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
N•• C•••••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2012 · 23 filings
SEC status approved since Jul 9, 2004
RAUM
$534M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$526M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$534M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$534M as of Mar 30, 2026
Mar 27, 2012$145M then
HNW client RAUM$507M as of Mar 30, 2026
Mar 31, 2018$271M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Apr 1, 20131 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $534MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 126derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $686,652derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%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 advisers, publications, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$507M95%
- Individuals$19.6M3.7%
- Charitable organizations$5.5M1.0%
- Corporations and businesses$1.8M0.3%
- Individual clients
- 36reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 777reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• M•••••• G••••Chartered Financial Analyst | Houston, Tx | Mar 1, 2022 | 29 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• L••••••• M•••••• · Limited Partner/Chief Compliance Officercontrolsince 05/2004 · owns 75% or more
- G••••• L••••••• M•••••• · Manager And Membercontrolsince 05/2004 · owns 75% or more of S•••••• A•••••••• L••
Entity owners
- S•••••• A•••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 742 to 777Mar 26, 2025 to Mar 30, 2026
- Charity clients · 4 to 2Mar 26, 2025 to Mar 30, 2026
- HNW clients · 80 to 90Mar 26, 2025 to Mar 30, 2026
- Individual clients · 40 to 36Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $452M to $521MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $426M to $507MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $22.1M to $19.6MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $14.0M to $13.0MMar 26, 2025 to Mar 30, 2026
- RAUM · $466M to $534MMar 26, 2025 to Mar 30, 2026
- Accounts · 111 to 742May 28, 2024 to Mar 26, 2025
- Advisory employees · 1 to 2May 28, 2024 to Mar 26, 2025
- Advisory activities · 6 to 7May 28, 2024 to Mar 26, 2025
- Charity clients · unset to 4.0May 28, 2024 to Mar 26, 2025
- HNW clients · 81 to 80May 28, 2024 to Mar 26, 2025
- Individual clients · 28 to 40May 28, 2024 to Mar 26, 2025
- Employees · 4 to 5May 28, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100May 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $403M to $452MMay 28, 2024 to Mar 26, 2025
- HNW RAUM · $399M to $426MMay 28, 2024 to Mar 26, 2025
- Individual RAUM · $15.6M to $22.1MMay 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $12.7M to $14.0MMay 28, 2024 to Mar 26, 2025
- RAUM · $416M to $466MMay 28, 2024 to Mar 26, 2025
- Accounts · 109 to 111Apr 21, 2023 to Mar 26, 2024
- HNW clients · 76 to 81Apr 21, 2023 to Mar 26, 2024
- Individual clients · 31 to 28Apr 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $341M to $403MApr 21, 2023 to Mar 26, 2024
- HNW RAUM · $336M to $399MApr 21, 2023 to Mar 26, 2024
- Individual RAUM · $16.5M to $15.6MApr 21, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $12.1M to $12.7MApr 21, 2023 to Mar 26, 2024
- RAUM · $353M to $416MApr 21, 2023 to Mar 26, 2024
- Accounts · 99 to 109Mar 31, 2022 to Mar 31, 2023
- HNW clients · 80 to 76Mar 31, 2022 to Mar 31, 2023
- Individual clients · 17 to 31Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $369M to $341MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $368M to $336MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $13.7M to $16.5MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $14.0M to $12.1MMar 31, 2022 to Mar 31, 2023
- RAUM · $383M to $353MMar 31, 2022 to Mar 31, 2023
- Accounts · 96 to 99Mar 31, 2021 to Mar 31, 2022
- HNW clients · 75 to 80Mar 31, 2021 to Mar 31, 2022
Signals
1 dated events
- N•• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 30, 2019 · 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
- i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-874-1444reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-997-9575reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-874-1444reportedpublic record, Form ADV, Mar 30, 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
- $534Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026