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
P••••••• A•••••••• L••
Legal name P••••••• A•••••••• L•••••
Latest filing Aug 31, 2026
First filing on the tape Jan 19, 2012 · 10 filings
SEC status approved since Mar 24, 2025
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$130M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$136M as of Aug 31, 2026
Jan 19, 2012$326M then
HNW client RAUM$118M as of Aug 31, 2026
Mar 24, 2025$93.9M then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Jan 19, 20120 then
Employees (5.A)4 as of Aug 31, 2026
Feb 13, 20138 then
Private funds2 as of Mar 31, 2014
Jan 19, 20123 then
RAUM +21% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Aug 31, 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
- $34.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $365,956derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$118M87%
- Individuals$12.4M9.1%
- Corporations and businesses$5.9M4.3%
- Individual clients
- 41reported
- HNW clients
- 41reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 372reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• U• G•••Certified Financial Planner | Dallas, Tx | Jan 4, 2017 | 30 y | 2 |
| W•••••• K••• D•••Chartered Financial Analyst | Dallas, Tx | Jan 10, 2017 | 30 y | 2 |
| K••••••• M•••• H••• | Dallas, Tx | Sep 25, 2024 | 13 y | 0 |
| A•••••••• U•••••••• G••• | Dallas, Tx | Sep 15, 2026 | 11 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
- J•••• C•••••••• V••• to S••••• W••••• A•••••••• I•••Dec 16, 2024 · Other
- S•••••• L•• L•••• to M•••• P•••••••Sep 1, 2023 · Other
- J•••• C••••••••• F•••• to N•••••• A•••••••Jan 9, 2019 · Other
- M••••••• U• G••• to P•••••••• A•••••••• L••Feb 18, 2016 · Other
Joined, latest
- J•••• C•••••••• V••• from P•••••••• A•••••••• I•••Feb 7, 2024 · Other
- J•••• C••••••••• F•••• from O•••• C•••••• M••••••••• L•Jan 10, 2017 · Other
- M••••••• U• G••• from P•••••••• A•••••••• L••Jan 4, 2017 · Other
- W•••••• K••• D••• from P•••••••• A•••••••• L••Jun 25, 2002 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• I•••••••• O••••••• E••••• F•••• L••• | Hedge Fund | $77.9M | 16 | Jan 19, 2012 |
| P••••••• I•••••••• •••• L• | Hedge Fund | $22.9M | 7 | Jan 19, 2012 |
| P••••••• I••••••••• L•no longer reported | Hedge Fund | $14.0M | 20 | Jan 19, 2012 |
| P••••••• A•••• B••••• L• | Hedge Fund | $6.3M | 9 | Feb 13, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••• L••• · Chief Compliance Officer & Chief Financial Officercontrolsince 04/2013 · owns less than 5%
- D•••• W••••••• K••• · Managing Membercontrolsince 12/1995 · owns 25% to 50%
- G•••• M•••••••• U• · Managing Membercontrolsince 12/1995 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••• I••••••••• M••••••••• L• ••••••• A•••••••investment adviserpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 306 to 372May 2, 2025 to Mar 30, 2026
- Advisory employees · 2 to 3May 2, 2025 to Mar 30, 2026
- HNW clients · 36 to 41May 2, 2025 to Mar 30, 2026
- Individual clients · 49 to 41May 2, 2025 to Mar 30, 2026
- Employees · 3 to 4May 2, 2025 to Mar 30, 2026
- Financial planning clients · 26-50 to 1-10May 2, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 3May 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $110M to $136MMay 2, 2025 to Mar 30, 2026
- HNW RAUM · $93.9M to $118MMay 2, 2025 to Mar 30, 2026
- Individual RAUM · $13.8M to $12.4MMay 2, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.4M to $0May 2, 2025 to Mar 30, 2026
- RAUM · $112M to $136MMay 2, 2025 to Mar 30, 2026
- Financial planning clients · 26-50 to 26-50Mar 24, 2025 to May 2, 2025
- Accounts · 2 to 306May 21, 2014 to Mar 24, 2025
- Advisory activities · 1 to 3May 21, 2014 to Mar 24, 2025
- Charity clients · unset to 0.0May 21, 2014 to Mar 24, 2025
- Corporate clients · unset to 1.0May 21, 2014 to Mar 24, 2025
- HNW clients · unset to 36.0May 21, 2014 to Mar 24, 2025
- Individual clients · unset to 49.0May 21, 2014 to Mar 24, 2025
- Pension plan clients · unset to 0.0May 21, 2014 to Mar 24, 2025
- Pooled vehicle clients · unset to 0.0May 21, 2014 to Mar 24, 2025
- Employees · 4 to 3May 21, 2014 to Mar 24, 2025
- Financial planning clients · 0 to 26-50May 21, 2014 to Mar 24, 2025
- State-registered IARs · 0 to 2May 21, 2014 to Mar 24, 2025
- Other offices · unset to 1.0May 21, 2014 to Mar 24, 2025
- Private funds · 2 to unsetMay 21, 2014 to Mar 24, 2025
- Discretionary RAUM · $29.2M to $110MMay 21, 2014 to Mar 24, 2025
- HNW RAUM · unset to 93867725.0May 21, 2014 to Mar 24, 2025
- Individual RAUM · unset to 13773096.0May 21, 2014 to Mar 24, 2025
- Non-discretionary RAUM · $0 to $2.4MMay 21, 2014 to Mar 24, 2025
- Pension RAUM · unset to 0.0May 21, 2014 to Mar 24, 2025
- Pooled vehicle RAUM · unset to 0.0May 21, 2014 to Mar 24, 2025
- RAUM · $29.2M to $112MMay 21, 2014 to Mar 24, 2025
- Related adviser · true to falseMay 21, 2014 to Mar 24, 2025
- Accounts · 3 to 2Apr 26, 2013 to Mar 31, 2014
- Advisory employees · 5 to 2Apr 26, 2013 to Mar 31, 2014
- Assets in custody · 121219710.0 to unsetApr 26, 2013 to Mar 31, 2014
- Custody of client assets · true to falseApr 26, 2013 to Mar 31, 2014
- Employees · 8 to 4Apr 26, 2013 to Mar 31, 2014
- Private funds · 3 to 2Apr 26, 2013 to Mar 31, 2014
Signals
3 dated events
- A•••••••• U•••••••• G••• registered as an investment adviser representative at P••••••• A•••••••• L••Sep 15, 2026 · Advisor registered · fact
- J•••• C•••••••• V••• left P••••••• A•••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2026-06-04)Dec 16, 2024 · Advisor changed firm · fact
- S•••••• L•• L•••• left P••••••• A•••••••• L•• for M•••• P••••••• (registered 2023-08-31)Sep 1, 2023 · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/P•••••••-ADVISORS-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-756-6066reportedpublic record, Form ADV, Aug 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
- $45.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026