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•••••• A•••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Dec 2, 2011 · 54 filings
SEC status approved since Sep 13, 2002
RAUM
$61.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$61.8M
derived; firm RAUM over IAPD count
Employees
95
68 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$61.8M as of Mar 31, 2026
Mar 29, 2012$295M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 20, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)95 as of Mar 31, 2026
Mar 22, 2013129 then
Private funds3 as of Mar 25, 2020
Mar 29, 20128 then
RAUM -14% over the last fiscal year-5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $61.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $61.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 95.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, 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
- 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)
- 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
- Investment companies$61.8M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=27.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- M••••••• C••••••• R••• to H•••••••• P•••••• C•••••Nov 18, 2022 · Other
- W•••••• K••• E••••• to S•••••• C•••••• A•••••••• L••Nov 18, 2022 · Other
- W•••••• R••••••• W••••• to H•••••••• P•••••• C•••••Nov 18, 2022 · Other
- S•••••• D•••••• S••••• to C•••••• C•••• P•••••••Oct 10, 2017 · Other
- F••• L••••• W••••••• to C•••••• C•••• P•••••••Oct 10, 2017 · Other
- J• M•••••• N•••••• to C•••••• C•••• P•••••••Oct 10, 2017 · Other
- E••• O••• to S•••••• C•••••• A•••••••• L••Jun 1, 2015 · Other
- A••••• H••• S•••••• to C•••••• C•••• P•••••••Apr 8, 2015 · Other
- J••• E••• C•••• to S•••••• C•••••• A•••••••• L••Nov 14, 2011 · Other
- J••• B••••• to C•••••• C•••• P•••••••Nov 14, 2011 · Other
Joined, latest
- G•••••• A•••• R••• from F•••••• M••••••••• L••Aug 23, 2018 · Other
- W•••••• R••••••• W••••• from C•••••• C•••• P•••••••May 13, 2013 · Other
- E••• O••• from U•• F•••••••• S••••••• I•••Mar 18, 2013 · Other
- M••••••• C••••••• R••• from S•••••• C•••••• A•••••••• L••Jul 18, 2011 · Other
- J••• E••• C•••• from C•••••• C•••• P•••••••Feb 2, 2011 · Other
- J••• B••••• from A•••••••• F•••• M••••••••• L••Feb 2, 2011 · Other
- W•••••• K••• E••••• from C•••••• C•••• P•••••••Jun 24, 2010 · Other
- F••• L••••• W••••••• from G•• A•••••••• L•••Jun 4, 2009 · Other
- J• M•••••• N•••••• from H••••••••• P•••••••• L••Feb 20, 2003 · Other
- A••••• H••• S•••••• from H••••••••• P•••••••• L••Sep 13, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H•••••••• P•••••• C•••••Nov 18, 2022 · Dallas, Tx
- 3 left for C•••••• C•••• P•••••••Oct 10, 2017 · Dallas, Tx · Firm absorbed
- 2 joined from C•••••• C•••• P•••••••Mar 1, 2021 · Austin, Tx
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• R••• P••••• F••• V••• L•••no longer reported | Hedge Fund | $106M | 134 | Mar 29, 2012 |
| S•••••• R••• P••••• D•••• R•• Q• V•• F•••• L•••no longer reported | Hedge Fund | $80.3M | 2 | Aug 4, 2016 |
| S•••••• R••• P••••• D•••• R•• Q• V•• F•••• L•••no longer reported | Hedge Fund | $42.5M | 6 | Aug 4, 2016 |
| S•••••• R••• P••••• F••• V••• L•••no longer reported | Hedge Fund | $18.7M | 26 | Mar 29, 2012 |
| S•••••• P••••••• E• F••• L•no longer reported | Other P•••••• Fund | $13.3M | 73 | Mar 29, 2012 |
| S•••••• A••••••••• B••• I••••••••• F•••• L•••no longer reported | Hedge Fund | $10.2M | 3 | Jan 15, 2015 |
| S•••••• T•••• I••••••••• V•• F•••• L•••no longer reported | Hedge Fund | $8.9M | 5 | Aug 13, 2014 |
| T•• Y•••• M••••• F••• I•• L•••no longer reported | Hedge Fund | $2.8M | 86 | Mar 29, 2012 |
| T•• Y•••• F•••• L•••no longer reported | Hedge Fund | $2.5M | 66 | Mar 29, 2012 |
| S•••••• A••••••••• S••••••••• F•••• L•••no longer reported | Hedge Fund | $1.4M | 2 | Mar 29, 2012 |
| T•• Y•••• M••••• F••• I• L•••no longer reported | Hedge Fund | $753,281 | 86 | Mar 29, 2012 |
| T•• Y•••• ••••••• F•••• L•••no longer reported | Hedge Fund | $469,550 | 20 | Mar 29, 2012 |
| S•••••• T•••• I••••••••• V•• F•••• L•••no longer reported | Hedge Fund | $0 | 0 | Aug 13, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••• B••••• O•••••• · Ceo, Directorcontrolsince 11/2022 · owns less than 5%
- E••••••• J•••• A•••••• · Senior Vice President, Head Of Legal, Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- F•••••• M•••••• N•• · Svp, Chief Financial Officer, Treasurercontrolsince 11/2022 · owns less than 5%
- G••••• F•••••• N•• · President, W••••••• H••••••• G••••• I•••controlsince 11/2022 · owns less than 5%
- L•••••• D••••• O•••••• · Executive Vice President - Head Of Distributioncontrolsince 11/2016 · owns less than 5%
- M••••••••• S••••• B•••• · Chairman And Directorcontrolsince 11/2022 · owns less than 5%
- R•••• G••••••• A•••• · Presidentcontrolsince 08/2018 · owns less than 5%
Entity owners
- W••••••• H••••••• G••••• I••• · Limited Partnerdirect · owns 75% or more · public reporting company
- W•• G• H••••• L•• · General Partnerdirect · owns 75% or more
- W••••••• H••••••• G••••• I••• · Sole Memberindirect · owns 75% or more of W•• G• H••••• L•• · public reporting company
Related persons
Schedule D 7.A
- B•••••••• A•••• M••••••••• L••investment adviserbanknRAUM $238M
- S•••••• C•••••• L•••broker-dealern
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- S•••••• Z•••••• I••• G•• L••bankpooled vehicle sponsorn
- T•• S•••••• Z•••••• E••••• F••• G•• L•••investment adviserbankpooled vehicle sponsornRAUM $264M
- W••••••• W••••• M•••••••••investment adviserpooled vehicle sponsornRAUM $750M
- W••••••• M••••••••• C•••investment adviserbanknRAUM $12B
- W••••••• T••••pooled vehicle sponsorn
- W•• P• H•••••• L••pooled vehicle sponsorn
Advisers that list S•••••• A•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Houston, TX
What changed
consecutive filings, newest first
- Advisory employees · 76 to 68Feb 17, 2026 to Mar 31, 2026
- BD registered reps · 28 to 27Feb 17, 2026 to Mar 31, 2026
- Employees · 103 to 95Feb 17, 2026 to Mar 31, 2026
- Insurance-licensed employees · 11 to 12Feb 17, 2026 to Mar 31, 2026
- Discretionary RAUM · $72.3M to $61.8MFeb 17, 2026 to Mar 31, 2026
- RAUM · $72.3M to $61.8MFeb 17, 2026 to Mar 31, 2026
- Advisory employees · 68 to 76Mar 29, 2024 to Mar 31, 2025
- BD registered reps · 31 to 28Mar 29, 2024 to Mar 31, 2025
- Employees · 98 to 103Mar 29, 2024 to Mar 31, 2025
- Insurance-licensed employees · 6 to 11Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $75.3M to $72.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $75.3M to $72.3MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 42 to 68Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 24 to 31Mar 31, 2023 to Mar 29, 2024
- Employees · 76 to 98Mar 31, 2023 to Mar 29, 2024
- Insurance-licensed employees · 5 to 6Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 5 to 0Mar 31, 2023 to Mar 29, 2024
- Other offices · 0 to 1Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $72.3M to $75.3MMar 31, 2023 to Mar 29, 2024
- RAUM · $72.3M to $75.3MMar 31, 2023 to Mar 29, 2024
- Advisory employees · 6 to 42Dec 20, 2022 to Mar 31, 2023
- Advisory activities · 3 to 2Dec 20, 2022 to Mar 31, 2023
- BD registered reps · 18 to 24Dec 20, 2022 to Mar 31, 2023
- Employees · 44 to 76Dec 20, 2022 to Mar 31, 2023
- Insurance-licensed employees · 17 to 5Dec 20, 2022 to Mar 31, 2023
- State-registered IARs · 17 to 5Dec 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $71.5M to $72.3MDec 20, 2022 to Mar 31, 2023
- RAUM · $71.5M to $72.3MDec 20, 2022 to Mar 31, 2023
- HQ city · HOUSTON to DALLASApr 19, 2022 to Dec 14, 2022
- Advisory employees · 7 to 6Oct 18, 2021 to Mar 18, 2022
- BD registered reps · 24 to 18Oct 18, 2021 to Mar 18, 2022
- Employees · 55 to 44Oct 18, 2021 to Mar 18, 2022
- Insurance-licensed employees · 23 to 17Oct 18, 2021 to Mar 18, 2022
- State-registered IARs · 23 to 17Oct 18, 2021 to Mar 18, 2022
- Discretionary RAUM · $69.3M to $71.5MOct 18, 2021 to Mar 18, 2022
- RAUM · $69.3M to $71.5MOct 18, 2021 to Mar 18, 2022
- Accounts · 4 to 1Mar 3, 2021 to Mar 23, 2021
- Advisory employees · 8 to 7Mar 3, 2021 to Mar 23, 2021
- Advisory activities · 5 to 3Mar 3, 2021 to Mar 23, 2021
Signals
23 dated events
- Kramer Julie Gerron (Senior Vice President - General Counsel And Chief Compliance Officer) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2023-03-31, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Anthony J••• Ehinger (Senior Vice President, Head Of Legal, Chief Compliance Officer) appeared on Schedule A of S•••••• A•••••••• L•••Mar 29, 2024 · Control person joined · fact
- S•••••• A•••••••• L••• reported 5 state-registered advisory representatives, down from 17 (2022-12-20 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- Murray Forbes (Svp, Chief Financial Officer, Treasurer) appeared on Schedule A of S•••••• A•••••••• L•••Dec 14, 2022 · Control person joined · fact
- Byrne Susan Montgomery (Chairman And Director) appeared on Schedule A of S•••••• A•••••••• L•••Dec 14, 2022 · Control person joined · fact
- Oconnor Brian Casey (Ceo, Director) appeared on Schedule A of S•••••• A•••••••• L•••Dec 14, 2022 · Control person joined · fact
- Kramer Julie Gerron (Senior Vice President - General Counsel And Chief Compliance Officer) appeared on Schedule A of S•••••• A•••••••• L•••Dec 14, 2022 · Control person joined · fact
- Fabian Gomez (President, W••••••• H••••••• G••••• I•••) appeared on Schedule A of S•••••• A•••••••• L•••Dec 14, 2022 · Control person joined · fact
- Axtell Paul Bachtold (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2022-04-19, absent 2022-12-14)Dec 14, 2022 · Control person left · inference
- Lindsay Kristen Bayazitoglu (Chief Operating Officer) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2022-04-19, absent 2022-12-14)Dec 14, 2022 · Control person left · inference
- Kane William Enszer (Chief Executive Officer) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2022-04-19, absent 2022-12-14)Dec 14, 2022 · Control person left · inference
- Anjali Agarwal (Chief Financial Officer) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2022-04-19, absent 2022-12-14)Dec 14, 2022 · Control person left · inference
- W•••••• R••••••• W••••• left S•••••• A•••••••• L••• for H•••••••• P•••••• C••••• (registered 2017-08-11)Nov 18, 2022 · Advisor changed firm · fact
- M••••••• C••••••• R••• left S•••••• A•••••••• L••• for H•••••••• P•••••• C••••• (registered 2017-08-11)Nov 18, 2022 · Advisor changed firm · fact
- W•••••• K••• E••••• left S•••••• A•••••••• L••• for S•••••• C•••••• A•••••••• L•• (registered 2013-06-13)Nov 18, 2022 · Advisor changed firm · fact
- 2 advisors left S•••••• A•••••••• L••• (Dallas, TX) for H•••••••• P•••••• C••••• on the same dayNov 18, 2022 · Team lift-out · derived
- Anjali Agarwal (Chief Financial Officer) appeared on Schedule A of S•••••• A•••••••• L•••Nov 5, 2020 · Control person joined · fact
- Scott Matthew Hibbetts (Chief Financial Officer And Treasurer) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2020-09-17, absent 2020-11-05)Nov 5, 2020 · Control person left · inference
- Arthur J••• Blaisdell (Elected Manager) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2019-10-28, absent 2020-03-04)Mar 4, 2020 · Control person left · inference
- Wade Jonathan Depriest (Executive Vice President And General Counsel) no longer on Schedule A of S•••••• A•••••••• L••• (listed 2019-03-20, absent 2019-10-28)Oct 28, 2019 · Control person left · inference
- S•••••• A•••••••• L••• reported RAUM $56.5M, down 82% from $312.0M (2018-10-01 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- S•••••• A•••••••• L••• reported 44 state-registered advisory representatives, down from 72 (2018-01-31 to 2018-03-20)Mar 20, 2018 · Advisor headcount change · derived
- S•••••• A•••••••• L••• reported RAUM $312.0M, down 28% from $434.8M (2018-01-31 to 2018-03-20)Mar 20, 2018 · 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
- Firm profile
- linkedin.com/company/westwoodholdingsgroupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- westwoodetfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2147566900reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $61.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026