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
A•••• A•••• A••••••• L••
Latest filing Jan 7, 2026
First filing on the tape Jan 19, 2012 · 22 filings
SEC status approved since Feb 7, 2003
RAUM
$839M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$839M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$420M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$839M as of Jan 7, 2026
Jan 19, 2012$1.4B then
HNW client RAUM$839M as of Jan 7, 2026
Jan 12, 2018$887M then
State-registered IARs (5.B.3)1 as of Jan 7, 2026
Jan 19, 20120 then
Employees (5.A)4 as of Jan 7, 2026
Jan 18, 20134 then
Private funds: no history
RAUM -8.0% over the last fiscal year+0.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 7, 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
- $420MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $7.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$839M100%
- Individual clients
- n/areported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 118reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• S• A•••• | Dallas, Tx | Jun 25, 2002 | 24 y | 0 |
| S••••• A•••• | Dallas, Tx | Mar 29, 2005 | 38 y | 1 |
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
- S••••• A•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 29, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• L••••• S• · Membercontrolsince 04/2002 · owns 25% to 50%
- A••••• S••••• · Managing Member/Chief Compliance Officercontrolsince 03/2005 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 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
- unusually large average accountStatic outlier · filing Jan 7, 2026RAUM per account of $7,113,805 against a peer median of $610,947 (1443 comparable advisers, 98.0th percentile, 4.4 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 139 to 118Apr 8, 2025 to Jan 7, 2026
- Advisory activities · 2 to 1Apr 8, 2025 to Jan 7, 2026
- HNW clients · 138 to 118Apr 8, 2025 to Jan 7, 2026
- Discretionary RAUM · $885M to $822MApr 8, 2025 to Jan 7, 2026
- HNW RAUM · $882M to $839MApr 8, 2025 to Jan 7, 2026
- Non-discretionary RAUM · $26.8M to $17.6MApr 8, 2025 to Jan 7, 2026
- RAUM · $912M to $839MApr 8, 2025 to Jan 7, 2026
- Financial planning clients · unset to Jan 6, 2025 to Apr 8, 2025
- Accounts · 149 to 139Jun 12, 2024 to Jan 6, 2025
- Advisory employees · 2 to 1Jun 12, 2024 to Jan 6, 2025
- HNW clients · 148 to 138Jun 12, 2024 to Jan 6, 2025
- Discretionary RAUM · $868M to $885MJun 12, 2024 to Jan 6, 2025
- HNW RAUM · $864M to $882MJun 12, 2024 to Jan 6, 2025
- Non-discretionary RAUM · $23.8M to $26.8MJun 12, 2024 to Jan 6, 2025
- RAUM · $892M to $912MJun 12, 2024 to Jan 6, 2025
- Accounts · 156 to 149Jan 9, 2023 to Jan 8, 2024
- Advisory activities · 3 to 2Jan 9, 2023 to Jan 8, 2024
- HNW clients · 154 to 148Jan 9, 2023 to Jan 8, 2024
- Pension plan clients · 1.0 to unsetJan 9, 2023 to Jan 8, 2024
- Discretionary RAUM · $805M to $868MJan 9, 2023 to Jan 8, 2024
- HNW RAUM · $771M to $864MJan 9, 2023 to Jan 8, 2024
- Non-discretionary RAUM · $21.6M to $23.8MJan 9, 2023 to Jan 8, 2024
- Pension RAUM · 23754568.0 to unsetJan 9, 2023 to Jan 8, 2024
- RAUM · $827M to $892MJan 9, 2023 to Jan 8, 2024
- Accounts · 158 to 156Jan 10, 2022 to Jan 9, 2023
- Advisory employees · 3 to 2Jan 10, 2022 to Jan 9, 2023
- HNW clients · 156 to 154Jan 10, 2022 to Jan 9, 2023
- Discretionary RAUM · $650M to $805MJan 10, 2022 to Jan 9, 2023
- HNW RAUM · $617M to $771MJan 10, 2022 to Jan 9, 2023
- Non-discretionary RAUM · $23.6M to $21.6MJan 10, 2022 to Jan 9, 2023
- Pension RAUM · $23.1M to $23.8MJan 10, 2022 to Jan 9, 2023
- RAUM · $673M to $827MJan 10, 2022 to Jan 9, 2023
- Accounts · 160 to 158Jan 6, 2021 to Jan 10, 2022
- HNW clients · 158 to 156Jan 6, 2021 to Jan 10, 2022
- Discretionary RAUM · $511M to $650MJan 6, 2021 to Jan 10, 2022
- HNW RAUM · $479M to $617MJan 6, 2021 to Jan 10, 2022
- Non-discretionary RAUM · $20.1M to $23.6MJan 6, 2021 to Jan 10, 2022
- Pension RAUM · $23.3M to $23.1MJan 6, 2021 to Jan 10, 2022
- RAUM · $531M to $673MJan 6, 2021 to Jan 10, 2022
- Accounts · 159 to 160May 28, 2020 to Jan 6, 2021
Signals
2 dated events
- A•••• A•••• A••••••• L•• reported RAUM $673.2M, up 27% from $531.0M (2021-01-06 to 2022-01-10)Jan 10, 2022 · RAUM change · derived
- A•••• A•••• A••••••• L•• reported RAUM $531.0M, down 38% from $853.0M (2020-05-28 to 2021-01-06)Jan 6, 2021 · RAUM change · derived
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
- 214-360-7410reportedpublic record, Form ADV, Jan 7, 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
- $420Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026