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B••••• • S••••• L••

Independent wealth managerSEC-registered· Lubbock, Texaswebsite

Independent wealth manager, based in Lubbock, Texas, reporting $315M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $315M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +20%
Private clients: 100% of RAUM, $315M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-03-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +20% over the last fiscal year, to $315M.
2026-03-05
RAUM a year earlier $262MRAUM now $315M
hourly charges (Item 5.E.2): yes on the filing of 2025-02-18, no on the filing of 2026-03-05
2026-03-05
hourly charges (Item 5.E.2) 0
6 published business contact points are on record, each with its source.
Contact points 6

Every filed figure, and the identifiersCRD 114287 · SEC 801-81163 · 19 filingsShow

CRD 114287SEC 801-81163First filing on the tape Feb 9, 2012, latest Mar 5, 2026SEC status approved since Mar 18, 2015IAPD

RAUM

$315M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$315M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$105M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$315M as of Mar 5, 2026

Feb 9, 2012$67.2M then

HNW client RAUM$257M as of Mar 5, 2026

Feb 28, 2018$103M then

State-registered IARs (5.B.3)3 as of Mar 5, 2026

Feb 9, 20120 then

Employees (5.A)3 as of Mar 5, 2026

Mar 22, 20162 then

Private funds: no history

RAUM +20% over the last fiscal year+15% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 5, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 100derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $301,500derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.1%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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$257M82%
Individuals$58.0M18%

Individual clients: 189reported
HNW clients: 111reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1,044reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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
S•••• D••••• S••••Certified Financial Planner	Lubbock, Tx	Jul 13, 2002	28 y
R•••••• K•••• B•••••Certified Financial Planner	Lubbock, Tx	Jan 16, 2007	19 y
R•••• D••• P••••	Lubbock, Tx	Feb 14, 2023	18 y

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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• R••••••• K•••• · Managing Membercontrol
since 01/2007 · owns 50% to 75%
S••••• S••••• D••••• · Managing Member And Chief Compliance Officercontrol
since 01/2007 · 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
Lubbock, Tx · principal	3	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

compensation changedChange between filings · filing Mar 5, 2026
hourly charges (Item 5.E.2): yes on the filing of 2025-02-18, no on the filing of 2026-03-05
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,053 to 1,044
Feb 18, 2025 to Mar 5, 2026
HNW clients · 92 to 111
Feb 18, 2025 to Mar 5, 2026
Individual clients · 188 to 189
Feb 18, 2025 to Mar 5, 2026
Discretionary RAUM · $262M to $315M
Feb 18, 2025 to Mar 5, 2026
HNW RAUM · $199M to $257M
Feb 18, 2025 to Mar 5, 2026
Individual RAUM · $63.2M to $58.0M
Feb 18, 2025 to Mar 5, 2026
RAUM · $262M to $315M
Feb 18, 2025 to Mar 5, 2026
Accounts · 931 to 1,053
Jan 26, 2024 to Feb 18, 2025
HNW clients · 81 to 92
Jan 26, 2024 to Feb 18, 2025
Individual clients · 187 to 188
Jan 26, 2024 to Feb 18, 2025
Financial planning clients · 251-500 to 251-500
Jan 26, 2024 to Feb 18, 2025
Discretionary RAUM · $230M to $262M
Jan 26, 2024 to Feb 18, 2025
HNW RAUM · $170M to $199M
Jan 26, 2024 to Feb 18, 2025
Individual RAUM · $60.6M to $63.2M
Jan 26, 2024 to Feb 18, 2025
RAUM · $230M to $262M
Jan 26, 2024 to Feb 18, 2025
Accounts · 949 to 931
Mar 15, 2023 to Jan 26, 2024
Individual clients · 175 to 187
Mar 15, 2023 to Jan 26, 2024
Financial planning clients · 101-250 to 251-500
Mar 15, 2023 to Jan 26, 2024
Discretionary RAUM · $208M to $230M
Mar 15, 2023 to Jan 26, 2024
HNW RAUM · $150M to $170M
Mar 15, 2023 to Jan 26, 2024
Individual RAUM · $57.9M to $60.6M
Mar 15, 2023 to Jan 26, 2024
RAUM · $208M to $230M
Mar 15, 2023 to Jan 26, 2024
Accounts · 928 to 949
Mar 15, 2022 to Mar 15, 2023
Advisory employees · 2 to 3
Mar 15, 2022 to Mar 15, 2023
HNW clients · 83 to 81
Mar 15, 2022 to Mar 15, 2023
Individual clients · 168 to 175
Mar 15, 2022 to Mar 15, 2023
Employees · 2 to 3
Mar 15, 2022 to Mar 15, 2023
State-registered IARs · 2 to 3
Mar 15, 2022 to Mar 15, 2023
Discretionary RAUM · $229M to $208M
Mar 15, 2022 to Mar 15, 2023
HNW RAUM · $172M to $150M
Mar 15, 2022 to Mar 15, 2023
Individual RAUM · $57.4M to $57.9M
Mar 15, 2022 to Mar 15, 2023
RAUM · $229M to $208M
Mar 15, 2022 to Mar 15, 2023
Accounts · 238 to 928
Mar 18, 2021 to Mar 15, 2022
HNW clients · 78 to 83
Mar 18, 2021 to Mar 15, 2022
Individual clients · 160 to 168
Mar 18, 2021 to Mar 15, 2022
Discretionary RAUM · $203M to $229M
Mar 18, 2021 to Mar 15, 2022
HNW RAUM · $152M to $172M
Mar 18, 2021 to Mar 15, 2022
Individual RAUM · $51.1M to $57.4M
Mar 18, 2021 to Mar 15, 2022
RAUM · $203M to $229M
Mar 18, 2021 to Mar 15, 2022
Accounts · 232 to 238
Jul 23, 2020 to Mar 18, 2021

Signals

1 dated events

••• Locked
Mar 13, 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 5, 2026
Contact form: ••• Lockedreportedpublished 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: $105Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026