DFX Intelligence
RIA Intelligence
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SEC-registered adviser
H••• P••••• I••••••••• A•••••••• I•••
Latest filing Feb 9, 2026
First filing on the tape Jun 28, 2022 · 9 filings
SEC status approved since Sep 22, 2022
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$104M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$95.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$191M as of Feb 9, 2026
Feb 24, 2023$125M then
HNW client RAUM$75.5M as of Feb 9, 2026
Feb 24, 2023$53.9M then
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Feb 24, 20233 then
Employees (5.A)2 as of Feb 9, 2026
Feb 24, 20233 then
Private funds: no history
RAUM +20% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $95.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $460,643derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 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
- Charitable organizations$86.8M45%
- High-net-worth individuals$75.5M39%
- Individuals$28.9M15%
- Individual clients
- 103reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 415reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.55 fund_share=0.0 institutional_share=0.45 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• D••• M••• | L••••••, Tx | Apr 30, 2003 | 28 y | 0 |
| B••• A•••••••• P••••• | L••••••, Tx | Feb 10, 2010 | 18 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• T••••••• D••• · President And Chief Compliance Officercontrolsince 05/1998 · owns 75% or more
- P•••••• B•••• A•••••••• · Vice Presidentcontrolsince 01/2013 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•••••• D• M•••• C••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| L••••••, Tx · principal | 2 | 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
- h••• institutional concentrationStatic outlier · filing Feb 9, 2026institutional share of RAUM of 45% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 15.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Advisory activities · 6 to 5Feb 3, 2025 to Feb 9, 2026
- Charity clients · 11 to 9Feb 3, 2025 to Feb 9, 2026
- HNW clients · 23 to 25Feb 3, 2025 to Feb 9, 2026
- Individual clients · 108 to 103Feb 3, 2025 to Feb 9, 2026
- Discretionary RAUM · $159M to $191MFeb 3, 2025 to Feb 9, 2026
- HNW RAUM · $60.9M to $75.5MFeb 3, 2025 to Feb 9, 2026
- Individual RAUM · $28.3M to $28.9MFeb 3, 2025 to Feb 9, 2026
- RAUM · $159M to $191MFeb 3, 2025 to Feb 9, 2026
- Accounts · 417 to 415Feb 19, 2024 to Feb 3, 2025
- Charity clients · 10 to 11Feb 19, 2024 to Feb 3, 2025
- Individual clients · 101 to 108Feb 19, 2024 to Feb 3, 2025
- Financial planning clients · 26-50 to 26-50Feb 19, 2024 to Feb 3, 2025
- Discretionary RAUM · $147M to $159MFeb 19, 2024 to Feb 3, 2025
- HNW RAUM · $57.0M to $60.9MFeb 19, 2024 to Feb 3, 2025
- Individual RAUM · $26.5M to $28.3MFeb 19, 2024 to Feb 3, 2025
- RAUM · $147M to $159MFeb 19, 2024 to Feb 3, 2025
- Accounts · 388 to 417Jul 17, 2023 to Feb 7, 2024
- Advisory employees · 3 to 2Jul 17, 2023 to Feb 7, 2024
- Business name · L•••••• F•••••••• S•••••••• I••• to H••• P••••• I••••••••• A•••••••• I•••Jul 17, 2023 to Feb 7, 2024
- Charity clients · 9 to 10Jul 17, 2023 to Feb 7, 2024
- Individual clients · 98 to 101Jul 17, 2023 to Feb 7, 2024
- Employees · 3 to 2Jul 17, 2023 to Feb 7, 2024
- State-registered IARs · 3 to 2Jul 17, 2023 to Feb 7, 2024
- Legal name · L•••••• F•••••••• S•••••••• I••• to H••• P••••• I••••••••• A•••••••• I•••Jul 17, 2023 to Feb 7, 2024
- Discretionary RAUM · $120M to $147MJul 17, 2023 to Feb 7, 2024
- HNW RAUM · $53.9M to $57.0MJul 17, 2023 to Feb 7, 2024
- Individual RAUM · $22.3M to $26.5MJul 17, 2023 to Feb 7, 2024
- Non-discretionary RAUM · $5.0M to $0Jul 17, 2023 to Feb 7, 2024
- RAUM · $125M to $147MJul 17, 2023 to Feb 7, 2024
- Accounts · 372 to 388Sep 20, 2022 to Feb 24, 2023
- Advisory employees · 2 to 3Sep 20, 2022 to Feb 24, 2023
- Charity clients · unset to 9.0Sep 20, 2022 to Feb 24, 2023
- HNW clients · 37 to 23Sep 20, 2022 to Feb 24, 2023
- Individual clients · 84 to 98Sep 20, 2022 to Feb 24, 2023
- Employees · 2 to 3Sep 20, 2022 to Feb 24, 2023
- State-registered IARs · 2 to 3Sep 20, 2022 to Feb 24, 2023
- Discretionary RAUM · $112M to $120MSep 20, 2022 to Feb 24, 2023
- HNW RAUM · $47.0M to $53.9MSep 20, 2022 to Feb 24, 2023
- Individual RAUM · $23.5M to $22.3MSep 20, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $4.5M to $5.0MSep 20, 2022 to Feb 24, 2023
Signals
1 dated events
- L•••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jun 28, 2022 · 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••@h•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 806-793-7934reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 806-793-7934reportedpublic record, Form ADV, Feb 9, 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
- $95.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026