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
H••••••• F•••••••• P•••••••
Legal name H•• W••••• M••••••••• L••
Latest filing Feb 11, 2025
First filing on the tape Sep 9, 2014 · 26 filings
SEC status approved since Oct 3, 2014
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$315M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$315M as of Feb 11, 2025
Jan 2, 2015$123M then
HNW client RAUM$265M as of Feb 11, 2025
Mar 8, 2018$165M then
State-registered IARs (5.B.3)5 as of Feb 11, 2025
Jan 2, 20153 then
Employees (5.A)5 as of Feb 11, 2025
Jan 2, 20155 then
Private funds: no history
RAUM +12% over the last fiscal year+6.3% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 11, 2025; every figure names its basis
- RAUM per advisor
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $532,268derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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$265M84%
- Individuals$50.4M16%
- Individual clients
- 83reported
- HNW clients
- 83reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 592reported
- Financial planning clients
- 101-250reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- S••••• L•• B••••••••• to B••••• P••••• A•••••••• L••Dec 12, 2025 · RIA to RIA
- M••• S••••• C••••••• to B••••• P••••• A•••••••• L••Dec 12, 2025 · RIA to RIA
- C••• A••• S•••• to B••••• P••••• A•••••••• L••Jul 18, 2025 · RIA to RIA
- A•••••• G• G••••• to B••••• P••••• A•••••••• L••Jul 18, 2025 · RIA to RIA
- P••• R••• S••••••• to G••••••••• W••••• A•••••••Sep 20, 2018 · Other
Joined, latest
- A•••••• G• G••••• from H••••• F•••••••• S•••••••• L•••Aug 28, 2014 · Other
- P••• R••• S••••••• from G••••••••• W••••• A•••••••Aug 31, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••• P••••• A•••••••• L••Jul 18, 2025 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• S•••••• L•• · Managing Membercontrolsince 05/2004 · owns less than 5%
- B••••••••• S•••••• L•• · Managing Membercontrolsince 01/2023 · owns 75% or more of L•••••• I••••••••• L••
- C•••••••• M•••• S••••• · Chief Compliance Officersince 01/2022 · owns less than 5%
Entity owners
- L•••••• I••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- W••••• A••••••• T•••• C••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 0 | 0 | 1 | ||
| Melbourne, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Grapevine, TX3 employees
- Plano, TX3 employees
What changed
consecutive filings, newest first
- Accounts · 533 to 592Mar 5, 2024 to Feb 11, 2025
- HNW clients · 78 to 83Mar 5, 2024 to Feb 11, 2025
- Individual clients · 78 to 83Mar 5, 2024 to Feb 11, 2025
- Employees · 7 to 5Mar 5, 2024 to Feb 11, 2025
- Financial planning clients · 101-250 to 101-250Mar 5, 2024 to Feb 11, 2025
- Discretionary RAUM · $281M to $315MMar 5, 2024 to Feb 11, 2025
- HNW RAUM · $236M to $265MMar 5, 2024 to Feb 11, 2025
- Individual RAUM · $44.7M to $50.4MMar 5, 2024 to Feb 11, 2025
- RAUM · $281M to $315MMar 5, 2024 to Feb 11, 2025
- Accounts · 511 to 533Nov 14, 2023 to Mar 5, 2024
- Charity clients · unset to 0.0Nov 14, 2023 to Mar 5, 2024
- Corporate clients · unset to 0.0Nov 14, 2023 to Mar 5, 2024
- HNW clients · 68 to 78Nov 14, 2023 to Mar 5, 2024
- Individual clients · 89 to 78Nov 14, 2023 to Mar 5, 2024
- Pension plan clients · unset to 0.0Nov 14, 2023 to Mar 5, 2024
- Pooled vehicle clients · unset to 0.0Nov 14, 2023 to Mar 5, 2024
- Employees · 5 to 7Nov 14, 2023 to Mar 5, 2024
- Discretionary RAUM · $239M to $281MNov 14, 2023 to Mar 5, 2024
- HNW RAUM · $192M to $236MNov 14, 2023 to Mar 5, 2024
- Individual RAUM · $47.2M to $44.7MNov 14, 2023 to Mar 5, 2024
- Pension RAUM · unset to 0.0Nov 14, 2023 to Mar 5, 2024
- Pooled vehicle RAUM · unset to 0.0Nov 14, 2023 to Mar 5, 2024
- RAUM · $239M to $281MNov 14, 2023 to Mar 5, 2024
- Other offices · 4 to 2Mar 20, 2023 to Nov 14, 2023
- Accounts · 504 to 511Dec 13, 2022 to Mar 3, 2023
- Advisory employees · 4 to 5Dec 13, 2022 to Mar 3, 2023
- HNW clients · 113 to 68Dec 13, 2022 to Mar 3, 2023
- Individual clients · 25 to 89Dec 13, 2022 to Mar 3, 2023
- Employees · 4 to 5Dec 13, 2022 to Mar 3, 2023
- State-registered IARs · 4 to 5Dec 13, 2022 to Mar 3, 2023
- Discretionary RAUM · $262M to $239MDec 13, 2022 to Mar 3, 2023
- HNW RAUM · $252M to $192MDec 13, 2022 to Mar 3, 2023
- Individual RAUM · $11.0M to $47.2MDec 13, 2022 to Mar 3, 2023
- RAUM · $262M to $239MDec 13, 2022 to Mar 3, 2023
- Accounts · 532 to 504Jan 12, 2022 to Mar 16, 2022
- Charity clients · 1.0 to unsetJan 12, 2022 to Mar 16, 2022
- HNW clients · 109 to 113Jan 12, 2022 to Mar 16, 2022
- Individual clients · 29 to 25Jan 12, 2022 to Mar 16, 2022
- Discretionary RAUM · $218M to $262MJan 12, 2022 to Mar 16, 2022
- HNW RAUM · $207M to $252MJan 12, 2022 to Mar 16, 2022
Signals
8 dated events
- H••••••• F•••••••• P••••••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $315.1M)Jan 2, 2026 · Left the SEC roster · derived
- S••••• L•• B••••••••• left H••••••• F•••••••• P••••••• for B••••• P••••• A•••••••• L•• (registered 2025-07-20)Dec 12, 2025 · Advisor changed firm · fact
- M••• S••••• C••••••• left H••••••• F•••••••• P••••••• for B••••• P••••• A•••••••• L•• (registered 2025-07-20)Dec 12, 2025 · Advisor changed firm · fact
- A•••••• G• G••••• left H••••••• F•••••••• P••••••• for B••••• P••••• A•••••••• L•• (registered 2025-07-20)Jul 18, 2025 · Advisor changed firm · fact
- C••• A••• S•••• left H••••••• F•••••••• P••••••• for B••••• P••••• A•••••••• L•• (registered 2025-07-20)Jul 18, 2025 · Advisor changed firm · fact
- 2 advisors left H••••••• F•••••••• P••••••• (Dallas, TX) for B••••• P••••• A•••••••• L•• on the same dayJul 18, 2025 · Team lift-out · derived
- H••••••• F•••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 2, 2015 · Succession (Item 4) · fact
- H••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Sep 9, 2014 · 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.
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