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
P•••• P•••• A•••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Mar 24, 2024 · 4 filings
SEC status approved since Apr 25, 2024
RAUM
$142M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.8M
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$142M as of Feb 13, 2026
Mar 24, 2025$131M then
HNW client RAUM$102M as of Feb 13, 2026
Mar 24, 2025$95.8M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Mar 24, 20252 then
Employees (5.A)3 as of Feb 13, 2026
Mar 24, 20253 then
Private funds: no history
RAUM +8.1% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $70.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $464,498derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$102M72%
- Individuals$40.0M28%
- Corporations and businesses$3,0350.0%
- Individual clients
- 63reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 305reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• G•••• | Bellaire, Tx | May 20, 2004 | 22 y | 0 |
| M••• B••••••• S••••••••Certified Financial Planner | Bellaire, Tx | May 28, 2004 | 38 y | 1 |
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
- T••••• L••••••• B•••• to R• C••••••• L••Oct 5, 2011 · Other
Joined, latest
- M••• B••••••• S•••••••• from R•• C•••••• M••••••• L••May 28, 2004 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M••••• · Managing Member/Ceo/Ccocontrolsince 03/2004 · owns 50% to 75%
- S••••••••• M•••• B••••••• · Member/Compliance Officercontrolsince 05/2004 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bellaire, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 301 to 305Mar 24, 2025 to Feb 13, 2026
- HNW clients · 29 to 27Mar 24, 2025 to Feb 13, 2026
- Individual clients · 61 to 63Mar 24, 2025 to Feb 13, 2026
- Discretionary RAUM · $130M to $139MMar 24, 2025 to Feb 13, 2026
- HNW RAUM · $95.8M to $102MMar 24, 2025 to Feb 13, 2026
- Individual RAUM · $35.3M to $40.0MMar 24, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $971,798 to $2.9MMar 24, 2025 to Feb 13, 2026
- RAUM · $131M to $142MMar 24, 2025 to Feb 13, 2026
- Accounts · 303 to 301Mar 25, 2024 to Mar 24, 2025
- Individual clients · 57 to 61Mar 25, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $121M to $130MMar 25, 2024 to Mar 24, 2025
- HNW RAUM · $87.6M to $95.8MMar 25, 2024 to Mar 24, 2025
- Individual RAUM · $33.0M to $35.3MMar 25, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $0 to $971,798Mar 25, 2024 to Mar 24, 2025
- RAUM · $121M to $131MMar 25, 2024 to Mar 24, 2025
Signals
1 dated events
- P•••• P•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 2024 · First SEC registration · 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@pivotpointadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-715-7000reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pivotpointadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-715-7000reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- pivotpointadvisors.com:443/Contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- pivotpointadvisors.com:443/Biosreportedpublished 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
- $70.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026