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
R•••••••• I••••••••• M•••••••••
Latest filing Mar 31, 2026
First filing on the tape Feb 3, 2021 · 20 filings
SEC status approved since Apr 2, 2021
RAUM
$534M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
92%
$490M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$59.3M
derived; firm RAUM over IAPD count
Employees
20
10 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$534M as of Mar 31, 2026
Apr 9, 2021$129M then
HNW client RAUM$195M as of Mar 31, 2026
Apr 9, 2021$60.4M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Apr 9, 20217 then
Employees (5.A)20 as of Mar 31, 2026
Apr 9, 202111 then
Private funds: no history
RAUM +96% over the last fiscal year+20% a year over threeIARs 8 to 10
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $59.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 126derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $254,237derivedHNW RAUM over HNW clients
- Average account
- $467,297derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +96%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$295M55%
- High-net-worth individuals$195M37%
- Banks and thrifts$24.5M4.6%
- Other investment advisers$17.8M3.3%
- Charitable organizations$1.8M0.3%
- Individual clients
- 371reported
- HNW clients
- 767reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,143reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• A•••• M••••••••• | Houston, Tx | Jan 7, 2011 | 45 y | 5 |
| C•••• M•••••• R•••••••• | Houston, Tx | Feb 9, 2017 | 11 y | 1 |
| J••• E••••• L••••••• | Houston, Tx | Jan 24, 2018 | 41 y | 2 |
| D••• M•••• T••••••• | Houston, Tx | Dec 5, 2018 | 39 y | 4 |
| R••••• W•••••• K••••• | Houston, Tx | Jan 24, 2020 | 44 y | 2 |
| S•••• C•••••••• J••• | Houston, Tx | Aug 6, 2020 | 16 y | 1 |
| N••••• H•••• N••••• | Houston, Tx | Jul 14, 2025 | 17 y | 0 |
| D••••• P••••• D••••••• | Houston, Tx | Dec 3, 2025 | 12 y | 2 |
| J•••• R•••• L•••• | Houston, Tx | Jul 3, 2026 | 18 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- E••••• D•••• S•••••••• to O•••• W•••••• I•••Apr 2, 2025 · RIA to affiliated broker-dealer or bank
- P•••••• R••••• M••••• to P•••• R••••••••• A•••••••Aug 1, 2024 · RIA to a state-registered adviser
- S•••• M•••• I•••••• to F•••• A••••• A••••••• S•••••••• I•••Feb 7, 2017 · Other
Joined, latest
- J•••• R•••• L•••• from P• W••••• A•••••••• L••Jul 3, 2026 · Other
- D••••• P••••• D••••••• from L•• E••••••••• L••Dec 3, 2025 · Affiliated broker-dealer or bank to independent RIA
- P•••••• R••••• M••••• from H••••• C•••••• M••••••••• L••Apr 6, 2021 · RIA to RIA
- S•••• C•••••••• J••• from S••••••• C•••••• M••••••••• L••Aug 6, 2020 · Other
- R••••• W•••••• K••••• from F•••• A••••• A••••••• S•••••••• I•••Jan 24, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••• M•••• T••••••• from F•••• A••••• A••••••• S•••••••• I•••Dec 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- J••• E••••• L••••••• from F•••• A••••• A••••••• S•••••••• I•••Jan 24, 2018 · Affiliated broker-dealer or bank to independent RIA
- E••••• D•••• S•••••••• from F•••• A••••• A••••••• S•••••••• I•••Feb 9, 2017 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••• I•••••• from W•••• • W••••• • D•••••Jun 8, 2015 · Other
- F•••••••• A•••• M••••••••• from F•••• A••••• S••••••••• I•••Jan 7, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F•••• A••••• A••••••• S•••••••• I•••Nov 22, 2019 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R••••••• N•• · Ccocontrolsince 01/2024 · owns less than 5%
- R••••••••• C••••• M•••••• · Managing Membercontrolsince 01/2017 · owns 5% to 10%
- R••••••••• C••••• M•••••• · Shareholdercontrolsince 12/2020 · owns 50% to 75% of D••••• C• F•••••
- R••••••••• C•••• A•••••••• · Shareholdercontrolsince 12/2020 · owns 50% to 75% of D••••• C• F•••••
- J•••• S••••• C•••••••• · Ownersince 12/2020 · owns 5% to 10%
Entity owners
- D••••• C• F••••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 9 | 2 | 0 | ||
| Oceanside, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 100.0% to 64.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $273,053,474 to $534,120,550 (+96.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +16.0% (1385 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 98% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 64.0% to 37.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 779 to 1,143Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Individual clients · 306 to 371Mar 31, 2025 to Mar 31, 2026
- Employees · 8 to 20Mar 31, 2025 to Mar 31, 2026
- Insurance-licensed employees · 0 to 4Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 8 to 10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $273M to $343MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $175M to $195MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $54.1M to $295MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $191MMar 31, 2025 to Mar 31, 2026
- RAUM · $273M to $534MMar 31, 2025 to Mar 31, 2026
- Accounts · 1,971 to 779Nov 22, 2024 to Mar 31, 2025
- Advisory employees · 16 to 8Nov 22, 2024 to Mar 31, 2025
- BD registered reps · 11 to 6Nov 22, 2024 to Mar 31, 2025
- Charity clients · unset to 2.0Nov 22, 2024 to Mar 31, 2025
- Corporate clients · 5.0 to unsetNov 22, 2024 to Mar 31, 2025
- HNW clients · 300 to 767Nov 22, 2024 to Mar 31, 2025
- Individual clients · 931 to 306Nov 22, 2024 to Mar 31, 2025
- Pension plan clients · 2.0 to unsetNov 22, 2024 to Mar 31, 2025
- Employees · 16 to 8Nov 22, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Nov 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $243M to $273MNov 22, 2024 to Mar 31, 2025
- HNW RAUM · $153M to $175MNov 22, 2024 to Mar 31, 2025
- Individual RAUM · $197M to $54.1MNov 22, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $191M to $0Nov 22, 2024 to Mar 31, 2025
- Pension RAUM · 25239000.0 to unsetNov 22, 2024 to Mar 31, 2025
- RAUM · $434M to $273MNov 22, 2024 to Mar 31, 2025
- Accounts · 1,229 to 1,971Feb 15, 2024 to Mar 31, 2024
- Advisory employees · 9 to 16Feb 15, 2024 to Mar 31, 2024
- BD registered reps · 8 to 11Feb 15, 2024 to Mar 31, 2024
- Business name · R•••••••• W••••• M••••••••• L•• to R•••••••• I••••••••• M•••••••••Feb 15, 2024 to Mar 31, 2024
- Charity clients · 2.0 to unsetFeb 15, 2024 to Mar 31, 2024
- Corporate clients · 10 to 5Feb 15, 2024 to Mar 31, 2024
- HNW clients · 623 to 300Feb 15, 2024 to Mar 31, 2024
- Individual clients · 606 to 931Feb 15, 2024 to Mar 31, 2024
- Pension plan clients · unset to 2.0Feb 15, 2024 to Mar 31, 2024
- State-registered IARs · 11 to 8Feb 15, 2024 to Mar 31, 2024
- Legal name · R•••••••• W••••• M••••••••• L•• to R•••••••• I••••••••• M•••••••••Feb 15, 2024 to Mar 31, 2024
- Discretionary RAUM · $147M to $243MFeb 15, 2024 to Mar 31, 2024
- HNW RAUM · $213M to $153MFeb 15, 2024 to Mar 31, 2024
Signals
9 dated events
- R•••••••• I••••••••• M••••••••• reported RAUM $534.1M, up 96% from $273.1M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- E••••• D•••• S•••••••• left R•••••••• I••••••••• M••••••••• for O•••• W•••••• I••• (registered 2025-08-19)Apr 2, 2025 · Advisor changed firm · fact
- R•••••••• I••••••••• M••••••••• reported RAUM $273.1M, down 37% from $434.4M (2024-11-22 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- A•••••••• C••• R•••••••• (Shareholder) appeared on Schedule A of R•••••••• I••••••••• M•••••••••Nov 22, 2024 · Control person joined · fact
- Nmn R•••••• M•••••• (Cco) appeared on Schedule A of R•••••••• I••••••••• M•••••••••Nov 18, 2024 · Control person joined · fact
- P•••••• R••••• M••••• left R•••••••• I••••••••• M••••••••• for P•••• R••••••••• A••••••• (registered 2024-08-01)Aug 1, 2024 · Advisor changed firm · fact
- R•••••••• I••••••••• M••••••••• reported RAUM $434.4M, up 39% from $312.1M (2024-02-15 to 2024-03-31)Mar 31, 2024 · RAUM change · derived
- R•••••••• I••••••••• M••••••••• reported RAUM $312.1M, up 91% from $163.4M (2022-05-06 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- R•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 3, 2021 · ria f•••• adv filing · 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
- i•••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-622-4077reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-622-4077reportedpublic record, Form ADV, Mar 31, 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
- $59.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026