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
R••••••••• A•••••••• L••
Latest filing Aug 24, 2026
First filing on the tape Mar 28, 2012 · 33 filings
SEC status approved since Feb 12, 2004
RAUM
$641M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$620M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$641M as of Aug 24, 2026
Mar 28, 2012$108M then
HNW client RAUM$582M as of Aug 24, 2026
Mar 7, 2018$119M then
State-registered IARs (5.B.3)3 as of Aug 24, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Aug 24, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +64% over the last fiscal year+32% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 24, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +64%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $308M, 36 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$582M91%
- Individuals$37.7M5.9%
- Corporations and businesses$20.7M3.2%
- Charitable organizations$342,8840.1%
- Individual clients
- 83reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 537reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $308M for 36 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• J••• L••••••Chartered Financial Analyst | New Braunfels, Tx | Mar 19, 2004 | 33 y | 1 |
| J••• A•••••••• H•••••Chartered Financial Analyst | Atlanta, Ga | Oct 8, 2015 | 14 y | 0 |
| M•••••• S••••••• W••••••• | New Braunfels, Tx | Jul 24, 2023 | 10 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
none on the tape
Joined, latest
- L••••• J••• L•••••• from M•••• W••••••• • C•• I•••Mar 19, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• L•••••• J••• · President And Co-Chief Investment Officercontrolsince 03/2004 · owns 75% or more
- H•••••• J•••• A•••••••• · Chief Compliance Officer And Co-Chief Investment Officersince 09/2015 · 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 |
|---|---|---|---|---|---|
| New Braunfels, Tx | 3 | 0 | 0 | ||
| Atlanta, Ga | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 18, 2026RAUM (Item 5.F) moved from $390,163,096 to $640,943,431 (+64.0%) between the annual amendments of 2025-03-10 and 2026-03-18; the peer median change was +16.0% (1385 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 95% percentile
What changed
consecutive filings, newest first
- State-registered IARs · 4 to 3Jun 10, 2026 to Aug 24, 2026
- Accounts · 461 to 537Sep 9, 2025 to Mar 18, 2026
- Advisory activities · 3 to 4Sep 9, 2025 to Mar 18, 2026
- HNW clients · 77 to 84Sep 9, 2025 to Mar 18, 2026
- Individual clients · 76 to 83Sep 9, 2025 to Mar 18, 2026
- Assets in custody · $116M to $308MSep 9, 2025 to Mar 18, 2026
- Employees · 4 to 5Sep 9, 2025 to Mar 18, 2026
- Discretionary RAUM · $390M to $641MSep 9, 2025 to Mar 18, 2026
- HNW RAUM · $341M to $582MSep 9, 2025 to Mar 18, 2026
- Individual RAUM · $30.7M to $37.7MSep 9, 2025 to Mar 18, 2026
- RAUM · $390M to $641MSep 9, 2025 to Mar 18, 2026
- Financial planning clients · 26-50 to 26-50Mar 10, 2025 to Jul 1, 2025
- Accounts · 418 to 461Mar 21, 2024 to Mar 10, 2025
- Advisory employees · 4 to 3Mar 21, 2024 to Mar 10, 2025
- HNW clients · 69 to 77Mar 21, 2024 to Mar 10, 2025
- Individual clients · 79 to 76Mar 21, 2024 to Mar 10, 2025
- Assets in custody · $103M to $116MMar 21, 2024 to Mar 10, 2025
- Financial planning clients · 11-25 to 26-50Mar 21, 2024 to Mar 10, 2025
- HQ city · unset to Mar 21, 2024 to Mar 10, 2025
- HQ state · unset to Mar 21, 2024 to Mar 10, 2025
- Discretionary RAUM · $329M to $390MMar 21, 2024 to Mar 10, 2025
- HNW RAUM · $283M to $341MMar 21, 2024 to Mar 10, 2025
- Individual RAUM · $29.5M to $30.7MMar 21, 2024 to Mar 10, 2025
- RAUM · $329M to $390MMar 21, 2024 to Mar 10, 2025
- Accounts · 379 to 418Nov 9, 2023 to Mar 21, 2024
- Advisory employees · 3 to 4Nov 9, 2023 to Mar 21, 2024
- HNW clients · 65 to 69Nov 9, 2023 to Mar 21, 2024
- Individual clients · 68 to 79Nov 9, 2023 to Mar 21, 2024
- Assets in custody · $81.7M to $103MNov 9, 2023 to Mar 21, 2024
- Employees · 3 to 4Nov 9, 2023 to Mar 21, 2024
- Financial planning clients · 1-10 to 11-25Nov 9, 2023 to Mar 21, 2024
- State-registered IARs · 3 to 4Nov 9, 2023 to Mar 21, 2024
- Discretionary RAUM · $281M to $329MNov 9, 2023 to Mar 21, 2024
- HNW RAUM · $243M to $283MNov 9, 2023 to Mar 21, 2024
- Individual RAUM · $21.7M to $29.5MNov 9, 2023 to Mar 21, 2024
- RAUM · $281M to $329MNov 9, 2023 to Mar 21, 2024
- Accounts · 330 to 379Mar 8, 2022 to Mar 20, 2023
- Corporate clients · 3.0 to unsetMar 8, 2022 to Mar 20, 2023
- HNW clients · 70 to 65Mar 8, 2022 to Mar 20, 2023
- Individual clients · 52 to 68Mar 8, 2022 to Mar 20, 2023
Signals
2 dated events
- R••••••••• A•••••••• L•• reported RAUM $640.9M, up 64% from $390.2M (2025-09-09 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- R••••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2013 · Succession (Item 4) · 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
- Business email
- info@riverstoneadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- klahey@riverstoneadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rhompson@riverstoneadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-905-7271reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 404-905-8656reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 470-307-4959reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914 722-1700reportedpublic record, Form ADV, Aug 24, 2026
- Team page
- RIVERSTONEADVISORS.COM/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026