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.
SEC-registered adviser
Westpark Wealth Advisors, Inc.
Latest filing Mar 27, 2026
First filing on the tape Dec 9, 2011 · 49 filings
SEC status approved since Apr 28, 2004
RAUM
$254M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
96%
$244M individuals and HNW
Advisors
26
registered through the firm on IAPD
RAUM per advisor
$9.8M
derived; firm RAUM over IAPD count
Employees
25
25 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$254M as of Mar 27, 2026
Mar 28, 2012$70.1M then
HNW client RAUM$43.2M as of Mar 27, 2026
Mar 30, 2018$29.1M then
State-registered IARs (5.B.3)25 as of Mar 27, 2026
Mar 28, 20120 then
Employees (5.A)25 as of Mar 27, 2026
Mar 27, 201365 then
Private funds: no history
RAUM +11% over the last fiscal year+5.0% a year over threeIARs 27 to 25offices 10 to 9
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $9.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $514,692derivedHNW RAUM over HNW clients
- Average account
- $329,002derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%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
- 2.6derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.4%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $58.5MreportedItem 5.I
- 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
- Individuals$201M79%
- High-net-worth individuals$43.2M17%
- Corporations and businesses$10.2M4.0%
- Individual clients
- 653reported
- HNW clients
- 84reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 773reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $58.5M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=22.0derived
Advisors registered through the firm
26 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Peter Timothy Fitzgerald | Houston, Tx | May 12, 2004 | 35 y | 1 |
| Joseph Charles AllisonCertified Financial Planner, Chartered Financial Consultant | Houston, Tx | May 12, 2004 | 30 y | 2 |
| Dean Alan HarveyCertified Financial Planner | Houston, Tx | May 12, 2004 | 28 y | 1 |
| Christopher David GammonCertified Financial Planner | Houston, Tx | May 13, 2004 | 33 y | 1 |
| Jeffrey Gordon Riley | Houston, Tx | May 13, 2004 | 32 y | 1 |
| Stacey Lee Rognon | Houston, Tx | May 13, 2004 | 26 y | 2 |
| Danny Harold Armstrong | Comanche, Tx | May 14, 2004 | 34 y | 1 |
| Melvin Howell EhlertChartered Financial Consultant | Houston, Tx | Mar 22, 2005 | 43 y | 1 |
| Michael J Spears | Houston, Tx | Jan 19, 2006 | 24 y | 0 |
| Justin Lee Smith | Houston, Tx | Jan 3, 2007 | 21 y | 1 |
| Magdalena Beatriz Santos | Houston, Tx | Feb 14, 2008 | 24 y | 0 |
| Cody Cliff Bauer | Winnie, Tx | May 2, 2008 | 20 y | 0 |
| Andrea Kaye FreedmanCertified Financial Planner | Bellaire, Tx | Mar 18, 2009 | 33 y | 2 |
| Brent Smith Simmons | Houston, Tx | Sep 2, 2011 | 39 y | 2 |
| James Janghwan KimCertified Financial Planner, Personal Financial Specialist | Corpus Christi, Tx | Apr 16, 2012 | 14 y | 0 |
| Michael Anthony PetterChartered Financial Consultant | San Antonio, Tx | Jan 28, 2013 | 30 y | 0 |
| David Scott Coffee | Houston, Tx | Mar 26, 2014 | 28 y | 4 |
| Kiran Naginbhai Patel | Arlington, Tx | Jan 4, 2016 | 20 y | 3 |
| Ronald Charles BucchiCertified Financial Planner | Houston, Tx | Jan 12, 2016 | 40 y | 0 |
| Joshua Steven KirbyCertified Financial Planner | Houston, Tx | Jun 28, 2016 | 11 y | 0 |
| Barbara Cole Derusha | Houston, Tx | Apr 2, 2018 | 21 y | 0 |
| Nathan Johns IrbyCertified Financial Planner | Baton Rouge, La | Jan 2, 2019 | 12 y | 1 |
| Craig Loran Sims | Giddings, Tx | Mar 13, 2019 | 31 y | 0 |
| Leonard Heinrich Claus | Houston, Tx | Nov 5, 2019 | 32 y | 0 |
| Fredrick Lee Jackson | Houston, Tx | Feb 3, 2020 | 26 y | 0 |
| Peter Grey Trammell | Houston, Tx | Feb 19, 2026 | 33 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.8% of current headcount1 left over 36 months
Left, latest
- Steven W Shirley to LPL Financial LLCOct 18, 2025 · RIA to affiliated broker-dealer or bank
- James Robert Davis to Hill Country GroupMar 13, 2020 · RIA to RIA
- Gregory Michael Rickert to Hill Country GroupMar 13, 2020 · RIA to RIA
- J Taylor Laing Davis to Hill Country GroupMar 13, 2020 · RIA to RIA
- Michael Wilson Allen to Frost Investment ServicesDec 31, 2018 · RIA to affiliated broker-dealer or bank
- Kristopher Forest Etter to Beacon Financial Planners, IncDec 11, 2018 · RIA to a state-registered adviser
- Leigh West Zachary to Independent Financial Group, LLCSep 18, 2018 · RIA to affiliated broker-dealer or bank
- David Henry Portnoy to Upspring Capital LLCFeb 9, 2018 · Other
- Dennis Brock Ashby to Momentum Independent Network Inc.Jan 2, 2018 · Other
- Joshua William Patterson to Avidian Wealth SolutionsDec 31, 2017 · Other
- Patrick Thayne Williams to St. Bernard Financial Services, Inc.Dec 3, 2017 · Other
- Ronald Lynn Gay to Cambridge Investment Research Advisors, Inc.Nov 29, 2017 · Other
- Mario Alberto Gutierrez to LPL Financial LLCNov 22, 2017 · Other
- Biniam Keleta to Westcenter Advisors LtdNov 16, 2017 · Other
- James Patton Webb to Rhame & Gorrell Wealth ManagementNov 9, 2017 · Other
Joined, latest
- J Taylor Laing Davis from Equitable Advisors, LLCMar 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- Nathan Johns Irby from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 2, 2019 · Wirehouse to independent RIA
- Michael Wilson Allen from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 11, 2018 · Wirehouse to independent RIA
- Biniam Keleta from SpcOct 27, 2016 · Other
- Patrick Dennis Combs from Morgan StanleyMar 14, 2016 · Other
- Kiran Naginbhai Patel from Cetera Advisors LLCJan 4, 2016 · Other
- Lester Dearl Butler from Cambridge Investment Research Advisors, Inc.May 7, 2015 · Other
- Kenneth Sloan Gunter from Metlife Investment Fund Services LLCJul 8, 2014 · Other
- Melanie Null from Modern Capital Advisors, LLCApr 23, 2014 · Other
- James Neal Turner from Wfg Advisors, LPApr 21, 2014 · Other
- David Scott Coffee from Fox Wealth Advisors LLCMar 26, 2014 · Other
- James Robert Davis from Eagle Strategies LLCOct 4, 2013 · Other
- Gregory Michael Rickert from Eagle Strategies LLCOct 4, 2013 · Other
- James Patton Webb from First Independent Advisory Services, Inc.Feb 13, 2013 · Other
- Robert David Bourland from Hilltop Securities Inc.Feb 1, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Hill Country GroupMar 13, 2020 · Houston, Tx
- 2 left for LPL Financial LLCAug 15, 2016 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- David Christopher Gammon · Chief Executive Officer/Chief Financial Officer/Chief Compliance Officercontrolsince 01/2000 · owns 75% or more
Related persons
Schedule D 7.A
- Ims Insurance Agency, Inc.real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 25 | 1 | 0 | ||
| Brenham, Tx | 2 | 0 | 0 | ||
| Friendswood, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Angleton, TX1 employees
- Bay City, TX1 employees
- Brenham, TX1 employees
- Corpus Christi, TX1 employees
- Dallas, TX1 employees
- Friendswood, TX1 employees
- Giddings, TX1 employees
- San Antonio, TX1 employees
- Winnie, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 700 to 773Mar 29, 2025 to Mar 27, 2026
- Advisory employees · 27 to 25Mar 29, 2025 to Mar 27, 2026
- BD registered reps · 24 to 22Mar 29, 2025 to Mar 27, 2026
- Corporate clients · 27 to 39Mar 29, 2025 to Mar 27, 2026
- HNW clients · 79 to 84Mar 29, 2025 to Mar 27, 2026
- Individual clients · 594 to 653Mar 29, 2025 to Mar 27, 2026
- Employees · 27 to 25Mar 29, 2025 to Mar 27, 2026
- State-registered IARs · 27 to 25Mar 29, 2025 to Mar 27, 2026
- Other offices · 10 to 9Mar 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $90.1M to $99.2MMar 29, 2025 to Mar 27, 2026
- HNW RAUM · $35.8M to $43.2MMar 29, 2025 to Mar 27, 2026
- Individual RAUM · $181M to $201MMar 29, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $139M to $155MMar 29, 2025 to Mar 27, 2026
- RAUM · $229M to $254MMar 29, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · $54.1M to $58.5MMar 29, 2025 to Mar 27, 2026
- Accounts · 942 to 700Dec 6, 2024 to Mar 29, 2025
- Advisory employees · 30 to 27Dec 6, 2024 to Mar 29, 2025
- BD registered reps · 26 to 24Dec 6, 2024 to Mar 29, 2025
- Corporate clients · 32 to 27Dec 6, 2024 to Mar 29, 2025
- Individual clients · 581 to 594Dec 6, 2024 to Mar 29, 2025
- Employees · 30 to 27Dec 6, 2024 to Mar 29, 2025
- Financial planning clients · 51-100 to 51-100Dec 6, 2024 to Mar 29, 2025
- State-registered IARs · 30 to 27Dec 6, 2024 to Mar 29, 2025
- Discretionary RAUM · $96.0M to $90.1MDec 6, 2024 to Mar 29, 2025
- HNW RAUM · $30.2M to $35.8MDec 6, 2024 to Mar 29, 2025
- Individual RAUM · $231M to $181MDec 6, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $178M to $139MDec 6, 2024 to Mar 29, 2025
- RAUM · $274M to $229MDec 6, 2024 to Mar 29, 2025
- Advisory employees · 31 to 30Sep 23, 2024 to Sep 24, 2024
- BD registered reps · 27 to 26Sep 23, 2024 to Sep 24, 2024
- Employees · 31 to 30Sep 23, 2024 to Sep 24, 2024
- State-registered IARs · 31 to 30Sep 23, 2024 to Sep 24, 2024
- Accounts · 936 to 942Mar 22, 2024 to Mar 28, 2024
- Advisory employees · 32 to 31Mar 22, 2024 to Mar 28, 2024
- BD registered reps · 28 to 27Mar 22, 2024 to Mar 28, 2024
- Corporate clients · 30 to 32Mar 22, 2024 to Mar 28, 2024
- HNW clients · 72 to 79Mar 22, 2024 to Mar 28, 2024
- Individual clients · 569 to 581Mar 22, 2024 to Mar 28, 2024
- Employees · 32 to 31Mar 22, 2024 to Mar 28, 2024
- State-registered IARs · 32 to 31Mar 22, 2024 to Mar 28, 2024
Signals
4 dated events
- Steven W Shirley left Westpark Wealth Advisors, Inc. for Lpl Financial Llc (registered 2025-10-17)Oct 18, 2025 · Advisor changed firm · fact
- Westpark Wealth Advisors, Inc. reported 11 offices beyond its principal office, down from 20 (2019-02-08 to 2019-03-29)Mar 29, 2019 · Office count change · derived
- Westpark Wealth Advisors, Inc. reported RAUM $204.4M, up 181% from $72.7M (2019-02-08 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Westpark Wealth Advisors, Inc. reported 42 state-registered advisory representatives, down from 57 (2017-05-01 to 2018-03-01)Mar 1, 2018 · Advisor headcount 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
- Business phone
- 713-266-2993reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-266-2997reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- westparkwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 713-266-2993reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- westparkwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- westparkwealth.com/meet-the-teamreportedpublished 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
- $9.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026