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
P•••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Oct 3, 2002
RAUM
$859M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$662M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$859M as of Mar 27, 2026
Mar 29, 2012$161M then
HNW client RAUM$532M as of Mar 27, 2026
Mar 15, 2018$188M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 1, 20135 then
Employees (5.A)9 as of Mar 27, 2026
Mar 1, 201312 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 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
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $751,256derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$532M62%
- Individuals$131M15%
- Corporations and businesses$92.7M11%
- Pension and profit-sharing plans$91.4M11%
- Charitable organizations$12.9M1.5%
- Individual clients
- 391reported
- HNW clients
- 152reported
- Pension plan clients
- 14reported
- Charitable clients
- 5reported
- Accounts
- 1,144reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• T•••• S•••••Chartered Financial Analyst | Dallas, Tx | Jan 1, 2003 | 24 y | 0 |
| A••• A••••• B••••••Certified Financial Planner, Chartered Financial Analyst | Dallas, Tx | Mar 18, 2005 | 23 y | 1 |
| P••••• L•••• O•••••Chartered Financial Consultant | Dallas, Tx | Apr 15, 2005 | 50 y | 1 |
| M••••• W•••••• M•••••Certified Financial Planner | Dallas, Tx | Mar 22, 2012 | 22 y | 4 |
| M••••••• T•••• O•••••Certified Financial Planner | Dallas, Tx | Oct 4, 2023 | 22 y | 3 |
| P•••••• M•••••• | Dallas, Tx | Feb 5, 2024 | 10 y | 0 |
| D•••• C••••• R•• | Dallas, Tx | Jul 17, 2026 | 10 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
- A••••• M••••• C••••••• to W•• A••••••••• L••Aug 2, 2016 · Other
- M••••••• T•••• O••••• to W••••••• F•••••••• S•••••••• I•••Dec 31, 2005 · Other
Joined, latest
- M••••••• T•••• O••••• from W••••••• F•••••••• S•••••••• I•••Oct 4, 2023 · Affiliated broker-dealer or bank to independent RIA
- M••••• W•••••• M••••• from S•••••••• W••••• P•••••••Mar 22, 2012 · Other
- P••••• L•••• O••••• from T•••• S••••• S••••••••• I•••Apr 15, 2005 · Other
- M••••••• T•••• O••••• from T•••• S••••• S••••••••• I•••Mar 29, 2005 · Other
- A••• A••••• B•••••• from T•••• S••••• S••••••••• I•••Mar 18, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• R••••••• S•••• · Trustee Of P•••••• Shareholder Trust Dtd 7/6/2005controlsince 07/2005 · owns less than 5%
- O•••••• L••••• M• · Secretarycontrolsince 07/2002 · owns less than 5%
- O•••••• P•••••• L•••• · President/Chairman Of Board/Chief Executive Officercontrolsince 07/2002 · owns less than 5%
- S•••••• C••••••••• T•••• · Vice President/Chief Compliance Officer/Board Member/Chief Operations Officer/Chief Financial Officercontrolsince 01/2003 · owns less than 5%
- O•••••• L••••• M• · Trusteecontrolsince 10/1984 · owns F of The P••••• L. O••••• III And L•••• M. O••••• J•••• L••••• Trust D•••• 10/30/84 & Any A••••••••• T••••••
- O•••••• P•••••• L•••• · Trusteecontrolsince 10/1984 · owns F of The P••••• L. O••••• III And L•••• M. O••••• J•••• L••••• Trust D•••• 10/30/84 & Any A••••••••• T••••••
Entity owners
- T•• P••••• L• O••••• A•• L•••• M• O••••• J•••• L••••• T•••• D•••• 1••••••• • A•• A••••••••• T•••••• · Trustindirect · owns 50% to 75% of The P•••••• S••••••••• Trust Dtd 7/06/2005
- T•• P•••••• S••••••••• T•••• D•• 0••••••••• · Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
- O••••• A•• A•••••••••real estaten
- W•• A••••••••• L••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,111 to 1,144Mar 27, 2025 to Mar 27, 2026
- HNW clients · 142 to 152Mar 27, 2025 to Mar 27, 2026
- Individual clients · 394 to 391Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $730M to $858MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $446M to $532MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $120M to $131MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.4M to $1.7MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $75.9M to $91.4MMar 27, 2025 to Mar 27, 2026
- RAUM · $732M to $859MMar 27, 2025 to Mar 27, 2026
- Accounts · 509 to 1,111May 16, 2024 to Mar 27, 2025
- HNW clients · 123 to 142May 16, 2024 to Mar 27, 2025
- Individual clients · 362 to 394May 16, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10May 16, 2024 to Mar 27, 2025
- Discretionary RAUM · $629M to $730MMay 16, 2024 to Mar 27, 2025
- HNW RAUM · $385M to $446MMay 16, 2024 to Mar 27, 2025
- Individual RAUM · $115M to $120MMay 16, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.3M to $1.4MMay 16, 2024 to Mar 27, 2025
- Pension RAUM · $61.9M to $75.9MMay 16, 2024 to Mar 27, 2025
- RAUM · $630M to $732MMay 16, 2024 to Mar 27, 2025
- Accounts · 1,112 to 509Sep 20, 2023 to Mar 27, 2024
- Advisory employees · 5 to 7Sep 20, 2023 to Mar 27, 2024
- BD registered reps · 0 to 1Sep 20, 2023 to Mar 27, 2024
- Charity clients · 6 to 5Sep 20, 2023 to Mar 27, 2024
- HNW clients · 117 to 123Sep 20, 2023 to Mar 27, 2024
- Individual clients · 425 to 362Sep 20, 2023 to Mar 27, 2024
- Pension plan clients · 16 to 14Sep 20, 2023 to Mar 27, 2024
- Employees · 8 to 9Sep 20, 2023 to Mar 27, 2024
- Insurance-licensed employees · 3 to 4Sep 20, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 6Sep 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $586M to $629MSep 20, 2023 to Mar 27, 2024
- HNW RAUM · $350M to $385MSep 20, 2023 to Mar 27, 2024
- Individual RAUM · $131M to $115MSep 20, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.1M to $1.3MSep 20, 2023 to Mar 27, 2024
- Pension RAUM · $87.1M to $61.9MSep 20, 2023 to Mar 27, 2024
- RAUM · $587M to $630MSep 20, 2023 to Mar 27, 2024
- Accounts · 1,061 to 1,112Mar 17, 2022 to Mar 27, 2023
- Charity clients · 5 to 6Mar 17, 2022 to Mar 27, 2023
- Corporate clients · 4 to 5Mar 17, 2022 to Mar 27, 2023
- HNW clients · 171 to 117Mar 17, 2022 to Mar 27, 2023
- Individual clients · 357 to 425Mar 17, 2022 to Mar 27, 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
- Business phone
- 214-891-8131reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/ProbityAdvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-891-8131reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- probityadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026