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•••••• S•••••••• W•••••• I•••
Latest filing Jul 23, 2026
First filing on the tape Feb 22, 2012 · 36 filings
SEC status approved since Jul 15, 2015
RAUM
$483M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$477M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$68.9M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$483M as of Jul 23, 2026
Mar 30, 2012$60.1M then
HNW client RAUM$452M as of Jul 23, 2026
Mar 4, 2018$77.2M then
State-registered IARs (5.B.3)7 as of Jul 23, 2026
Mar 30, 20120 then
Employees (5.A)7 as of Jul 23, 2026
Mar 30, 20165 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 8 to 7offices 7 to 6
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
- RAUM per advisor
- $68.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $472,586derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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$452M94%
- Individuals$25.1M5.2%
- Pension and profit-sharing plans$5.8M1.2%
- Individual clients
- 53reported
- HNW clients
- 122reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 1,021reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A••••• C••Certified Financial Planner | New Braunfels, Tx | Feb 22, 2012 | 22 y | 0 |
| K•••• D•• J•••••••Certified Financial Planner, Chartered Financial Analyst | New Braunfels, Tx | Mar 12, 2021 | 17 y | 2 |
| A•••• M•• P•••••Certified Financial Planner | West Columbia, Tx | Jan 7, 2022 | 10 y | 1 |
| R•••••• E••••• J•••••••Certified Financial Planner | New Braunfels, Tx | Oct 7, 2022 | 13 y | 2 |
| T••••• N••••• W••••• | New Braunfels, Tx | Oct 3, 2023 | 13 y | 0 |
| S•••• E•••• S•••••• | Providence, Ri | Feb 12, 2025 | 11 y | 0 |
| M•••• J• M•••••••Certified Financial Planner | Austin, Tx | Oct 20, 2025 | 16 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
- J•••• S••••• R••••• to C••••• F•••••••• L••Sep 30, 2025 · Other
- M•••••• R•••••• F•••• to Q••••••• W••••• P•••••••• L••May 10, 2024 · RIA to RIA
- M••• W• H••••• to M•••••• W••••• M••••••••• L•Sep 10, 2021 · RIA to RIA
- R••• D•••••• P••••• to C•••••• A••••••••• L••Apr 11, 2018 · RIA to RIA
Joined, latest
- R•••••• E••••• J••••••• from C•••••• S••••• • C••• I•••Oct 7, 2022 · Affiliated broker-dealer or bank to independent RIA
- A•••• M•• P••••• from F•••••••• S••••••••Jan 7, 2022 · RIA to RIA
- K•••• D•• J••••••• from J••••••• W••••• M••••••••• L••Mar 12, 2021 · Other
- M••• W• H••••• from B••• W••••• M••••••••• I•••Apr 17, 2018 · RIA to RIA
- M•••• J• M••••••• from A••••••••• F•••••••• S•••••••• L••Jul 14, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• B••••• A••••• · Principal/ Chief Compliance Officercontrolsince 12/2013 · owns 25% to 50%
- J•••••••• K••••• D•• · Principal And Chief Investment Officercontrolsince 01/2022 · owns 5% to 10%
- V•••••••• K•••••••• N•• · Managing Principal And Chief Operating Officercontrolsince 05/2010 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| New Braunfels, Tx | 7 | 1 | 0 | ||
| Round Rock, Tx | 0 | 0 | 1 | ||
| San Antonio, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,227 to 1,021Oct 20, 2025 to Feb 24, 2026
- Advisory employees · 8 to 7Oct 20, 2025 to Feb 24, 2026
- HNW clients · 124 to 122Oct 20, 2025 to Feb 24, 2026
- Individual clients · 63 to 53Oct 20, 2025 to Feb 24, 2026
- Pension plan clients · unset to 2.0Oct 20, 2025 to Feb 24, 2026
- Employees · 8 to 7Oct 20, 2025 to Feb 24, 2026
- State-registered IARs · 8 to 7Oct 20, 2025 to Feb 24, 2026
- Other offices · 7 to 6Oct 20, 2025 to Feb 24, 2026
- Discretionary RAUM · $408M to $424MOct 20, 2025 to Feb 24, 2026
- HNW RAUM · $434M to $452MOct 20, 2025 to Feb 24, 2026
- Individual RAUM · $30.8M to $25.1MOct 20, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $56.8M to $58.5MOct 20, 2025 to Feb 24, 2026
- Pension RAUM · unset to 5795889.0Oct 20, 2025 to Feb 24, 2026
- RAUM · $465M to $483MOct 20, 2025 to Feb 24, 2026
- Accounts · 1,019 to 1,227Feb 12, 2025 to Oct 20, 2025
- HNW clients · 84 to 124Feb 12, 2025 to Oct 20, 2025
- Individual clients · 110 to 63Feb 12, 2025 to Oct 20, 2025
- Discretionary RAUM · $371M to $408MFeb 12, 2025 to Oct 20, 2025
- HNW RAUM · $384M to $434MFeb 12, 2025 to Oct 20, 2025
- Individual RAUM · $36.6M to $30.8MFeb 12, 2025 to Oct 20, 2025
- Non-discretionary RAUM · $49.1M to $56.8MFeb 12, 2025 to Oct 20, 2025
- RAUM · $420M to $465MFeb 12, 2025 to Oct 20, 2025
- Accounts · 792 to 1,019May 9, 2024 to Feb 12, 2025
- Advisory employees · 7 to 8May 9, 2024 to Feb 12, 2025
- HNW clients · 94 to 84May 9, 2024 to Feb 12, 2025
- Individual clients · 74 to 110May 9, 2024 to Feb 12, 2025
- Employees · 7 to 8May 9, 2024 to Feb 12, 2025
- Insurance-licensed employees · 1 to 0May 9, 2024 to Feb 12, 2025
- Financial planning clients · 101-250 to 101-250May 9, 2024 to Feb 12, 2025
- HQ city · unset to May 9, 2024 to Feb 12, 2025
- HQ state · unset to May 9, 2024 to Feb 12, 2025
- State-registered IARs · 7 to 8May 9, 2024 to Feb 12, 2025
- Other offices · 6 to 7May 9, 2024 to Feb 12, 2025
- Discretionary RAUM · $335M to $371MMay 9, 2024 to Feb 12, 2025
- HNW RAUM · $332M to $384MMay 9, 2024 to Feb 12, 2025
- Individual RAUM · $42.7M to $36.6MMay 9, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $39.6M to $49.1MMay 9, 2024 to Feb 12, 2025
- RAUM · $374M to $420MMay 9, 2024 to Feb 12, 2025
- Advisory employees · 8 to 7Mar 6, 2024 to May 9, 2024
- HNW clients · 91 to 94Mar 6, 2024 to May 9, 2024
Signals
6 dated events
- J•••• S••••• R••••• left A•••••• S•••••••• W•••••• I••• for C••••• F•••••••• L•• (registered 2022-01-04)Sep 30, 2025 · Advisor changed firm · fact
- M•••••• R•••••• F•••• left A•••••• S•••••••• W•••••• I••• for Q••••••• W••••• P•••••••• L•• (registered 2024-08-20)May 10, 2024 · Advisor changed firm · fact
- R•••••• M•••••• F•••• (Chief Compliance Officer) no longer on Schedule A of A•••••• S•••••••• W•••••• I••• (listed 2024-03-06, absent 2024-05-09)May 9, 2024 · Control person left · inference
- R•••••• M•••••• F•••• (Chief Compliance Officer) appeared on Schedule A of A•••••• S•••••••• W•••••• I•••Mar 2, 2023 · Control person joined · fact
- Don Kirby Jacobson (Principal And Chief Investment Officer) appeared on Schedule A of A•••••• S•••••••• W•••••• I•••Mar 25, 2022 · Control person joined · fact
- P••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jul 1, 2015 · 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
- 888-321-7374reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/astoriastrategicwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888.321.7374reportedpublic record, Form ADV, Jul 23, 2026
- Contact form
- astoriastrategicwealth.com/contactreportedpublished by the firm, firm site, 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
- $68.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026