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RIA Intelligence

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SEC-registered adviser

C•••••••• F•••••••• S••••••••• C•••••••••

Independent wealth managerDallas, TexasCRD 114361SEC 801-132742website IAPD

Latest filing Sep 15, 2026

First filing on the tape Dec 2, 2011 · 10 filings

SEC status approved since May 8, 2025

RAUM

$144M

reported, Item 5.F

Discretionary

79%

of RAUM

Private clients

95%

$137M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$144M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$133M as of Mar 6, 2026

Apr 9, 2012$40.0M then

HNW client RAUM$92.8M as of Mar 6, 2026

Apr 29, 2025$90.1M then

State-registered IARs (5.B.3)2 as of Mar 6, 2026

Apr 9, 20120 then

Employees (5.A)2 as of Mar 6, 2026

Apr 29, 20252 then

Private funds: no history

RAUM +22% over the last fiscal yearIARs 2 to 1

Practice profile

derived from the filing of Sep 15, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $144MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 147derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $471,852derivedRAUM over accounts (5.F.2.f)
Discretionary: 79%derivedof RAUM
Institutional: 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -2.7%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $48.1M, 83 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$97.6M69%
Individuals$39.8M28%
Pension and profit-sharing plans$1.4M1.0%
Charitable organizations$1.2M0.8%
Corporations and businesses$860,0730.6%

Individual clients: 94reported
HNW clients: 53reported
Pension plan clients: 1reported
Charitable clients: 1reported
Accounts: 306reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $48.1M for 83 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• A••• E•••••••Certified Financial Planner	Dallas, Tx	Mar 8, 2016	24 y	3

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•••• A••• E••••••• from C•••••••• G••••• M•••••• I•••
Mar 8, 2016 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••• R••••• S••••• · President/Chief Compliance Officercontrol
since 06/1976 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

ADV anomalies

1 against comparable advisers; where to look, not conclusions

discretionary share shiftChange between filings · filing Mar 6, 2026
discretionary share of RAUM moved from 0.0% to 65.0% between the annual amendments of 2025-04-29 and 2026-03-06
peers: independent wealth managers, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 300 to 306
Mar 6, 2026 to Sep 15, 2026
Advisory employees · 2 to 1
Mar 6, 2026 to Sep 15, 2026
HNW clients · 64 to 53
Mar 6, 2026 to Sep 15, 2026
Individual clients · 80 to 94
Mar 6, 2026 to Sep 15, 2026
Assets in custody · $56.2M to $48.1M
Mar 6, 2026 to Sep 15, 2026
Employees · 2 to 1
Mar 6, 2026 to Sep 15, 2026
Financial planning clients · 1-10 to 1-10
Mar 6, 2026 to Sep 15, 2026
State-registered IARs · 2 to 1
Mar 6, 2026 to Sep 15, 2026
Discretionary RAUM · $86.4M to $115M
Mar 6, 2026 to Sep 15, 2026
HNW RAUM · $92.8M to $97.6M
Mar 6, 2026 to Sep 15, 2026
Individual RAUM · $26.8M to $39.8M
Mar 6, 2026 to Sep 15, 2026
Non-discretionary RAUM · $46.9M to $29.8M
Mar 6, 2026 to Sep 15, 2026
Pension RAUM · $1.3M to $1.4M
Mar 6, 2026 to Sep 15, 2026
RAUM · $133M to $144M
Mar 6, 2026 to Sep 15, 2026
Related adviser · false to unset
Mar 6, 2026 to Sep 15, 2026
Related bank · false to unset
Mar 6, 2026 to Sep 15, 2026
Related broker-dealer · false to unset
Mar 6, 2026 to Sep 15, 2026
Related insurance company · false to unset
Mar 6, 2026 to Sep 15, 2026
Succession · false to unset
Mar 6, 2026 to Sep 15, 2026
Accounts · 153 to 300
Apr 29, 2025 to Mar 6, 2026
HNW clients · 67 to 64
Apr 29, 2025 to Mar 6, 2026
Individual clients · 81 to 80
Apr 29, 2025 to Mar 6, 2026
Assets in custody · $16.6M to $56.2M
Apr 29, 2025 to Mar 6, 2026
Discretionary RAUM · $0 to $86.4M
Apr 29, 2025 to Mar 6, 2026
HNW RAUM · $90.1M to $92.8M
Apr 29, 2025 to Mar 6, 2026
Individual RAUM · $25.1M to $26.8M
Apr 29, 2025 to Mar 6, 2026
Non-discretionary RAUM · $118M to $46.9M
Apr 29, 2025 to Mar 6, 2026
Pension RAUM · $1.3M to $1.3M
Apr 29, 2025 to Mar 6, 2026
RAUM · $118M to $133M
Apr 29, 2025 to Mar 6, 2026
Accounts · 65 to 153
Sep 6, 2012 to Apr 29, 2025
Advisory employees · unset to 2.0
Sep 6, 2012 to Apr 29, 2025
Charity clients · unset to 1.0
Sep 6, 2012 to Apr 29, 2025
Corporate clients · unset to 2.0
Sep 6, 2012 to Apr 29, 2025
HNW clients · unset to 67.0
Sep 6, 2012 to Apr 29, 2025
Individual clients · unset to 81.0
Sep 6, 2012 to Apr 29, 2025
Pension plan clients · unset to 1.0
Sep 6, 2012 to Apr 29, 2025
Assets in custody · unset to 16648613.0
Sep 6, 2012 to Apr 29, 2025
Custody of client assets · false to true
Sep 6, 2012 to Apr 29, 2025
Employees · unset to 2.0
Sep 6, 2012 to Apr 29, 2025
Financial planning clients · 51-100 to 1-10
Sep 6, 2012 to Apr 29, 2025

Signals

No event on the tape.

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: 505-988-1665reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 972-702-8121reportedpublished by the firm, firm site, Sep 16, 2026
Website: w••.c••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 972-702-8121reportedpublic record, Form ADV, Sep 15, 2026
Contact form: c••••••.comreportedpublished 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: $144Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026