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••••••••• • A•••••••••
Legal name A••••• C••••••••• A•• A••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Apr 24, 2024 · 8 filings
SEC status approved since May 23, 2024
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$123M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.2M
derived; firm RAUM over IAPD count
Employees
14
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$130M as of Mar 2, 2026
Apr 1, 2025$161M then
HNW client RAUM$85.1M as of Mar 2, 2026
Apr 1, 2025$61.2M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Apr 1, 20253 then
Employees (5.A)14 as of Mar 2, 2026
Apr 1, 202514 then
Private funds: no history
RAUM -19% over the last fiscal yearIARs 3 to 3offices 1 to 2
Practice profile
derived from the filing of Mar 2, 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
- RAUM per advisor
- $43.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $280,395derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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
- High-net-worth individuals$85.1M66%
- Individuals$38.2M29%
- Pension and profit-sharing plans$6.2M4.8%
- Individual clients
- 235reported
- HNW clients
- 50reported
- Pension plan clients
- 16reported
- Charitable clients
- 0reported
- Accounts
- 462reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| A••••• M••••• C•••••••••Personal Financial Specialist | Shreveport, La | May 15, 2012 | 39 y | 0 |
| C••••• W••••••• C•••••••••Certified Financial Planner | Shreveport, La | Feb 14, 2022 | 10 y | 1 |
| C••••• M••••• C•••••••••Chartered Financial Analyst | Fort Worth, Tx | Feb 24, 2026 | 15 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- G••••• H••• L•••• to C••••••••• W••••• P•••••••Feb 24, 2026 · RIA to a state-registered adviser
Joined, latest
- G••••• H••• L•••• from P•••• S••••••••• L••Mar 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••••• W••••••• C••••••••• from P•••• S••••••••• L••Feb 14, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• A•••••• M••••• · Managing Membercontrolsince 10/1987 · owns 75% or more
- C••••••••• C•••••• W••••••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Shreveport, La · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 38.0% to 66.0% between the annual amendments of 2025-04-01 and 2026-03-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 1 to 2Feb 27, 2026 to Mar 2, 2026
- Accounts · 700 to 462Jul 11, 2025 to Feb 27, 2026
- HNW clients · 30 to 50Jul 11, 2025 to Feb 27, 2026
- Individual clients · 350 to 235Jul 11, 2025 to Feb 27, 2026
- Financial planning clients · 1-10 to 11-25Jul 11, 2025 to Feb 27, 2026
- Discretionary RAUM · $161M to $130MJul 11, 2025 to Feb 27, 2026
- HNW RAUM · $61.2M to $85.1MJul 11, 2025 to Feb 27, 2026
- Individual RAUM · $93.3M to $38.2MJul 11, 2025 to Feb 27, 2026
- Pension RAUM · $6.1M to $6.2MJul 11, 2025 to Feb 27, 2026
- RAUM · $161M to $130MJul 11, 2025 to Feb 27, 2026
- Financial planning clients · 1-10 to 1-10Apr 1, 2025 to Jul 11, 2025
- Accounts · 350 to 700Oct 31, 2024 to Apr 1, 2025
- Business name · A••••• C••••••••• A•• A••••••••• L•• to C••••••••• • A•••••••••Oct 31, 2024 to Apr 1, 2025
- HNW clients · 25 to 30Oct 31, 2024 to Apr 1, 2025
- Individual clients · 330 to 350Oct 31, 2024 to Apr 1, 2025
- Pension plan clients · 2 to 16Oct 31, 2024 to Apr 1, 2025
- Discretionary RAUM · $114M to $161MOct 31, 2024 to Apr 1, 2025
- HNW RAUM · $51.4M to $61.2MOct 31, 2024 to Apr 1, 2025
- Individual RAUM · $59.2M to $93.3MOct 31, 2024 to Apr 1, 2025
- Pension RAUM · $3.1M to $6.1MOct 31, 2024 to Apr 1, 2025
- RAUM · $114M to $161MOct 31, 2024 to Apr 1, 2025
- Other offices · 0 to 1Jul 3, 2024 to Sep 16, 2024
- Discretionary RAUM · $114M to $114MApr 24, 2024 to Jul 3, 2024
- HNW RAUM · $51.4M to $51.4MApr 24, 2024 to Jul 3, 2024
- RAUM · $114M to $114MApr 24, 2024 to Jul 3, 2024
Signals
3 dated events
- G••••• H••• L•••• left C••••••••• • A••••••••• for C••••••••• W••••• P••••••• (registered 2025-10-15)Feb 24, 2026 · Advisor changed firm · fact
- W••••••• C••••• C••••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• • A•••••••••Sep 16, 2024 · Control person joined · fact
- A••••• C••••••••• A•• A••••••••• L•• filed its initial SEC registration (Form ADV)Apr 24, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business email
- l•••••@t•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 318-219-5216reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 318-683-1040reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 318-683-1040reportedpublic record, Form ADV, Mar 2, 2026
- Team page
- kbrattin.wixsite.com/castellanocpas/meet-our-teamreportedpublished 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
- $43.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026