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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
F•••••••• P••••••••• T••••• • W•••• L••
Latest filing Jul 16, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Mar 29, 2007
RAUM
$811M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$811M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$162M
derived; firm RAUM over IAPD count
Employees
9
4 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$811M as of Jul 16, 2026
Mar 29, 2012$209M then
HNW client RAUM$811M as of Jul 16, 2026
Mar 21, 2018$471M then
State-registered IARs (5.B.3)4 as of Jul 16, 2026
Mar 29, 20120 then
Employees (5.A)9 as of Jul 16, 2026
Mar 19, 20139 then
Private funds: no history
RAUM +5.2% over the last fiscal year+7.6% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jul 16, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $162MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $7.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $811MreportedItem 5.I
- Custody
- $307M, 63 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$811M100%
- Individuals$823,7860.1%
- Individual clients
- n/areported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 105reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $307M for 63 clientsreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••••••••Certified Financial Planner | Houston, Tx | May 28, 2008 | 18 y | 1 |
| P••• D•••• T•••••Certified Financial Planner | Houston, Tx | Jan 3, 2011 | 20 y | 2 |
| P•••• J••• P••••••••• | Houston, Tx | Dec 23, 2013 | 14 y | 0 |
| J••••• W••••• D•••Certified Financial Planner | Houston, Tx | Jun 26, 2014 | 18 y | 1 |
| S•••••• J• B••••Certified Financial Planner | Houston, Tx | Jul 15, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S•••••• J• B•••• to M••••••Sep 16, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- S•••••• J• B•••• from M••••••Jul 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• W••••• D••• from L••••• W••••• M••••••••• L••Jun 26, 2014 · Other
- P••• D•••• T••••• from N•••••••• W••••• A•••••••• L••Jan 3, 2011 · Other
- J••• P••••••••• from C•• F••••••••• L••May 28, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• J•••••• W••••• · Principal, Chief Compliance Officercontrolsince 01/2016 · owns 10% to 25%
- P••••••••• J••• · Principalcontrolsince 01/2013 · owns 25% to 50%
- P••••••••• P••••• J••• · Principalcontrolsince 01/2016 · owns 10% to 25%
- T•••••• P•••• D•••• · Principalcontrolsince 01/2014 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jul 16, 2026RAUM per account of $7,728,218 against a peer median of $610,947 (1443 comparable advisers, 98.0th percentile, 4.8 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 104 to 105Oct 7, 2025 to Mar 24, 2026
- Advisory employees · 5 to 4Oct 7, 2025 to Mar 24, 2026
- HNW clients · 103 to 104Oct 7, 2025 to Mar 24, 2026
- Assets in custody · $280M to $307MOct 7, 2025 to Mar 24, 2026
- State-registered IARs · 5 to 4Oct 7, 2025 to Mar 24, 2026
- Discretionary RAUM · $771M to $811MOct 7, 2025 to Mar 24, 2026
- HNW RAUM · $770M to $811MOct 7, 2025 to Mar 24, 2026
- Individual RAUM · $761,060 to $823,786Oct 7, 2025 to Mar 24, 2026
- RAUM · $771M to $811MOct 7, 2025 to Mar 24, 2026
- Financial planning clients · 101-250 to 101-250Mar 3, 2025 to Jul 24, 2025
- Accounts · 394 to 104Mar 27, 2024 to Mar 3, 2025
- HNW clients · 101 to 103Mar 27, 2024 to Mar 3, 2025
- Assets in custody · $270M to $280MMar 27, 2024 to Mar 3, 2025
- Discretionary RAUM · $720M to $771MMar 27, 2024 to Mar 3, 2025
- HNW RAUM · $722M to $770MMar 27, 2024 to Mar 3, 2025
- Individual RAUM · $927,539 to $761,060Mar 27, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $3.3M to $0Mar 27, 2024 to Mar 3, 2025
- RAUM · $723M to $771MMar 27, 2024 to Mar 3, 2025
- Accounts · 392 to 394Mar 30, 2023 to Mar 27, 2024
- HNW clients · 99 to 101Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $506M to $270MMar 30, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 5Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $648M to $720MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $650M to $722MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $661,647 to $927,539Mar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $3.1M to $3.3MMar 30, 2023 to Mar 27, 2024
- RAUM · $651M to $723MMar 30, 2023 to Mar 27, 2024
- Accounts · 377 to 392Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $250M to $506MMar 30, 2022 to Mar 30, 2023
- Employees · 8 to 9Mar 30, 2022 to Mar 30, 2023
- Financial planning clients · 51-100 to 101-250Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $694M to $648MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $696M to $650MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $796,895 to $661,647Mar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $3.3M to $3.1MMar 30, 2022 to Mar 30, 2023
- RAUM · $697M to $651MMar 30, 2022 to Mar 30, 2023
- Accounts · 355 to 377Mar 30, 2021 to Mar 30, 2022
- HNW clients · 95 to 99Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $214M to $250MMar 30, 2021 to Mar 30, 2022
- Employees · 9 to 8Mar 30, 2021 to Mar 30, 2022
Signals
1 dated events
- S•••••• J• B•••• left F•••••••• P••••••••• T••••• • W•••• L•• for Mariner (registered 2025-09-19)Sep 16, 2025 · Advisor changed firm · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-599-3129reportedpublic record, Form ADV, Jul 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
- $162Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026