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

W•• A•••••••• L•

Former SEC-registered adviserDallas, TexasCRD 125073SEC 801-61945IAPD
Latest filing Sep 6, 2017
First filing on the tape Feb 3, 2012 · 29 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
156
147 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.5B as of Aug 1, 2016
Oct 2, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)156 as of Aug 1, 2016
Oct 2, 20120 then
Employees (5.A)156 as of Aug 1, 2016
Sep 28, 2013214 then
Private funds: no history
RAUM +2.2% over the last fiscal year+6.2% a year over threeIARs 162 to 156
Practice profile
derived from the filing of Sep 6, 2017; every figure names its basis
RAUM per advisor
$9.6MderivedRAUM 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
$176,294derivedRAUM over accounts (5.F.2.f)
Discretionary
95%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
156.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.2%derivedbetween the last two annual amendments
Advisor growth, one year
-3.7%derivedItem 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 individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
600reportedItem 5.H
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8,500reported
Financial planning clients
600reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••••••• D••••• W••••• · President/Chief Compliance Officercontrol
      since 09/2007 · owns less than 5%
    • K•••• E•••••• R•••••• · Chief Financial Officer
      since 02/2014 · owns less than 5%
    Entity owners
    • W••••••• F•••••••• G••••• I••• · General Partner
      direct · owns 75% or more
    • W••• W••••••• F••••• L••• · Owner
      indirect · owns 75% or more of W••••••• F•••••••• G••••• I•••
    • W•• A••••••• 1• I••• · Limited Partner
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 9,918 to 8,500
      Mar 14, 2016 to Aug 1, 2016
    • Advisory employees · 151 to 147
      Mar 14, 2016 to Aug 1, 2016
    • BD registered reps · 158 to 154
      Mar 14, 2016 to Aug 1, 2016
    • Employees · 162 to 156
      Mar 14, 2016 to Aug 1, 2016
    • Insurance-licensed employees · 8 to 4
      Mar 14, 2016 to Aug 1, 2016
    • Financial planning clients · 251-500 to More than 500
      Mar 14, 2016 to Aug 1, 2016
    • State-registered IARs · 162 to 156
      Mar 14, 2016 to Aug 1, 2016
    • Organization form · Other (specify) to Limited Partnership
      Mar 14, 2016 to Aug 1, 2016
    • Discretionary RAUM · $1.4B to $1.4B
      Mar 14, 2016 to Aug 1, 2016
    • Non-discretionary RAUM · $113M to $68.5M
      Mar 14, 2016 to Aug 1, 2016
    • RAUM · $1.5B to $1.5B
      Mar 14, 2016 to Aug 1, 2016
    • Accounts · 10,107 to 9,918
      Feb 10, 2015 to Sep 30, 2015
    • Advisory employees · 173 to 151
      Feb 10, 2015 to Sep 30, 2015
    • Advisory activities · 5 to 6
      Feb 10, 2015 to Sep 30, 2015
    • BD registered reps · 185 to 158
      Feb 10, 2015 to Sep 30, 2015
    • Employees · 191 to 162
      Feb 10, 2015 to Sep 30, 2015
    • Insurance-licensed employees · 25 to 8
      Feb 10, 2015 to Sep 30, 2015
    • Financial planning clients · 101-250 to 251-500
      Feb 10, 2015 to Sep 30, 2015
    • State-registered IARs · 191 to 162
      Feb 10, 2015 to Sep 30, 2015
    • Discretionary RAUM · $1.3B to $1.4B
      Feb 10, 2015 to Sep 30, 2015
    • Non-discretionary RAUM · $583M to $113M
      Feb 10, 2015 to Sep 30, 2015
    • RAUM · $1.8B to $1.5B
      Feb 10, 2015 to Sep 30, 2015
    • Accounts · 4,880 to 10,107
      Aug 26, 2014 to Sep 30, 2014
    • Advisory employees · 167 to 173
      Aug 26, 2014 to Sep 30, 2014
    • BD registered reps · 195 to 185
      Aug 26, 2014 to Sep 30, 2014
    • Commission compensation · true to false
      Aug 26, 2014 to Sep 30, 2014
    • Employees · 214 to 191
      Aug 26, 2014 to Sep 30, 2014
    • Insurance-licensed employees · 20 to 25
      Aug 26, 2014 to Sep 30, 2014
    • Financial planning clients · 51-100 to 101-250
      Aug 26, 2014 to Sep 30, 2014
    • State-registered IARs · 20 to 191
      Aug 26, 2014 to Sep 30, 2014
    • Discretionary RAUM · $1.0B to $1.3B
      Aug 26, 2014 to Sep 30, 2014
    • Non-discretionary RAUM · $234M to $583M
      Aug 26, 2014 to Sep 30, 2014
    • RAUM · $1.3B to $1.8B
      Aug 26, 2014 to Sep 30, 2014
    • Accounts · 6,609 to 4,880
      Sep 4, 2013 to Sep 28, 2013
    • Advisory employees · 10 to 167
      Sep 4, 2013 to Sep 28, 2013
    • BD registered reps · 8 to 195
      Sep 4, 2013 to Sep 28, 2013
    • Employees · 10 to 214
      Sep 4, 2013 to Sep 28, 2013
    • Insurance-licensed employees · 0 to 20
      Sep 4, 2013 to Sep 28, 2013
    • State-registered IARs · 8 to 20
      Sep 4, 2013 to Sep 28, 2013
    • Discretionary RAUM · $952M to $1.0B
      Sep 4, 2013 to Sep 28, 2013
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026