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
D•••••• • E••••••• F•••••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since Mar 12, 2007
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$198M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.2M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$214M as of Mar 11, 2026
Mar 26, 2012$98.2M then
HNW client RAUM$191M as of Mar 11, 2026
Mar 23, 2018$85.1M then
State-registered IARs (5.B.3)3 as of Mar 11, 2026
Mar 26, 20120 then
Employees (5.A)4 as of Mar 11, 2026
Feb 28, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $66.4M, 14 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)
- 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$191M89%
- Corporations and businesses$15.8M7.4%
- Individuals$6.9M3.2%
- Individual clients
- 15reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 148reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.4M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| D•••• L•• N•••••Certified Financial Planner | Dallas, Tx | Sep 23, 2003 | 24 y | 0 |
| C••• D••••• D•••••• | Dallas, Tx | Sep 8, 2004 | 25 y | 0 |
| M•••••• C••••• P••••••••Certified Financial Planner | Dallas, Tx | Jan 8, 2009 | 18 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• C•••• D••••• · Managing Member/Vice-President/Secretarycontrolsince 01/2002 · owns 25% to 50%
- E•••••••• J•••••••• F•••••••• · Managing Member/Vice-President/Treasurercontrolsince 01/2002 · owns 25% to 50%
- N•••••• D••••• L•• · Managing Member/President/Chief Compliance Officercontrolsince 01/2002 · owns 25% to 50%
- P••••••••• M••••••• C••••• · Membersince 01/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
- D•••••• • E••••••• P•••insurancen
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.
What changed
consecutive filings, newest first
- Accounts · 136 to 148Mar 26, 2025 to Mar 11, 2026
- HNW clients · 42 to 45Mar 26, 2025 to Mar 11, 2026
- Assets in custody · $46.4M to $66.4MMar 26, 2025 to Mar 11, 2026
- Discretionary RAUM · $189M to $214MMar 26, 2025 to Mar 11, 2026
- HNW RAUM · $169M to $191MMar 26, 2025 to Mar 11, 2026
- Individual RAUM · $4.6M to $6.9MMar 26, 2025 to Mar 11, 2026
- RAUM · $189M to $214MMar 26, 2025 to Mar 11, 2026
- Accounts · 133 to 136Feb 22, 2024 to Mar 26, 2025
- Corporate clients · 6 to 5Feb 22, 2024 to Mar 26, 2025
- HNW clients · 38 to 42Feb 22, 2024 to Mar 26, 2025
- Individual clients · 13 to 15Feb 22, 2024 to Mar 26, 2025
- Assets in custody · $45.0M to $46.4MFeb 22, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Feb 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $171M to $189MFeb 22, 2024 to Mar 26, 2025
- HNW RAUM · $150M to $169MFeb 22, 2024 to Mar 26, 2025
- Individual RAUM · $4.1M to $4.6MFeb 22, 2024 to Mar 26, 2025
- RAUM · $171M to $189MFeb 22, 2024 to Mar 26, 2025
- Accounts · 128 to 133Feb 27, 2023 to Feb 22, 2024
- HNW clients · 37 to 38Feb 27, 2023 to Feb 22, 2024
- Individual clients · 9 to 13Feb 27, 2023 to Feb 22, 2024
- Assets in custody · $41.6M to $45.0MFeb 27, 2023 to Feb 22, 2024
- Discretionary RAUM · $157M to $171MFeb 27, 2023 to Feb 22, 2024
- HNW RAUM · $137M to $150MFeb 27, 2023 to Feb 22, 2024
- Individual RAUM · $3.2M to $4.1MFeb 27, 2023 to Feb 22, 2024
- RAUM · $157M to $171MFeb 27, 2023 to Feb 22, 2024
- Accounts · 125 to 128Mar 3, 2022 to Feb 27, 2023
- HNW clients · 33 to 37Mar 3, 2022 to Feb 27, 2023
- Individual clients · 11 to 9Mar 3, 2022 to Feb 27, 2023
- Assets in custody · $9.8M to $41.6MMar 3, 2022 to Feb 27, 2023
- Discretionary RAUM · $118M to $157MMar 3, 2022 to Feb 27, 2023
- HNW RAUM · $97.8M to $137MMar 3, 2022 to Feb 27, 2023
- Individual RAUM · $4.0M to $3.2MMar 3, 2022 to Feb 27, 2023
- RAUM · $118M to $157MMar 3, 2022 to Feb 27, 2023
- Accounts · 136 to 125Oct 27, 2021 to Mar 3, 2022
- Corporate clients · 7 to 6Oct 27, 2021 to Mar 3, 2022
- HNW clients · 36 to 33Oct 27, 2021 to Mar 3, 2022
- Assets in custody · $1.6M to $9.8MOct 27, 2021 to Mar 3, 2022
- Employees · 5 to 4Oct 27, 2021 to Mar 3, 2022
- Discretionary RAUM · $109M to $118MOct 27, 2021 to Mar 3, 2022
- HNW RAUM · $90.2M to $97.8MOct 27, 2021 to Mar 3, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- D•••••• • E••••••• F•••••••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 214-750-8985reportedpublic record, Form ADV, Mar 11, 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
- $71.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026