DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D••••••••• I••••••••• L•••••
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Apr 17, 2007
RAUM
$942M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
62%
$581M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$942M as of Mar 23, 2026
Mar 30, 2012$105M then
HNW client RAUM$479M as of Mar 23, 2026
Mar 26, 2018$91.4M then
State-registered IARs (5.B.3)8 as of Mar 23, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Mar 23, 2026
Mar 27, 20132 then
Private funds: no history
RAUM +34% over the last fiscal year+27% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 23, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $576,984derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $172M, 353 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$479M51%
- Pension and profit-sharing plans$336M36%
- Individuals$103M11%
- State and municipal entities$23.0M2.4%
- Charitable organizations$1.0M0.1%
- Individual clients
- 312reported
- HNW clients
- 168reported
- Pension plan clients
- 48reported
- Charitable clients
- n/areported
- Accounts
- 1,632reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $172M for 353 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• D•••• S••••• | Waco, Tx | Jul 28, 2003 | 28 y | 0 |
| R•••••• C••••• L•••••• | Waco, Tx | May 24, 2007 | 19 y | 0 |
| S•••••• L••••• M•••• | Waco, Tx | Sep 28, 2015 | 11 y | 0 |
| A••••• O•••• | Waco, Tx | Jul 9, 2020 | 16 y | 0 |
| A•••••••• J••••••• K•••••• | Waco, Tx | Feb 27, 2023 | 10 y | 0 |
| T•••• B••• P••••• | Waco, Tx | Jun 12, 2024 | 10 y | 0 |
| R••• J•••••• H•••••• | Waco, Tx | Jun 6, 2025 | 11 y | 0 |
| P•••• K•••••••• H•••••• | Waco, Tx | Jun 10, 2025 | 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 headcount0 left over 36 months
Left, latest
- A•• T••••• F••••• to I••••••••• P••• L••Sep 30, 2019 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• R••••••• C••••• · Managing Membercontrolsince 12/2010 · owns 50% to 75%
- S•••••• T•••• D•••• · Managing Member And Chief Compliance Officercontrolsince 10/1998 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Waco, Tx · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,510 to 1,632Jun 18, 2025 to Mar 23, 2026
- Advisory employees · 7 to 8Jun 18, 2025 to Mar 23, 2026
- HNW clients · 127 to 168Jun 18, 2025 to Mar 23, 2026
- Individual clients · 324 to 312Jun 18, 2025 to Mar 23, 2026
- Pension plan clients · 49 to 48Jun 18, 2025 to Mar 23, 2026
- Assets in custody · $119M to $172MJun 18, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 8Jun 18, 2025 to Mar 23, 2026
- Discretionary RAUM · $587M to $790MJun 18, 2025 to Mar 23, 2026
- HNW RAUM · $358M to $479MJun 18, 2025 to Mar 23, 2026
- Individual RAUM · $104M to $103MJun 18, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $116M to $151MJun 18, 2025 to Mar 23, 2026
- Pension RAUM · $240M to $336MJun 18, 2025 to Mar 23, 2026
- RAUM · $702M to $942MJun 18, 2025 to Mar 23, 2026
- Financial planning clients · 1-10 to 1-10May 21, 2025 to Jun 18, 2025
- Accounts · 1,378 to 1,510Mar 21, 2024 to Mar 14, 2025
- Advisory employees · 6 to 7Mar 21, 2024 to Mar 14, 2025
- Advisory activities · 2 to 3Mar 21, 2024 to Mar 14, 2025
- HNW clients · 107 to 127Mar 21, 2024 to Mar 14, 2025
- Individual clients · 289 to 324Mar 21, 2024 to Mar 14, 2025
- Pension plan clients · 40 to 49Mar 21, 2024 to Mar 14, 2025
- Assets in custody · $117M to $119MMar 21, 2024 to Mar 14, 2025
- Employees · 7 to 8Mar 21, 2024 to Mar 14, 2025
- State-registered IARs · 6 to 7Mar 21, 2024 to Mar 14, 2025
- Discretionary RAUM · $399M to $587MMar 21, 2024 to Mar 14, 2025
- HNW RAUM · $281M to $358MMar 21, 2024 to Mar 14, 2025
- Individual RAUM · $94.9M to $104MMar 21, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $178M to $116MMar 21, 2024 to Mar 14, 2025
- Pension RAUM · $201M to $240MMar 21, 2024 to Mar 14, 2025
- RAUM · $577M to $702MMar 21, 2024 to Mar 14, 2025
- Accounts · 1,297 to 1,378Mar 28, 2023 to Mar 21, 2024
- HNW clients · 91 to 107Mar 28, 2023 to Mar 21, 2024
- Individual clients · 284 to 289Mar 28, 2023 to Mar 21, 2024
- Pension plan clients · 49 to 40Mar 28, 2023 to Mar 21, 2024
- Assets in custody · $66.9M to $117MMar 28, 2023 to Mar 21, 2024
- Employees · 6 to 7Mar 28, 2023 to Mar 21, 2024
- Discretionary RAUM · $307M to $399MMar 28, 2023 to Mar 21, 2024
- HNW RAUM · $208M to $281MMar 28, 2023 to Mar 21, 2024
- Individual RAUM · $86.0M to $94.9MMar 28, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $152M to $178MMar 28, 2023 to Mar 21, 2024
- Pension RAUM · $163M to $201MMar 28, 2023 to Mar 21, 2024
Signals
3 dated events
- D••••••••• I••••••••• L••••• reported RAUM $941.6M, up 34% from $702.5M (2025-06-18 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- D••••••••• I••••••••• L••••• reported RAUM $577.3M, up 26% from $458.4M (2023-03-28 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- D••••••••• I••••••••• L••••• reported RAUM $495.0M, up 32% from $374.5M (2021-04-05 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- D••••••••• I••••••••• L••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 254-265-7410reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/disciplined-investors-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- w••.d•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 254-265-7410reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- d•••••••••.comreportedpublished 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026