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
S••••••• C•••••• A••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 1, 2012 · 20 filings
SEC status approved since Aug 23, 2002
RAUM
$493M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
91%
$449M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$493M
derived; firm RAUM over IAPD count
Employees
5
1 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$493M as of Mar 3, 2026
Mar 1, 2012$146M then
HNW client RAUM$448M as of Mar 3, 2026
Mar 9, 2018$281M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 1, 20120 then
Employees (5.A)5 as of Mar 3, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 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
- $493MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- -1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$448M91%
- Pension and profit-sharing plans$17.2M3.5%
- Charitable organizations$13.7M2.8%
- Corporations and businesses$12.4M2.5%
- Individuals$1.3M0.3%
- Individual clients
- 2reported
- HNW clients
- 64reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 442reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• D•••• S•••••••• | Dallas, Tx | Oct 1, 2002 | 26 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
- C•••• W•••••• to A•••••••• C••••••• L••Apr 17, 2008 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• W•••••• D•••• · President/Chief Compliance Officer/Ciocontrolsince 07/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 3, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 445 to 442Mar 22, 2025 to Mar 3, 2026
- Charity clients · 1 to 2Mar 22, 2025 to Mar 3, 2026
- HNW clients · 65 to 64Mar 22, 2025 to Mar 3, 2026
- Assets in custody · $56.1M to $93.5MMar 22, 2025 to Mar 3, 2026
- HNW RAUM · $410M to $448MMar 22, 2025 to Mar 3, 2026
- Individual RAUM · $1.0M to $1.3MMar 22, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $435M to $493MMar 22, 2025 to Mar 3, 2026
- Pension RAUM · $14.6M to $17.2MMar 22, 2025 to Mar 3, 2026
- RAUM · $435M to $493MMar 22, 2025 to Mar 3, 2026
- Financial planning clients · unset to Mar 3, 2025 to Mar 22, 2025
- Accounts · 430 to 445Mar 14, 2024 to Mar 3, 2025
- Corporate clients · 3 to 2Mar 14, 2024 to Mar 3, 2025
- HNW clients · 67 to 65Mar 14, 2024 to Mar 3, 2025
- Assets in custody · $46.6M to $56.1MMar 14, 2024 to Mar 3, 2025
- Employees · 4 to 5Mar 14, 2024 to Mar 3, 2025
- HNW RAUM · $377M to $410MMar 14, 2024 to Mar 3, 2025
- Individual RAUM · $944,097 to $1.0MMar 14, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $401M to $435MMar 14, 2024 to Mar 3, 2025
- Pension RAUM · $13.8M to $14.6MMar 14, 2024 to Mar 3, 2025
- RAUM · $401M to $435MMar 14, 2024 to Mar 3, 2025
- Accounts · 73 to 430Feb 23, 2023 to Mar 14, 2024
- HNW clients · 65 to 67Feb 23, 2023 to Mar 14, 2024
- Individual clients · 3 to 2Feb 23, 2023 to Mar 14, 2024
- Pension plan clients · 1 to 2Feb 23, 2023 to Mar 14, 2024
- Assets in custody · $29.6M to $46.6MFeb 23, 2023 to Mar 14, 2024
- Employees · 2 to 4Feb 23, 2023 to Mar 14, 2024
- HNW RAUM · $318M to $377MFeb 23, 2023 to Mar 14, 2024
- Individual RAUM · $845,034 to $944,097Feb 23, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $337M to $401MFeb 23, 2023 to Mar 14, 2024
- Pension RAUM · $11.6M to $13.8MFeb 23, 2023 to Mar 14, 2024
- RAUM · $337M to $401MFeb 23, 2023 to Mar 14, 2024
- Accounts · 76 to 73Mar 7, 2022 to Feb 23, 2023
- Corporate clients · 5 to 3Mar 7, 2022 to Feb 23, 2023
- Pension plan clients · 2 to 1Mar 7, 2022 to Feb 23, 2023
- Assets in custody · $19.6M to $29.6MMar 7, 2022 to Feb 23, 2023
- HNW RAUM · $369M to $318MMar 7, 2022 to Feb 23, 2023
- Individual RAUM · $688,275 to $845,034Mar 7, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $395M to $337MMar 7, 2022 to Feb 23, 2023
- Pension RAUM · $12.3M to $11.6MMar 7, 2022 to Feb 23, 2023
- RAUM · $395M to $337MMar 7, 2022 to Feb 23, 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
- Principal office phone
- 214-696-4444reportedpublic record, Form ADV, Mar 3, 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
- $493Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026