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
C•••••• A••••••• G••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 24, 2012 · 18 filings
SEC status approved since Apr 14, 2005
RAUM
$225M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$225M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$225M as of Mar 30, 2026
Mar 24, 2012$91.5M then
HNW client RAUM$211M as of Mar 30, 2026
Mar 28, 2018$100M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 24, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Mar 22, 20131 then
Private funds: no history
RAUM +4.2% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $759,946derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%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
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$211M94%
- Individuals$13.5M6.0%
- Individual clients
- 28reported
- HNW clients
- 49reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 296reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• S••••• H••••• | Jun 11, 2003 | 39 y | 1 | |
| J••••• C•••• M•••••Certified Financial Planner | Dallas, Tx | Mar 19, 2014 | 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 headcount0 left over 36 months
Left, latest
- M••• C••••••••• C•••••• to M•••••••••May 24, 2007 · Other
- C••• D•••• B•••• to C••••• A•••• M••••••••• I•••Dec 31, 2005 · Other
Joined, latest
- M••• C••••••••• C•••••• from S••••• S••••••••• C•••••••••Nov 9, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• S••••• · President, Ceo, Ccocontrolsince 05/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 292 to 296Mar 20, 2025 to Mar 30, 2026
- HNW clients · 50 to 49Mar 20, 2025 to Mar 30, 2026
- Individual clients · 22 to 28Mar 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $211M to $217MMar 20, 2025 to Mar 30, 2026
- HNW RAUM · $203M to $211MMar 20, 2025 to Mar 30, 2026
- Individual RAUM · $12.7M to $13.5MMar 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $5.1M to $7.7MMar 20, 2025 to Mar 30, 2026
- RAUM · $216M to $225MMar 20, 2025 to Mar 30, 2026
- Accounts · 303 to 292Mar 18, 2024 to Mar 20, 2025
- HNW clients · 51 to 50Mar 18, 2024 to Mar 20, 2025
- Individual clients · 18 to 22Mar 18, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Mar 20, 2025
- Discretionary RAUM · $192M to $211MMar 18, 2024 to Mar 20, 2025
- HNW RAUM · $187M to $203MMar 18, 2024 to Mar 20, 2025
- Individual RAUM · $9.4M to $12.7MMar 18, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $4.7M to $5.1MMar 18, 2024 to Mar 20, 2025
- RAUM · $196M to $216MMar 18, 2024 to Mar 20, 2025
- Accounts · 284 to 303Mar 17, 2023 to Mar 18, 2024
- HNW clients · 53 to 51Mar 17, 2023 to Mar 18, 2024
- Individual clients · 20 to 18Mar 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $159M to $192MMar 17, 2023 to Mar 18, 2024
- HNW RAUM · $150M to $187MMar 17, 2023 to Mar 18, 2024
- Individual RAUM · $9.6M to $9.4MMar 17, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $0 to $4.7MMar 17, 2023 to Mar 18, 2024
- RAUM · $159M to $196MMar 17, 2023 to Mar 18, 2024
- Accounts · 295 to 284Mar 17, 2022 to Mar 17, 2023
- HNW clients · 48 to 53Mar 17, 2022 to Mar 17, 2023
- Individual clients · 28 to 20Mar 17, 2022 to Mar 17, 2023
- Discretionary RAUM · $171M to $159MMar 17, 2022 to Mar 17, 2023
- HNW RAUM · $159M to $150MMar 17, 2022 to Mar 17, 2023
- Individual RAUM · $12.1M to $9.6MMar 17, 2022 to Mar 17, 2023
- RAUM · $171M to $159MMar 17, 2022 to Mar 17, 2023
- Accounts · 317 to 295Mar 30, 2021 to Mar 17, 2022
- HNW clients · 45 to 48Mar 30, 2021 to Mar 17, 2022
- Individual clients · 34 to 28Mar 30, 2021 to Mar 17, 2022
- Discretionary RAUM · $166M to $171MMar 30, 2021 to Mar 17, 2022
- HNW RAUM · $154M to $159MMar 30, 2021 to Mar 17, 2022
- Individual RAUM · $16.3M to $12.1MMar 30, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $4.7M to $0Mar 30, 2021 to Mar 17, 2022
- RAUM · $171M to $171MMar 30, 2021 to Mar 17, 2022
Signals
No event on the tape.
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
- jim@cagwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sharon@cagwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 972-770-4840reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-770-4840reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- cagwm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- cagwm.com/our-teamreportedpublished 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026