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
W• I••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Apr 2, 2012 · 22 filings
SEC status approved since Feb 28, 2003
RAUM
$634M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$527M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$90.5M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$634M as of Mar 20, 2026
Apr 2, 2012$144M then
HNW client RAUM$492M as of Mar 20, 2026
Feb 25, 2018$243M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Apr 2, 20120 then
Employees (5.A)10 as of Mar 20, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 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
- $90.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $765,097derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$492M78%
- Corporations and businesses$60.5M9.6%
- Pension and profit-sharing plans$41.5M6.6%
- Individuals$34.5M5.4%
- Charitable organizations$5.0M0.8%
- Individual clients
- 61reported
- HNW clients
- 172reported
- Pension plan clients
- 3reported
- Charitable clients
- 10reported
- Accounts
- 828reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| W•••••• O•••• J••••••Certified Financial Planner | Sugar Land, Tx | Nov 18, 1997 | 31 y | 0 |
| J•••• W•••••• J••••••Certified Financial Planner | Sugar Land, Tx | Oct 4, 2001 | 28 y | 0 |
| B•••••• R••••• A•••Certified Financial Planner | Sugar Land, Tx | Mar 24, 2014 | 12 y | 0 |
| J••••••• C••••••Certified Financial Planner | Sugar Land, Tx | Jan 3, 2017 | 14 y | 0 |
| M•••• A•••••• S•••••••Certified Financial Planner | Sugar Land, Tx | Jan 9, 2023 | 13 y | 0 |
| N••••••• O••• M••••••Certified Financial Planner | Sugar Land, Tx | Apr 30, 2025 | 11 y | 1 |
| A••••• C••••• J•••• | Sugar Land, Tx | Jun 1, 2026 | 10 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
- J••••• S•••• N••••••••• to M•• C•••••• M••••••••• L••Feb 12, 2021 · RIA to RIA
- J•••••••• D•••• F••••• to M••••• G••••• A••••••• I•••Mar 28, 2016 · Other
Joined, latest
- N••••••• O••• M•••••• from C•••••• S••••• • C••• I•••Apr 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••• S•••• N••••••••• from H•• W••••• M••••••••• L••Jul 7, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• J••••• W•••••• · Chief Compliance Officer, Ceocontrolsince 01/2001 · owns 50% to 75%
- J••••••• W••••••• O•••• · Chairmancontrolsince 11/1997 · owns 25% to 50%
- C••••••• J••••••• · Senior Wealth Advisorsince 01/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Sugar Land, Tx · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 819 to 828Mar 24, 2025 to Mar 20, 2026
- Charity clients · 7 to 10Mar 24, 2025 to Mar 20, 2026
- HNW clients · 187 to 172Mar 24, 2025 to Mar 20, 2026
- Individual clients · 63 to 61Mar 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $553M to $634MMar 24, 2025 to Mar 20, 2026
- HNW RAUM · $408M to $492MMar 24, 2025 to Mar 20, 2026
- Individual RAUM · $38.0M to $34.5MMar 24, 2025 to Mar 20, 2026
- Pension RAUM · $32.0M to $41.5MMar 24, 2025 to Mar 20, 2026
- RAUM · $553M to $634MMar 24, 2025 to Mar 20, 2026
- Accounts · 810 to 819Mar 21, 2024 to Mar 24, 2025
- Corporate clients · 9 to 8Mar 21, 2024 to Mar 24, 2025
- HNW clients · 171 to 187Mar 21, 2024 to Mar 24, 2025
- Individual clients · 64 to 63Mar 21, 2024 to Mar 24, 2025
- Pension plan clients · unset to 3.0Mar 21, 2024 to Mar 24, 2025
- Employees · 9 to 10Mar 21, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Mar 21, 2024 to Mar 24, 2025
- Discretionary RAUM · $484M to $553MMar 21, 2024 to Mar 24, 2025
- HNW RAUM · $349M to $408MMar 21, 2024 to Mar 24, 2025
- Individual RAUM · $33.2M to $38.0MMar 21, 2024 to Mar 24, 2025
- Pension RAUM · $18.5M to $32.0MMar 21, 2024 to Mar 24, 2025
- RAUM · $484M to $553MMar 21, 2024 to Mar 24, 2025
- Accounts · 788 to 810Mar 27, 2023 to Mar 21, 2024
- Charity clients · 5 to 7Mar 27, 2023 to Mar 21, 2024
- HNW clients · 167 to 171Mar 27, 2023 to Mar 21, 2024
- Individual clients · 62 to 64Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $427M to $484MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $305M to $349MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $27.8M to $33.2MMar 27, 2023 to Mar 21, 2024
- Pension RAUM · $17.9M to $18.5MMar 27, 2023 to Mar 21, 2024
- RAUM · $427M to $484MMar 27, 2023 to Mar 21, 2024
- Accounts · 768 to 788Mar 29, 2022 to Mar 27, 2023
- Advisory employees · 4 to 5Mar 29, 2022 to Mar 27, 2023
- Corporate clients · 5 to 9Mar 29, 2022 to Mar 27, 2023
- HNW clients · 153 to 167Mar 29, 2022 to Mar 27, 2023
- Individual clients · 68 to 62Mar 29, 2022 to Mar 27, 2023
- Employees · 8 to 9Mar 29, 2022 to Mar 27, 2023
- State-registered IARs · 4 to 5Mar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $455M to $427MMar 29, 2022 to Mar 27, 2023
- HNW RAUM · $331M to $305MMar 29, 2022 to Mar 27, 2023
- Individual RAUM · $36.6M to $27.8MMar 29, 2022 to Mar 27, 2023
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 email
- ashley@w•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wj@w•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 281-634-9400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-634-9400reportedpublic record, Form ADV, Mar 20, 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
- $90.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026