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
S•••••• E••••• A••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Feb 17, 2005
RAUM
$244M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$240M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$244M as of Feb 27, 2026
Mar 28, 2012$106M then
HNW client RAUM$227M as of Feb 27, 2026
Mar 21, 2018$165M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Feb 27, 2026
Mar 12, 20132 then
Private funds: no history
RAUM +17% over the last fiscal year+8.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $646,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $12.3M, 5 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$227M93%
- Individuals$13.2M5.4%
- Charitable organizations$3.0M1.2%
- Pension and profit-sharing plans$700,5890.3%
- Individual clients
- 28reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 377reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.3M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| L••• J•••• S••••••Certified Financial Planner, Personal Financial Specialist | Houston, Tx | Mar 5, 1999 | 30 y | 0 |
| A••••• E••• P••••••Certified Financial Planner | Houston, Tx | Jun 22, 2023 | 13 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
- S••••• C•••••• B•••• to A•••••••• W••••• P•••••••Jun 20, 2023 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• L•••• J•••• · President/Chief Compliance Officercontrolsince 10/1995 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• F•••••••• S•••••••• P•insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, 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
- compensation changedChange between filings · filing Feb 27, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-24, no on the filing of 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 372 to 377Mar 24, 2025 to Feb 27, 2026
- Advisory employees · 2 to 3Mar 24, 2025 to Feb 27, 2026
- HNW clients · 62 to 63Mar 24, 2025 to Feb 27, 2026
- Individual clients · 29 to 28Mar 24, 2025 to Feb 27, 2026
- Assets in custody · $12.9M to $12.3MMar 24, 2025 to Feb 27, 2026
- Employees · 2 to 3Mar 24, 2025 to Feb 27, 2026
- Discretionary RAUM · $208M to $242MMar 24, 2025 to Feb 27, 2026
- HNW RAUM · $194M to $227MMar 24, 2025 to Feb 27, 2026
- Individual RAUM · $11.7M to $13.2MMar 24, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $1.2M to $1.2MMar 24, 2025 to Feb 27, 2026
- Pension RAUM · $667,359 to $700,589Mar 24, 2025 to Feb 27, 2026
- RAUM · $209M to $244MMar 24, 2025 to Feb 27, 2026
- Accounts · 354 to 372Mar 15, 2024 to Mar 24, 2025
- HNW clients · 58 to 62Mar 15, 2024 to Mar 24, 2025
- Individual clients · 31 to 29Mar 15, 2024 to Mar 24, 2025
- Assets in custody · $12.9M to $12.9MMar 15, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Mar 15, 2024 to Mar 24, 2025
- Discretionary RAUM · $182M to $208MMar 15, 2024 to Mar 24, 2025
- HNW RAUM · $168M to $194MMar 15, 2024 to Mar 24, 2025
- Individual RAUM · $11.7M to $11.7MMar 15, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $1.2M to $1.2MMar 15, 2024 to Mar 24, 2025
- Pension RAUM · $465,835 to $667,359Mar 15, 2024 to Mar 24, 2025
- RAUM · $183M to $209MMar 15, 2024 to Mar 24, 2025
- Accounts · 385 to 354Sep 5, 2023 to Mar 15, 2024
- HNW clients · 55 to 58Sep 5, 2023 to Mar 15, 2024
- Individual clients · 44 to 31Sep 5, 2023 to Mar 15, 2024
- Assets in custody · $14.0M to $12.9MSep 5, 2023 to Mar 15, 2024
- Discretionary RAUM · $187M to $182MSep 5, 2023 to Mar 15, 2024
- HNW RAUM · $165M to $168MSep 5, 2023 to Mar 15, 2024
- Individual RAUM · $19.6M to $11.7MSep 5, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $1.8M to $1.2MSep 5, 2023 to Mar 15, 2024
- Pension RAUM · $403,768 to $465,835Sep 5, 2023 to Mar 15, 2024
- RAUM · $189M to $183MSep 5, 2023 to Mar 15, 2024
- Advisory employees · 3 to 2Mar 8, 2023 to Jul 3, 2023
- Employees · 3 to 2Mar 8, 2023 to Jul 3, 2023
- Accounts · 397 to 385Mar 10, 2022 to Mar 8, 2023
- Assets in custody · $22.4M to $14.0MMar 10, 2022 to Mar 8, 2023
- Discretionary RAUM · $225M to $187MMar 10, 2022 to Mar 8, 2023
- HNW RAUM · $199M to $165MMar 10, 2022 to Mar 8, 2023
- Individual RAUM · $23.0M to $19.6MMar 10, 2022 to Mar 8, 2023
Signals
1 dated events
- S••••• C•••••• B•••• left S•••••• E••••• A••••••• I••• for A•••••••• W••••• P••••••• (registered 2023-07-14)Jun 20, 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
- Business email
- travis@stegentequity.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-840-0012reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-840-9300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/stegent-equity-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- StegentEquity.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-840-9300 X104reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- StegentEquity.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- StegentEquity.com/team-memberreportedpublished by the firm, firm site, Sep 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026