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
C•••••• I••••••••• M•••••••••
Legal name C•••••• I••••••••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 24 filings
SEC status approved since Jul 15, 2005
RAUM
$395M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$316M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$395M as of Mar 24, 2026
Mar 30, 2012$121M then
HNW client RAUM$294M as of Mar 24, 2026
Mar 6, 2018$95.6M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 28, 20133 then
Employees (5.A)3 as of Mar 24, 2026
Mar 28, 20133 then
Private funds1 as of Mar 21, 2022
Mar 25, 20211 then
RAUM +3.0% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Custody
- $278M, 205 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$294M75%
- Corporations and businesses$60.4M15%
- Individuals$21.7M5.5%
- Investment companies$12.9M3.3%
- Charitable organizations$4.0M1.0%
- State and municipal entities$1.3M0.3%
- Individual clients
- 138reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 319reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $278M for 205 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.8 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• R•• C•••••• | Midland, Tx | Jan 14, 2003 | 45 y | 1 |
| C•••••• R••• G••••• | Midland, Tx | Mar 22, 2004 | 25 y | 1 |
| K•••• W•••• P••••• | Midland, Tx | Feb 24, 2012 | 45 y | 5 |
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
- Y••••• M•••• R•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 7, 2012 · Other
Joined, latest
- K•••• W•••• P••••• from N••• F•••••••• G••••• I•••Apr 28, 2006 · Other
- C•••••• R••• G••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Mar 22, 2004 · Other
- M••••• R•• C•••••• from T•• A••••••• G••••• I•••Jan 14, 2003 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• A••••••••• I••••••••• F•••• L•no longer reported | Other Private Fund | $86,824 | 1 | Mar 25, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• M•••••• R•• · President & Chief Compliance Officercontrolsince 07/2001 · 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 |
|---|---|---|---|---|---|
| Midland, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 360 to 319Mar 10, 2025 to Mar 24, 2026
- Corporate clients · 15 to 7Mar 10, 2025 to Mar 24, 2026
- HNW clients · 52 to 58Mar 10, 2025 to Mar 24, 2026
- Individual clients · 96 to 138Mar 10, 2025 to Mar 24, 2026
- Assets in custody · $249M to $278MMar 10, 2025 to Mar 24, 2026
- Discretionary RAUM · $383M to $395MMar 10, 2025 to Mar 24, 2026
- HNW RAUM · $273M to $294MMar 10, 2025 to Mar 24, 2026
- Individual RAUM · $19.3M to $21.7MMar 10, 2025 to Mar 24, 2026
- RAUM · $383M to $395MMar 10, 2025 to Mar 24, 2026
- Accounts · 304 to 360Mar 13, 2024 to Mar 10, 2025
- Advisory employees · 3 to 1Mar 13, 2024 to Mar 10, 2025
- Advisory activities · 2 to 3Mar 13, 2024 to Mar 10, 2025
- Corporate clients · unset to 15.0Mar 13, 2024 to Mar 10, 2025
- HNW clients · 60 to 52Mar 13, 2024 to Mar 10, 2025
- Individual clients · 101 to 96Mar 13, 2024 to Mar 10, 2025
- Assets in custody · $307M to $249MMar 13, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 10, 2025
- Discretionary RAUM · $289M to $383MMar 13, 2024 to Mar 10, 2025
- HNW RAUM · $241M to $273MMar 13, 2024 to Mar 10, 2025
- Individual RAUM · $28.2M to $19.3MMar 13, 2024 to Mar 10, 2025
- RAUM · $289M to $383MMar 13, 2024 to Mar 10, 2025
- Accounts · 275 to 304Mar 22, 2023 to Mar 13, 2024
- HNW clients · 38 to 60Mar 22, 2023 to Mar 13, 2024
- Individual clients · 90 to 101Mar 22, 2023 to Mar 13, 2024
- Assets in custody · $186M to $307MMar 22, 2023 to Mar 13, 2024
- Discretionary RAUM · $281M to $289MMar 22, 2023 to Mar 13, 2024
- HNW RAUM · $237M to $241MMar 22, 2023 to Mar 13, 2024
- Individual RAUM · $22.4M to $28.2MMar 22, 2023 to Mar 13, 2024
- RAUM · $281M to $289MMar 22, 2023 to Mar 13, 2024
- Accounts · 246 to 275Mar 21, 2022 to Mar 16, 2023
- Advisory employees · 2 to 3Mar 21, 2022 to Mar 16, 2023
- Advisory activities · 5 to 2Mar 21, 2022 to Mar 16, 2023
- HNW clients · 34 to 38Mar 21, 2022 to Mar 16, 2023
- Individual clients · 110 to 90Mar 21, 2022 to Mar 16, 2023
- Pooled vehicle clients · 1.0 to unsetMar 21, 2022 to Mar 16, 2023
- Assets in custody · $133M to $186MMar 21, 2022 to Mar 16, 2023
- Private funds · 1 to unsetMar 21, 2022 to Mar 16, 2023
- Discretionary RAUM · $259M to $281MMar 21, 2022 to Mar 16, 2023
- HNW RAUM · $203M to $237MMar 21, 2022 to Mar 16, 2023
- Individual RAUM · $21.6M to $22.4MMar 21, 2022 to Mar 16, 2023
Signals
1 dated events
- C•••••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 4, 2013 · Succession (Item 4) · 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
- C••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 432-617-1394reportedpublic record, Form ADV, Mar 24, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026