DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
5• W••• C•••••• A•••••••• I•••
Latest filing May 22, 2026
First filing on the tape May 22, 2026 · 1 filings
RAUM
$47.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$30.1M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
- RAUM per advisor
- $9.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $532,358derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$21.1M45%
- Corporations and businesses$17.3M37%
- Individuals$9.0M19%
- Individual clients
- 67reported
- HNW clients
- 11reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 89reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• G•••••• G••••• | Austin, Tx | Dec 4, 2002 | 28 y | 0 |
| T••••• M•••••• T••••• | Austin, Tx | Jul 11, 2018 | 12 y | 0 |
| S•••••••• C•••••• | Austin, Tx | Mar 9, 2022 | 14 y | 0 |
| L••• A•••••• G•••••• | Austin, Tx | Apr 16, 2024 | 22 y | 0 |
| C•••• H••••• | Austin, Tx | Jan 22, 2025 | 27 y | 1 |
| D•••••• J• D•••• | Austin, Tx | Apr 17, 2025 | 14 y | 0 |
| D••••• M• L•• | Austin, Tx | Jan 26, 2026 | 11 y | 0 |
Advisor movement
Left, latest
- D••••• E•••••• G••••• to C•••••• S••••• • C••• I•••Aug 25, 2025 · Other
- J••• S•••••••• G••••• to A•••••••••Aug 16, 2024 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- D••••• E•••••• G••••• left 5• W••• C•••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-09-22)Aug 25, 2025 · Advisor changed firm · fact
- J••• S•••••••• G••••• left 5• W••• C•••••• A•••••••• I••• for Annualitix (registered 2024-09-14)Aug 16, 2024 · 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
- Website
- 5•••••.usreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 833-457-5757reportedpublic record, Form ADV, May 22, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026