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
L••••••••• F•••••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 14, 2012 · 29 filings
SEC status approved since Jun 6, 2005
RAUM
$700M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$543M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$700M as of Mar 31, 2026
Mar 14, 2012$158M then
HNW client RAUM$462M as of Mar 31, 2026
Mar 29, 2018$207M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 28, 20138 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20138 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $674,621derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.4derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $32.5M, 21 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)
- 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$462M66%
- Individuals$81.0M12%
- Charitable organizations$78.0M11%
- Pension and profit-sharing plans$67.3M9.6%
- Corporations and businesses$12.2M1.7%
- Individual clients
- 211reported
- HNW clients
- 156reported
- Pension plan clients
- 18reported
- Charitable clients
- 9reported
- Accounts
- 1,038reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.5M for 21 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• A•• S•••••Personal Financial Specialist | El Paso, Tx | Aug 11, 2003 | 28 y | 0 |
| B•••• R•• D•••••••Certified Financial Planner | El Paso, Tx | Dec 17, 2004 | 22 y | 0 |
| S•••• L••••••••• | El Paso, Tx | Dec 19, 2006 | 48 y | 0 |
| W•••••• S•••• J•••• | El Paso, Tx | May 31, 2007 | 37 y | 0 |
| S•••• D•••• K••••• | El Paso, Tx | Sep 24, 2007 | 45 y | 0 |
| S•••••• W• R••• | El Paso, Tx | Jan 1, 2009 | 45 y | 0 |
| C•••••• A••• F••••• | El Paso, Tx | Jan 1, 2009 | 29 y | 0 |
| S•••••• E•••••••• L•••••Personal Financial Specialist | El Paso, Tx | Dec 14, 2010 | 18 y | 0 |
| D••••• S•••• S•••••Certified Financial Planner, Chartered Financial Analyst | El Paso, Tx | Jul 18, 2017 | 14 y | 3 |
| M•••••• C••••••• K••• | El Paso, Tx | Apr 8, 2020 | 17 y | 0 |
| A••••• A•••••• B•••• | El Paso, Tx | Nov 7, 2024 | 21 y | 0 |
| L••••• V••••• | El Paso, Tx | Aug 7, 2025 | 15 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 headcount1 left over 36 months
Left, latest
- M••••• A•••• G•••• G••••• to S•••••••• W••••• A•••••••Mar 20, 2024 · RIA to a state-registered adviser
- D••••• S•••• S••••• to W••••• W••••• M•••••••••Jun 30, 2015 · Other
- C•••••• L••• R•• to S••••• C•••••• P•••••••• L••Feb 8, 2013 · Other
Joined, latest
- D••••• S•••• S••••• from B•• F•••••••• P•••••• W•••••• I•••Jul 18, 2017 · Other
- C•••••• L••• R•• from U••• F•••••••• P••••••• S•••••••May 20, 2010 · Other
- M••••• A•••• G•••• G••••• from I•••••••• C•••••• A•••••••Oct 28, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• S••••••• E•••••••• · Member / Chief Financial Officer / Presidentcontrolsince 01/2015 · owns 10% to 25%
- D•••••••• B••••• R•• · Member / Chief Compliance Officersince 01/2016 · owns 10% to 25%
- G••••••• M•••• P• · Membersince 01/2002 · owns 10% to 25%
- K•••••• S••••• D•••• · Membersince 04/1999 · owns 10% to 25%
- L••••••••• S•••• · Membersince 04/1999 · owns 10% to 25%
- L••••• C••••••• F••••• · Membersince 04/1999 · owns 10% to 25%
- R•••• S••••••• W• · Membersince 04/1999 · owns 10% to 25%
- S•••••• D•••••• S•••• · Membersince 01/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- L••••••••• B•••••• • C••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Paso, Tx · principal | 12 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,003 to 1,038Apr 17, 2025 to Mar 31, 2026
- Advisory employees · 4 to 5Apr 17, 2025 to Mar 31, 2026
- Corporate clients · 8 to 9Apr 17, 2025 to Mar 31, 2026
- HNW clients · 150 to 156Apr 17, 2025 to Mar 31, 2026
- Individual clients · 210 to 211Apr 17, 2025 to Mar 31, 2026
- Pension plan clients · 19 to 18Apr 17, 2025 to Mar 31, 2026
- Assets in custody · $12.4M to $32.5MApr 17, 2025 to Mar 31, 2026
- Employees · 6 to 5Apr 17, 2025 to Mar 31, 2026
- State-registered IARs · 4 to 5Apr 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $590M to $700MApr 17, 2025 to Mar 31, 2026
- HNW RAUM · $397M to $462MApr 17, 2025 to Mar 31, 2026
- Individual RAUM · $71.8M to $81.0MApr 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $441,186 to $441,405Apr 17, 2025 to Mar 31, 2026
- Pension RAUM · $50.7M to $67.3MApr 17, 2025 to Mar 31, 2026
- RAUM · $591M to $700MApr 17, 2025 to Mar 31, 2026
- Charity clients · 8 to 9Apr 16, 2024 to Apr 17, 2025
- Corporate clients · 11 to 8Apr 16, 2024 to Apr 17, 2025
- HNW clients · 115 to 150Apr 16, 2024 to Apr 17, 2025
- Individual clients · 250 to 210Apr 16, 2024 to Apr 17, 2025
- Pension plan clients · 18 to 19Apr 16, 2024 to Apr 17, 2025
- Assets in custody · $43.2M to $12.4MApr 16, 2024 to Apr 17, 2025
- Financial planning clients · 0 to 0Apr 16, 2024 to Apr 17, 2025
- State-registered IARs · 5 to 4Apr 16, 2024 to Apr 17, 2025
- Discretionary RAUM · $549M to $590MApr 16, 2024 to Apr 17, 2025
- HNW RAUM · $343M to $397MApr 16, 2024 to Apr 17, 2025
- Individual RAUM · $106M to $71.8MApr 16, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $439,518 to $441,186Apr 16, 2024 to Apr 17, 2025
- Pension RAUM · $47.4M to $50.7MApr 16, 2024 to Apr 17, 2025
- RAUM · $550M to $591MApr 16, 2024 to Apr 17, 2025
- Accounts · 987 to 1,003Mar 22, 2023 to Mar 29, 2024
- Advisory employees · 5 to 4Mar 22, 2023 to Mar 29, 2024
- Charity clients · 10 to 8Mar 22, 2023 to Mar 29, 2024
- Corporate clients · 12 to 11Mar 22, 2023 to Mar 29, 2024
- HNW clients · 113 to 115Mar 22, 2023 to Mar 29, 2024
- Individual clients · 248 to 250Mar 22, 2023 to Mar 29, 2024
- Pension plan clients · 20 to 18Mar 22, 2023 to Mar 29, 2024
- Assets in custody · $22.6M to $43.2MMar 22, 2023 to Mar 29, 2024
- Employees · 7 to 6Mar 22, 2023 to Mar 29, 2024
- State-registered IARs · 6 to 5Mar 22, 2023 to Mar 29, 2024
- Discretionary RAUM · $485M to $549MMar 22, 2023 to Mar 29, 2024
Signals
4 dated events
- Angel Miguel Gomez-Garcia (Chief Compliance Officer) no longer on Schedule A of L••••••••• F•••••••• A•••••••• L•• (listed 2024-03-29, absent 2024-04-16)Apr 16, 2024 · Control person left · inference
- M••••• A•••• G•••• G••••• left L••••••••• F•••••••• A•••••••• L•• for S•••••••• W••••• A••••••• (registered 2024-05-07)Mar 20, 2024 · Advisor changed firm · fact
- Angel Miguel Gomez-Garcia (Chief Compliance Officer) appeared on Schedule A of L••••••••• F•••••••• A•••••••• L••Mar 22, 2023 · Control person joined · fact
- Art Jon Sonnen (Member) no longer on Schedule A of L••••••••• F•••••••• A•••••••• L•• (listed 2022-03-04, absent 2022-10-05)Oct 5, 2022 · Control person left · inference
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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/L•••••••••-FINANCIAL-ADVISOreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 915-544-6950reportedpublic record, Form ADV, Mar 31, 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026