G••••• R••••••• G•••••• · Director / Secretarysince 02/2020 · 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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 77 to 88May 4, 2026 to Sep 17, 2026
- Advisory employees · 2 to 3May 4, 2026 to Sep 17, 2026
- Corporate clients · 2 to 3May 4, 2026 to Sep 17, 2026
- HNW clients · 35 to 48May 4, 2026 to Sep 17, 2026
- Individual clients · 38 to 36May 4, 2026 to Sep 17, 2026
- Employees · 2 to 5May 4, 2026 to Sep 17, 2026
- Financial planning clients · to unsetMay 4, 2026 to Sep 17, 2026
- HQ city · TOMBALL to THE WOODLANDSMay 4, 2026 to Sep 17, 2026
- Discretionary RAUM · $398M to $1.4BMay 4, 2026 to Sep 17, 2026
- HNW RAUM · $403M to $1.4BMay 4, 2026 to Sep 17, 2026
- Individual RAUM · $36.5M to $33.7MMay 4, 2026 to Sep 17, 2026
- Non-discretionary RAUM · $190M to $184MMay 4, 2026 to Sep 17, 2026
- RAUM · $587M to $1.6BMay 4, 2026 to Sep 17, 2026
- Related adviser · false to unsetMay 4, 2026 to Sep 17, 2026
- Related bank · false to unsetMay 4, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMay 4, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMay 4, 2026 to Sep 17, 2026
- Succession · false to unsetMay 4, 2026 to Sep 17, 2026
- Accounts · 66 to 77Nov 11, 2025 to Mar 30, 2026
- HNW clients · 30 to 35Nov 11, 2025 to Mar 30, 2026
- Individual clients · 33 to 38Nov 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $348M to $398MNov 11, 2025 to Mar 30, 2026
- HNW RAUM · $362M to $403MNov 11, 2025 to Mar 30, 2026
- Individual RAUM · $29.9M to $36.5MNov 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $111M to $190MNov 11, 2025 to Mar 30, 2026
- RAUM · $459M to $587MNov 11, 2025 to Mar 30, 2026
- Accounts · 56 to 66Mar 18, 2024 to Feb 12, 2025
- Corporate clients · 1 to 2Mar 18, 2024 to Feb 12, 2025
- Individual clients · 24 to 33Mar 18, 2024 to Feb 12, 2025
- Financial planning clients · unset to Mar 18, 2024 to Feb 12, 2025
- Discretionary RAUM · $266M to $348MMar 18, 2024 to Feb 12, 2025
- HNW RAUM · $266M to $362MMar 18, 2024 to Feb 12, 2025
- Individual RAUM · $14.6M to $29.9MMar 18, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $95.5M to $111MMar 18, 2024 to Feb 12, 2025
- RAUM · $362M to $459MMar 18, 2024 to Feb 12, 2025
- Accounts · 53 to 56Mar 1, 2023 to Mar 18, 2024
- HNW clients · 27 to 30Mar 1, 2023 to Mar 18, 2024
- Discretionary RAUM · $190M to $266MMar 1, 2023 to Mar 18, 2024
- HNW RAUM · $173M to $266MMar 1, 2023 to Mar 18, 2024
- Individual RAUM · $12.7M to $14.6MMar 1, 2023 to Mar 18, 2024
Signals
3 dated events
- S•••• C•••• reported RAUM $587.2M, up 28% from $458.9M (2025-11-11 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••• C•••• reported RAUM $361.6M, up 56% from $232.4M (2023-03-01 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- S•••• C•••• filed its initial SEC registration (Form ADV)May 31, 2016 · 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
- Website
- summa-wealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281-362-9977reportedpublic record, Form ADV, Sep 17, 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
- $529Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026