DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•••••• C••••••

Independent wealth managerCRD 128227SEC 801-132164websiteIAPD
Legal name R•••••• C•••••• I•••
Latest filing Jun 1, 2026
First filing on the tape May 19, 2025 · 4 filings
SEC status approved since May 21, 2025
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$150M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$151M as of Jun 1, 2026
May 19, 2025$128M then
HNW client RAUM$146M as of Jun 1, 2026
May 19, 2025$124M then
State-registered IARs (5.B.3)2 as of Jun 1, 2026
May 19, 20252 then
Employees (5.A)3 as of Jun 1, 2026
May 19, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 1, 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
$75.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$634,100derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$146M97%
  • Individuals$4.0M2.7%
  • Corporations and businesses$917,2280.6%
Individual clients
20reported
HNW clients
42reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
238reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• S•••••• R••••••Certified Financial PlannerBellaire, TxSep 19, 200338 y1
R••••• S••••• R••••••Bellaire, TxMar 12, 202512 y0
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••••• R•••••• S•••••• · President, Chief Compliance Officercontrol
      since 07/2003 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Bellaire, Tx200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 188 to 238
      May 19, 2025 to Mar 31, 2026
    • Corporate clients · unset to 1.0
      May 19, 2025 to Mar 31, 2026
    • HNW clients · 40 to 42
      May 19, 2025 to Mar 31, 2026
    • Individual clients · 17 to 20
      May 19, 2025 to Mar 31, 2026
    • Discretionary RAUM · $128M to $151M
      May 19, 2025 to Mar 31, 2026
    • HNW RAUM · $124M to $146M
      May 19, 2025 to Mar 31, 2026
    • Individual RAUM · $3.4M to $4.0M
      May 19, 2025 to Mar 31, 2026
    • RAUM · $128M to $151M
      May 19, 2025 to Mar 31, 2026
    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 email
    r•••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    713-838-8383reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    R••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    713.838.8383reportedpublic record, Form ADV, Jun 1, 2026
    Contact form
    r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
    $75.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026