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
H••••••• W••••• M•••••••••
Legal name H••••••• W••••• M••••••••• I•••
Latest filing Feb 19, 2026
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Mar 25, 2016
RAUM
$358M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$358M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$59.6M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$358M as of Feb 19, 2026
Mar 29, 2012$139M then
HNW client RAUM$299M as of Feb 19, 2026
Feb 23, 2018$108M then
State-registered IARs (5.B.3)4 as of Feb 19, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Feb 19, 2026
Feb 22, 20175 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Feb 19, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $445,598derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $358MreportedItem 5.I
- Custody
- $41.5M, 35 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$299M84%
- Individuals$58.3M16%
- Individual clients
- 107reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 803reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $41.5M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S•••••• C•••••••Certified Financial Planner, Chartered Financial Consultant | Houston, Tx | Oct 14, 2002 | 36 y | 3 |
| I•• A••••• H•••••Certified Financial Planner | Houston, Tx | Jan 16, 2013 | 18 y | 1 |
| R••••• A•••••• R•••••• | Houston, Tx | Jan 24, 2019 | 16 y | 2 |
| R••••• B••• D••••Certified Financial Planner | Houston, Tx | Dec 8, 2023 | 28 y | 3 |
| N••••• W•••• B•••••••Certified Financial Planner | Houston, Tx | May 22, 2026 | 10 y | 0 |
| M•••••• S•• C••••••• | Houston, Tx | Aug 29, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- S•••• E•••••••• P••••• to C••••••• P•••••••Jan 22, 2026 · RIA to RIA
- K•••• A••••• N••••• to F•••••••• S••••••••Feb 23, 2017 · Other
- D••••• P••• M•••••• to W••••••• W••••• M••••••••• L•••••Dec 31, 2012 · Other
Joined, latest
- R••••• B••• D•••• from W••••••• W••••• M••••••••• L•••••Dec 8, 2023 · RIA to RIA
- R••••• A•••••• R•••••• from S•• C•••••• M•••••••••Jan 24, 2019 · RIA to RIA
- I•• A••••• H••••• from P•• M•••••• A•••••• S••••••••• I•••Jan 16, 2013 · Other
- D••••• P••• M•••••• from S••••••••• S••••••••• I•••Oct 14, 2002 · Other
- B•••• S•••••• C••••••• from S••••••••• S••••••••• I•••Oct 14, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• B••••• S•••••• · President/Chief Compliance Officercontrolsince 12/2012 · owns 75% or more
- H•••••• I••• A••••• · Financial Plannersince 08/2012 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 6 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-11, yes on the filing of 2026-02-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 755 to 803Mar 11, 2025 to Feb 19, 2026
- Advisory employees · 5 to 4Mar 11, 2025 to Feb 19, 2026
- HNW clients · 95 to 111Mar 11, 2025 to Feb 19, 2026
- Individual clients · 120 to 107Mar 11, 2025 to Feb 19, 2026
- Assets in custody · unset to 41504515.0Mar 11, 2025 to Feb 19, 2026
- Custody of client assets · false to trueMar 11, 2025 to Feb 19, 2026
- Employees · 7 to 6Mar 11, 2025 to Feb 19, 2026
- State-registered IARs · 5 to 4Mar 11, 2025 to Feb 19, 2026
- Discretionary RAUM · $313M to $357MMar 11, 2025 to Feb 19, 2026
- HNW RAUM · $261M to $299MMar 11, 2025 to Feb 19, 2026
- Individual RAUM · $51.7M to $58.3MMar 11, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $265,072 to $734,191Mar 11, 2025 to Feb 19, 2026
- RAUM · $313M to $358MMar 11, 2025 to Feb 19, 2026
- Accounts · 602 to 755Mar 12, 2024 to Mar 11, 2025
- HNW clients · 91 to 95Mar 12, 2024 to Mar 11, 2025
- Individual clients · 107 to 120Mar 12, 2024 to Mar 11, 2025
- Employees · 8 to 7Mar 12, 2024 to Mar 11, 2025
- Financial planning clients · 101-250 to 101-250Mar 12, 2024 to Mar 11, 2025
- Discretionary RAUM · $254M to $313MMar 12, 2024 to Mar 11, 2025
- HNW RAUM · $221M to $261MMar 12, 2024 to Mar 11, 2025
- Individual RAUM · $43.2M to $51.7MMar 12, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $10.6M to $265,072Mar 12, 2024 to Mar 11, 2025
- RAUM · $264M to $313MMar 12, 2024 to Mar 11, 2025
- Accounts · 528 to 602Aug 29, 2023 to Mar 12, 2024
- Advisory employees · 4 to 5Aug 29, 2023 to Mar 12, 2024
- HNW clients · 76 to 91Aug 29, 2023 to Mar 12, 2024
- Individual clients · 85 to 107Aug 29, 2023 to Mar 12, 2024
- Employees · 7 to 8Aug 29, 2023 to Mar 12, 2024
- State-registered IARs · 3 to 5Aug 29, 2023 to Mar 12, 2024
- Discretionary RAUM · $214M to $254MAug 29, 2023 to Mar 12, 2024
- HNW RAUM · $185M to $221MAug 29, 2023 to Mar 12, 2024
- Individual RAUM · $39.9M to $43.2MAug 29, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $10.5M to $10.6MAug 29, 2023 to Mar 12, 2024
- RAUM · $225M to $264MAug 29, 2023 to Mar 12, 2024
- Accounts · 500 to 528Dec 7, 2022 to Mar 22, 2023
- HNW clients · 78 to 76Dec 7, 2022 to Mar 22, 2023
- Individual clients · 80 to 85Dec 7, 2022 to Mar 22, 2023
- Discretionary RAUM · $209M to $214MDec 7, 2022 to Mar 22, 2023
- HNW RAUM · $186M to $185MDec 7, 2022 to Mar 22, 2023
- Individual RAUM · $33.3M to $39.9MDec 7, 2022 to Mar 22, 2023
Signals
2 dated events
- S•••• E•••••••• P••••• left H••••••• W••••• M••••••••• for C••••••• P••••••• (registered 2026-02-03)Jan 22, 2026 · Advisor changed firm · fact
- H••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 18, 2016 · First SEC registration · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/H•••••••-WEALTH-MANAGEMENT_reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-871-9800reportedpublic record, Form ADV, Feb 19, 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
- $59.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026