DFX Intelligence

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A•••••••• F•••••••• G•••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $338M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $338M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +13%
Private clients: 62% of RAUM, $209M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

selection of other advisers (Item 5.G.7): no on the filing of 2025-04-08, yes on the filing of 2026-03-03
2026-03-03
selection of other advisers (Item 5.G.7) 1
6 published business contact points are on record, each with its source.
Contact points 6

Every filed figure, and the identifiersCRD 114584 · SEC 801-112629 · 20 filingsShow

CRD 114584SEC 801-112629First filing on the tape Mar 1, 2012, latest Mar 3, 2026SEC status approved since Mar 16, 2018IAPD

RAUM

$338M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

62%

$209M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$169M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$338M as of Mar 3, 2026

Mar 1, 2012$59.2M then

HNW client RAUM$186M as of Mar 3, 2026

Jan 24, 2019$88.7M then

State-registered IARs (5.B.3)2 as of Mar 3, 2026

Mar 1, 20120 then

Employees (5.A)3 as of Mar 3, 2026

Jan 24, 20192 then

Private funds: no history

RAUM +13% over the last fiscal year+9.6% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Mar 3, 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
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: $169MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.8MderivedHNW RAUM over HNW clients
Average account: $936,537derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $293M, 72 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$186M55%
Charitable organizations$128M38%
Individuals$23.1M6.8%
Corporations and businesses$1.0M0.3%

Individual clients: 55reported
HNW clients: 39reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 361reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $293M for 72 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.62 fund_share=0.0 institutional_share=0.38 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•••• L•• A••••••••Certified Financial Planner	Cypress Springs Village, Tx	Oct 4, 2004	39 y	0
L•••• D•••• B••••	Cypress Springs Village, Tx	Jun 30, 2021	28 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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••••••• L••••• L•• · Managing Member/Chief Compliance Officercontrol
since 02/1987 · owns 75% or more
B••••• L••••• D•••• · Member
since 07/2023 · 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
Cypress Springs Village, Tx	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Mar 3, 2026
selection of other advisers (Item 5.G.7): no on the filing of 2025-04-08, yes on the filing of 2026-03-03
peers: independent wealth managers, $100M to $500M (5,682)
custody status changedChange between filings · filing Mar 3, 2026
custody of client assets (Item 9.A): no on the filing of 2025-04-08, yes on the filing of 2026-03-03
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 351 to 361
Apr 8, 2025 to Mar 3, 2026
Advisory activities · 2 to 3
Apr 8, 2025 to Mar 3, 2026
Charity clients · 1.0 to unset
Apr 8, 2025 to Mar 3, 2026
Corporate clients · 0.0 to unset
Apr 8, 2025 to Mar 3, 2026
HNW clients · 38 to 39
Apr 8, 2025 to Mar 3, 2026
Individual clients · 49 to 55
Apr 8, 2025 to Mar 3, 2026
Assets in custody · unset to 293113978.0
Apr 8, 2025 to Mar 3, 2026
Custody of client assets · false to true
Apr 8, 2025 to Mar 3, 2026
State-registered IARs · 1 to 2
Apr 8, 2025 to Mar 3, 2026
Discretionary RAUM · $298M to $338M
Apr 8, 2025 to Mar 3, 2026
HNW RAUM · $162M to $186M
Apr 8, 2025 to Mar 3, 2026
Individual RAUM · $18.3M to $23.1M
Apr 8, 2025 to Mar 3, 2026
RAUM · $298M to $338M
Apr 8, 2025 to Mar 3, 2026
Financial planning clients · 51-100 to 51-100
Feb 14, 2025 to Apr 8, 2025
Accounts · 359 to 351
Nov 11, 2024 to Feb 14, 2025
HNW clients · 35 to 38
Nov 11, 2024 to Feb 14, 2025
Individual clients · 33 to 49
Nov 11, 2024 to Feb 14, 2025
HQ city · unset to
Nov 11, 2024 to Feb 14, 2025
HQ state · unset to
Nov 11, 2024 to Feb 14, 2025
Discretionary RAUM · $269M to $298M
Nov 11, 2024 to Feb 14, 2025
HNW RAUM · $149M to $162M
Nov 11, 2024 to Feb 14, 2025
Individual RAUM · $14.5M to $18.3M
Nov 11, 2024 to Feb 14, 2025
RAUM · $269M to $298M
Nov 11, 2024 to Feb 14, 2025
Accounts · 348 to 359
Jul 9, 2023 to Mar 11, 2024
HNW clients · 27 to 35
Jul 9, 2023 to Mar 11, 2024
Individual clients · 51 to 33
Jul 9, 2023 to Mar 11, 2024
Discretionary RAUM · $257M to $269M
Jul 9, 2023 to Mar 11, 2024
HNW RAUM · $134M to $149M
Jul 9, 2023 to Mar 11, 2024
Individual RAUM · $27.7M to $14.5M
Jul 9, 2023 to Mar 11, 2024
RAUM · $257M to $269M
Jul 9, 2023 to Mar 11, 2024
Organization form · Sole Proprietorship to Limited Liability Company
Mar 15, 2023 to Jul 9, 2023
Succession · false to true
Mar 15, 2023 to Jul 9, 2023
Business name · A•••••••• F•••••••• G•••• to A•••••••• F•••••••• G•••• L••
Jul 9, 2023 to Jul 9, 2023
Legal name · L•••• L•• A•••••••• to A•••••••• F•••••••• G•••• L••
Jul 9, 2023 to Jul 9, 2023
Succession · true to false
Jul 9, 2023 to Jul 9, 2023
Accounts · 317 to 348
Feb 3, 2023 to Mar 15, 2023
Charity clients · unset to 1.0
Feb 3, 2023 to Mar 15, 2023
Corporate clients · unset to 0.0
Feb 3, 2023 to Mar 15, 2023
HNW clients · 37 to 27
Feb 3, 2023 to Mar 15, 2023
Individual clients · 61 to 51
Feb 3, 2023 to Mar 15, 2023

Signals

5 dated events

••• Locked
May 13, 2024 · Advisor departure · fact
••• Locked
May 13, 2024 · Advisor departure · fact
••• Locked
Jul 9, 2023 · Succession (Item 4) · fact
••• Locked
Feb 11, 2020 · RAUM change · derived
••• Locked
Feb 14, 2018 · First SEC registration · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 3, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 3, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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: $169Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026