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•••••• F••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Apr 2, 2012 · 25 filings
SEC status approved since Jan 3, 2005
RAUM
$757M
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
100%
$754M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$379M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$757M as of Mar 24, 2026
Apr 2, 2012$900M then
HNW client RAUM$730M as of Mar 24, 2026
Mar 27, 2018$1.0B then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Apr 2, 20120 then
Employees (5.A)8 as of Mar 24, 2026
Apr 2, 20138 then
Private funds: no history
RAUM +8.0% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $379MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$730M96%
- Individuals$23.8M3.1%
- Pension and profit-sharing plans$3.5M0.5%
- Individual clients
- 19reported
- HNW clients
- 68reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 703reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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 |
|---|---|---|---|---|
| B••••• F••• C••••••• | Dallas, Tx | Feb 2, 2005 | 32 y | 1 |
| O••••• S•••• K••••••••Chartered Financial Analyst | Dallas, Tx | Jul 28, 2026 | 12 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
- D•••• L••• B•••• to B•••• F•••••••• M••••••••• I•• D•• F•••••••• S••••••••• G••••Nov 29, 2006 · Other
Joined, latest
- B••••• F••• C••••••• from G•••••• S•••• W••••• S•••••••• L•••Feb 2, 2005 · Other
- D•••• L••• B•••• from E•••• • Y•••• I••••••••• A••••••• L••Jan 3, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• B•••••• F••• · Managing Director / Ccocontrolsince 01/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 674 to 703Mar 7, 2025 to Mar 24, 2026
- Advisory employees · 6 to 7Mar 7, 2025 to Mar 24, 2026
- Charity clients · unset to 0.0Mar 7, 2025 to Mar 24, 2026
- Corporate clients · unset to 0.0Mar 7, 2025 to Mar 24, 2026
- HNW clients · 69 to 68Mar 7, 2025 to Mar 24, 2026
- Pooled vehicle clients · unset to 0.0Mar 7, 2025 to Mar 24, 2026
- Employees · 7 to 8Mar 7, 2025 to Mar 24, 2026
- Discretionary RAUM · $244M to $271MMar 7, 2025 to Mar 24, 2026
- HNW RAUM · $676M to $730MMar 7, 2025 to Mar 24, 2026
- Individual RAUM · $22.6M to $23.8MMar 7, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $457M to $486MMar 7, 2025 to Mar 24, 2026
- Pension RAUM · $3.0M to $3.5MMar 7, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 7, 2025 to Mar 24, 2026
- RAUM · $701M to $757MMar 7, 2025 to Mar 24, 2026
- Accounts · 585 to 674Mar 14, 2024 to Mar 7, 2025
- HNW clients · 40 to 69Mar 14, 2024 to Mar 7, 2025
- Individual clients · 43 to 19Mar 14, 2024 to Mar 7, 2025
- Pension plan clients · unset to 1.0Mar 14, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Mar 14, 2024 to Mar 7, 2025
- Discretionary RAUM · $202M to $244MMar 14, 2024 to Mar 7, 2025
- HNW RAUM · $594M to $676MMar 14, 2024 to Mar 7, 2025
- Individual RAUM · $22.6M to $22.6MMar 14, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $417M to $457MMar 14, 2024 to Mar 7, 2025
- Pension RAUM · $2.5M to $3.0MMar 14, 2024 to Mar 7, 2025
- RAUM · $620M to $701MMar 14, 2024 to Mar 7, 2025
- Accounts · 486 to 585Mar 24, 2023 to Mar 14, 2024
- HNW clients · 28 to 40Mar 24, 2023 to Mar 14, 2024
- Individual clients · 42 to 43Mar 24, 2023 to Mar 14, 2024
- Discretionary RAUM · $132M to $202MMar 24, 2023 to Mar 14, 2024
- HNW RAUM · $375M to $594MMar 24, 2023 to Mar 14, 2024
- Individual RAUM · $134M to $22.6MMar 24, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $380M to $417MMar 24, 2023 to Mar 14, 2024
- Pension RAUM · $2.1M to $2.5MMar 24, 2023 to Mar 14, 2024
- RAUM · $511M to $620MMar 24, 2023 to Mar 14, 2024
- Accounts · 423 to 486Nov 22, 2022 to Mar 24, 2023
- Advisory employees · 7 to 6Nov 22, 2022 to Mar 24, 2023
- HNW clients · 42 to 28Nov 22, 2022 to Mar 24, 2023
- Individual clients · 62 to 42Nov 22, 2022 to Mar 24, 2023
- Employees · 8 to 7Nov 22, 2022 to Mar 24, 2023
- Financial planning clients · 101-250 to 51-100Nov 22, 2022 to Mar 24, 2023
Signals
1 dated events
- P•••••• F••••••••• I••• reported RAUM $543.3M, down 70% from $1.8B (2021-08-13 to 2021-11-15)Nov 15, 2021 · RAUM 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
- 214-378-7400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 214-378-7402reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/paratus-financial-inc-/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-378-7400reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- paratusfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- paratusfinancial.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
- $379Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026