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
W•••••• C•••••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Apr 30, 2009
RAUM
$1.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
66%
$979M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$496M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 30, 2012$212M then
HNW client RAUM$912M as of Mar 31, 2026
Mar 29, 2018$491M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Apr 1, 20133 then
Employees (5.A)7 as of Mar 31, 2026
Apr 1, 20135 then
Private funds1 as of Mar 31, 2026
Mar 30, 20122 then
RAUM +9.9% over the last fiscal year+12% a year over threeIARs 3 to 3
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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $496MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $143M, 1 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$912M61%
- Corporations and businesses$326M22%
- Pooled investment vehicles$143M9.6%
- Individuals$67.0M4.5%
- Charitable organizations$41.4M2.8%
- Individual clients
- 153reported
- HNW clients
- 262reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 491reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $143M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.66 fund_share=0.1 institutional_share=0.03 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 |
|---|---|---|---|---|
| C••••••••• L•• T••••••• | Dallas, Tx | Mar 23, 2021 | 24 y | 1 |
| S•••• T••••• W•••••• | Dallas, Tx | Mar 23, 2021 | 24 y | 1 |
| E•••••••• S•••••• R••••••Chartered Financial Analyst | Dallas, Tx | Mar 23, 2021 | 25 y | 6 |
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
none on the tape
Joined, latest
- E•••••••• S•••••• R•••••• from H•••••• C•••••• L•••Mar 5, 2018 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• C•••••• M••••••••• F•••• L••• | Hedge Fund | $143M | 64 | Mar 30, 2012 |
| A••••• W•••••• I••••••••• F•••• L•••no longer reported | Hedge Fund | $15.3M | 20 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• B••••• H•••• · Chief Compliance Officercontrolsince 01/2010 · owns less than 5%
- T•••••••• C••••••••• L•• · Vice Presidentcontrolsince 07/2004 · owns 10% to 25%
- W••••••• S••••• T••••• · President/Secretarycontrolsince 01/2002 · owns 50% to 75%
- B•••••• L••••• L•• · Shareholdersince 01/2022 · owns 10% to 25%
- C•••••••• J•••••••• C•••• H•••••• · Shareholdersince 01/2002 · owns 5% to 10%
- R••••••••• W••••••• E• · Shareholdersince 02/2007 · owns 5% to 10%
Entity owners
- E••••• O• T••••• D• B••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• W•••••• I••••••••• M••••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026W••••••• S••••• T••••• (PRESIDENT/SECRETARY) left Schedule A between the filings of 2020-03-30 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 479 to 491Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 68 to 65Mar 31, 2025 to Mar 31, 2026
- Individual clients · 141 to 153Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $129M to $143MMar 31, 2025 to Mar 31, 2026
- Private funds · 2 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $835M to $912MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $46.6M to $67.0MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $26.0M to $24.2MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $136M to $143MMar 31, 2025 to Mar 31, 2026
- RAUM · $1.4B to $1.5BMar 31, 2025 to Mar 31, 2026
- Accounts · 474 to 479Mar 28, 2024 to Mar 31, 2025
- Charity clients · 8 to 6Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 67 to 68Mar 28, 2024 to Mar 31, 2025
- HNW clients · 230 to 262Mar 28, 2024 to Mar 31, 2025
- Individual clients · 167 to 141Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $120M to $129MMar 28, 2024 to Mar 31, 2025
- Employees · 6 to 7Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $685M to $835MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $84.1M to $46.6MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $13.7M to $26.0MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $140M to $136MMar 28, 2024 to Mar 31, 2025
- RAUM · $1.2B to $1.4BMar 28, 2024 to Mar 31, 2025
- Accounts · 435 to 474Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 7 to 6Mar 30, 2023 to Mar 28, 2024
- Corporate clients · 61 to 67Mar 30, 2023 to Mar 28, 2024
- HNW clients · 226 to 230Mar 30, 2023 to Mar 28, 2024
- Individual clients · 138 to 167Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $126M to $120MMar 30, 2023 to Mar 28, 2024
- Employees · 7 to 6Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.0B to $1.2BMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $600M to $685MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $68.2M to $84.1MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $15.8M to $13.7MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $152M to $140MMar 30, 2023 to Mar 28, 2024
- RAUM · $1.1B to $1.2BMar 30, 2023 to Mar 28, 2024
- Accounts · 421 to 435Mar 30, 2022 to Mar 30, 2023
Signals
No event on the tape.
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
- Principal office phone
- 214-303-0200reportedpublic 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
- $496Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026