DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••• W••••• M•••••••••
Legal name V••••• R••••••••• I•••
Latest filing Apr 14, 2026
First filing on the tape Dec 12, 2011 · 12 filings
SEC status approved since Apr 20, 2023
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$63.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$190M as of Apr 14, 2026
Mar 5, 2024$151M then
HNW client RAUM$176M as of Apr 14, 2026
Mar 5, 2024$133M then
State-registered IARs (5.B.3)3 as of Apr 14, 2026
Mar 5, 20243 then
Employees (5.A)4 as of Apr 14, 2026
Mar 5, 20244 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Apr 14, 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
- $63.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $615,265derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, 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)
- 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$176M92%
- Individuals$13.8M7.2%
- Charitable organizations$722,4010.4%
- Corporations and businesses$61,9150.0%
- Individual clients
- 40reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 309reported
- Financial planning clients
- 51-100reported
- 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 |
|---|---|---|---|---|
| S•••• A••• M••••• | Houston, Tx | Oct 1, 2014 | 16 y | 0 |
| C••• A••• M••••• | Houston, Tx | Aug 30, 2016 | 12 y | 0 |
| J••••••• W••••• M•••••Certified Financial Planner | Albuquerque, Nm | Oct 4, 2022 | 21 y | 2 |
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
- J••••••• W••••• M••••• from F••••••••• F•••••••• P••••••• L••Oct 4, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C•••• A••• · President, Cco, And Directorcontrolsince 09/2021 · owns 75% or more
- M•••••• S••••• A••• · Vice President, Chairwoman Of The Board, Secretary, And Treasurercontrolsince 09/2021 · owns 75% or more
- M•••••• M••••••• S• · Partner, Legal Counselsince 03/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Albuquerque, NM1 employees
What changed
consecutive filings, newest first
- Accounts · 293 to 309Jul 28, 2025 to Mar 13, 2026
- Advisory employees · 4 to 3Jul 28, 2025 to Mar 13, 2026
- BD registered reps · 1 to 0Jul 28, 2025 to Mar 13, 2026
- Charity clients · 2 to 1Jul 28, 2025 to Mar 13, 2026
- HNW clients · 45 to 49Jul 28, 2025 to Mar 13, 2026
- Individual clients · 38 to 40Jul 28, 2025 to Mar 13, 2026
- Employees · 6 to 4Jul 28, 2025 to Mar 13, 2026
- Insurance-licensed employees · 1 to 0Jul 28, 2025 to Mar 13, 2026
- State-registered IARs · 4 to 3Jul 28, 2025 to Mar 13, 2026
- Discretionary RAUM · $167M to $190MJul 28, 2025 to Mar 13, 2026
- HNW RAUM · $154M to $176MJul 28, 2025 to Mar 13, 2026
- Individual RAUM · $11.9M to $13.8MJul 28, 2025 to Mar 13, 2026
- RAUM · $167M to $190MJul 28, 2025 to Mar 13, 2026
- Employees · 7 to 6Apr 29, 2025 to Jul 28, 2025
- Financial planning clients · 51-100 to 51-100Apr 29, 2025 to Jul 28, 2025
- Accounts · 284 to 293Feb 11, 2025 to Apr 29, 2025
- Advisory employees · 3 to 4Feb 11, 2025 to Apr 29, 2025
- Advisory activities · 5 to 4Feb 11, 2025 to Apr 29, 2025
- BD registered reps · 0 to 1Feb 11, 2025 to Apr 29, 2025
- Charity clients · unset to 2.0Feb 11, 2025 to Apr 29, 2025
- Corporate clients · unset to 1.0Feb 11, 2025 to Apr 29, 2025
- HNW clients · 32 to 45Feb 11, 2025 to Apr 29, 2025
- Individual clients · 48 to 38Feb 11, 2025 to Apr 29, 2025
- Employees · 4 to 7Feb 11, 2025 to Apr 29, 2025
- Insurance-licensed employees · 2 to 1Feb 11, 2025 to Apr 29, 2025
- Financial planning clients · 26-50 to 51-100Feb 11, 2025 to Apr 29, 2025
- State-registered IARs · 3 to 4Feb 11, 2025 to Apr 29, 2025
- Discretionary RAUM · $151M to $167MFeb 11, 2025 to Apr 29, 2025
- HNW RAUM · $133M to $154MFeb 11, 2025 to Apr 29, 2025
- Individual RAUM · $17.3M to $11.9MFeb 11, 2025 to Apr 29, 2025
- RAUM · $151M to $167MFeb 11, 2025 to Apr 29, 2025
- Accounts · 260 to 284Sep 27, 2023 to Mar 5, 2024
- HNW clients · 34 to 32Sep 27, 2023 to Mar 5, 2024
- Individual clients · 41 to 48Sep 27, 2023 to Mar 5, 2024
- Employees · 3 to 4Sep 27, 2023 to Mar 5, 2024
- Financial planning clients · 51-100 to 26-50Sep 27, 2023 to Mar 5, 2024
- Discretionary RAUM · $118M to $151MSep 27, 2023 to Mar 5, 2024
- HNW RAUM · $102M to $133MSep 27, 2023 to Mar 5, 2024
- Individual RAUM · $16.0M to $17.3MSep 27, 2023 to Mar 5, 2024
- RAUM · $118M to $151MSep 27, 2023 to Mar 5, 2024
Signals
4 dated events
- Anne Sarah Mizell (Vice President, Chairwoman Of The Board, Secretary, And Treasurer) appeared on Schedule A of C••• W••••• M•••••••••Mar 21, 2023 · Control person joined · fact
- Alan Cory Mizell (President, Cco, And Director) appeared on Schedule A of C••• W••••• M•••••••••Mar 21, 2023 · Control person joined · fact
- Marsh Alfred Sanders (President & Chief Compliance Officer) no longer on Schedule A of C••• W••••• M••••••••• (listed 2012-02-06, absent 2023-03-21)Mar 21, 2023 · Control person left · inference
- C••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 21, 2023 · 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 email
- t•••@c•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 505-460-0006reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-821-3243reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713-821-3243reportedpublic record, Form ADV, Apr 14, 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
- $63.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026