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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Former SEC-registered adviser
M•••••• F•••••••• S••••••• C•••••••••
Latest filing Jun 15, 2026
First filing on the tape Jun 15, 2026 · 1 filings
RAUM
$27.8M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
96%
$26.7M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
- RAUM per advisor
- $2.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $601,103derivedHNW RAUM over HNW clients
- Average account
- $189,357derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 1.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$19.5M70%
- High-net-worth individuals$7.2M26%
- Charitable organizations$744,1962.7%
- Corporations and businesses$381,7131.4%
- Individual clients
- 128reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 147reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• D••• M••••••Certified Financial Planner | San Antonio, Tx | Aug 20, 2007 | 42 y | 0 |
| J••••• A•••••• B••••• | Cedar Park, Tx | Sep 14, 2007 | 35 y | 1 |
| C••••• R•••••• S•••• | San Antonio, Tx | Nov 13, 2007 | 23 y | 3 |
| J•• I• Z•••••Chartered Financial Consultant | San Antonio, Tx | Apr 19, 2012 | 41 y | 2 |
| C••••••• B•••• B•••• | San Antonio, Tx | May 17, 2017 | 45 y | 2 |
| M••••• H••• H••••• | Georgetown, Tx | Oct 11, 2019 | 10 y | 1 |
| M••••••• R•••• C•••••• | San Antonio, Tx | Mar 23, 2021 | 46 y | 3 |
| M••• A••• K••• | Corpus Christi, Tx | Oct 28, 2024 | 36 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- B•••• C•••••• B•••• to S••••• C•••••• M••••••••• L••Jan 16, 2026 · Other
- M••• G•••••• R•••• to F•••••••• F••••••Aug 29, 2022 · Other
- K••••••• E••••• M•••••••• to E••••• W•••••• L••Jul 12, 2019 · Other
- K•••• M•••••• C••••••• to 1•• G••••• A••••••• I••Jan 6, 2012 · Other
- B•••• J••••• S•••••• to E•••••• S••••••••• I•••Feb 28, 2011 · Other
- G••••• G••••• R••• to A•••••• A••••••• S•••••••Feb 23, 2010 · Other
- V•••••• S•••• L•••• to A••••••••• I•••Dec 18, 2009 · Other
Joined, latest
- B•••• C•••••• B•••• from I•••••• A•• P•••••• A•••• M••••••••• I•••Jun 27, 2025 · Other
- M••• A••• K••• from H•••••• T••••••• • K•••• L••Oct 28, 2024 · Other
- M••••••• R•••• C•••••• from C•••••• S••••••••• M••••••••• I•••Mar 23, 2021 · Other
- M••••• H••• H••••• from E•••••••• A•••••••• L••Oct 11, 2019 · Affiliated broker-dealer or bank to a state-registered adviser
- M••• G•••••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 3, 2019 · Wirehouse to a state-registered adviser
- C••••••• B•••• B•••• from I••••••••• P••••••••• I•••May 17, 2017 · Other
- K••••••• E••••• M•••••••• from J• P• T••••• • C•••••• C•••••• M••••••••• L••Mar 9, 2016 · Other
- J•• I• Z••••• from T••••••••• F•••••••• A•••••••• L••Apr 19, 2012 · Other
- V•••••• S•••• L•••• from W••••••• F•••••••• S•••••••• I•••Nov 19, 2009 · Other
- B•••• J••••• S•••••• from A••••••••• F•••••••• S•••••••• L••Nov 9, 2009 · Affiliated broker-dealer or bank to a state-registered adviser
- K•••• M•••••• C••••••• from I••••••••• P••••••••• I•••Oct 29, 2009 · Other
- G••••• G••••• R••• from M•••••• W••••• M••••••••• L•Jan 12, 2009 · Other
- C••••• R•••••• S•••• from L•• F•••••••• L••Nov 13, 2007 · Other
- J••••• A•••••• B••••• from L•• F•••••••• L••Sep 14, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 8 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- B•••• C•••••• B•••• left M•••••• F•••••••• S••••••• C••••••••• for S••••• C•••••• M••••••••• L•• (registered 2026-01-16)Jan 16, 2026 · Advisor changed firm · fact
- M••• G•••••• R•••• left M•••••• F•••••••• S••••••• C••••••••• for F•••••••• F•••••• (registered 2026-01-01)Aug 29, 2022 · Advisor changed firm · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-545-7080reportedpublic record, Form ADV, Jun 15, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026