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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••• F•••••••• P•••••••• L•••••

Former SEC-registered adviserPlano, TexasCRD 116084SEC 801-121524IAPD
Latest filing Mar 30, 2023
First filing on the tape May 18, 2021 · 4 filings
RAUM
$134M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$134M as of Mar 30, 2023
Mar 31, 2022$145M then
HNW client RAUM$119M as of Mar 30, 2023
Mar 31, 2022$132M then
State-registered IARs (5.B.3)2 as of Mar 30, 2023
Mar 31, 20222 then
Employees (5.A)2 as of Mar 30, 2023
Mar 31, 20222 then
Private funds: no history
RAUM -7.6% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$67.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$447,975derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.8%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
  • 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$119M89%
  • Individuals$15.1M11%
Individual clients
29reported
HNW clients
54reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
300reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• A•••• R••••• · Shareholder/President/Ccocontrol
        since 04/2001 · owns 50% to 75%
      • S••••• J••••••••• N••• · Shareholder/Vice Presidentcontrol
        since 04/2001 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Plano, Tx · principal000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 272 to 300
        Aug 9, 2022 to Mar 30, 2023
      • HNW clients · 56 to 54
        Aug 9, 2022 to Mar 30, 2023
      • Individual clients · 24 to 29
        Aug 9, 2022 to Mar 30, 2023
      • Assets in custody · 22444000.0 to unset
        Aug 9, 2022 to Mar 30, 2023
      • Custody of client assets · true to false
        Aug 9, 2022 to Mar 30, 2023
      • HNW RAUM · $132M to $119M
        Aug 9, 2022 to Mar 30, 2023
      • Individual RAUM · $13.3M to $15.1M
        Aug 9, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $145M to $134M
        Aug 9, 2022 to Mar 30, 2023
      • RAUM · $145M to $134M
        Aug 9, 2022 to Mar 30, 2023
      • Accounts · 265 to 272
        May 18, 2021 to Mar 31, 2022
      • HNW clients · 49 to 56
        May 18, 2021 to Mar 31, 2022
      • Individual clients · 26 to 24
        May 18, 2021 to Mar 31, 2022
      • Assets in custody · $69.8M to $22.4M
        May 18, 2021 to Mar 31, 2022
      • HNW RAUM · $96.8M to $132M
        May 18, 2021 to Mar 31, 2022
      • Individual RAUM · $11.8M to $13.3M
        May 18, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $109M to $145M
        May 18, 2021 to Mar 31, 2022
      • RAUM · $109M to $145M
        May 18, 2021 to Mar 31, 2022
      Signals
      4 dated events
      • R•••• W•••• W••••• left S•••• F•••••••• P•••••••• L••••• for A•••• W••••• M••••••••• L•• (registered 2023-04-12)
        Dec 31, 2023 · Advisor changed firm · fact
      • A••• R••••• S•••• left S•••• F•••••••• P•••••••• L••••• for A•••• W••••• M••••••••• L•• (registered 2023-04-12)
        Dec 31, 2023 · Advisor changed firm · fact
      • 2 advisors left S•••• F•••••••• P•••••••• L••••• (Plano, TX) for A•••• W••••• M••••••••• L•• on the same day
        Dec 31, 2023 · Team lift-out · derived
      • S•••• F•••••••• P•••••••• L••••• filed its initial SEC registration (Form ADV)
        May 18, 2021 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026