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•••••• W••••• M••••••••• G••••
Legal name P•••••• W••••• M••••••••• G••••• I••
Latest filing Feb 5, 2026
First filing on the tape Jan 8, 2021 · 17 filings
SEC status approved since Feb 23, 2021
RAUM
$399M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$399M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$36.3M
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$399M as of Feb 5, 2026
Apr 29, 2022$155M then
HNW client RAUM$161M as of Feb 5, 2026
Apr 29, 2022$40.0M then
State-registered IARs (5.B.3)9 as of Feb 5, 2026
Apr 29, 20228 then
Employees (5.A)11 as of Feb 5, 2026
Apr 29, 20229 then
Private funds: no history
RAUM +46% over the last fiscal year+35% a year over threeIARs 10 to 9offices 2 to 3
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $36.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $240,787derivedRAUM 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
- 2.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Financial planning clients
- 647reportedItem 5.H
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$238M60%
- High-net-worth individuals$161M40%
- Individual clients
- 453reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,658reported
- Financial planning clients
- 647reported
- 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
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• T•••••••••Certified Financial Planner, Personal Financial Specialist | A•••••, Tx | Jan 30, 2009 | 24 y | 2 |
| C••••••••• J••••• C•••••••Certified Financial Planner, Chartered Financial Analyst | A•••••, Tx | Jun 27, 2013 | 15 y | 0 |
| I•• L•••••• T••••••Chartered Financial Consultant | A•••••, Tx | Aug 22, 2013 | 14 y | 0 |
| D••••• L••••• J•••••Certified Financial Planner | A•••••, Tx | Nov 15, 2017 | 13 y | 1 |
| N••••• M•••• R•••••Certified Financial Planner | A•••••, Tx | Jan 28, 2019 | 15 y | 1 |
| A•••••• J••• G•••••Certified Financial Planner | A•••••, Tx | Dec 2, 2020 | 14 y | 0 |
| A•••• B••••Certified Financial Planner, Personal Financial Specialist | Kingsport, Tn | Jun 3, 2021 | 21 y | 0 |
| S•••••• S•••• S••••••Certified Financial Planner | A•••••, Tx | Feb 10, 2023 | 10 y | 0 |
| A•••••• I•••• W••••••Certified Financial Planner | Albuquerque, Nm | Apr 17, 2024 | 11 y | 2 |
| I•• V••••• P••••• | A•••••, Tx | Dec 23, 2024 | 12 y | 0 |
| N•••••• L••••••• Y••••Certified Financial Planner | A•••••, Tx | Sep 1, 2026 | 13 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- N•••••• L••••••• Y•••• to M••• W••••• M••••••••• L••Jan 9, 2023 · RIA to RIA
Joined, latest
- N•••••• L••••••• Y•••• from A••••• W••••• M••••••••• L••Sep 1, 2026 · RIA to RIA
- A•••••• I•••• W•••••• from K••••• A••••••• S•••••••• L••Apr 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- N•••••• L••••••• Y•••• from H••••••• F•••••••• P••••••• L••Nov 16, 2022 · Other
- N••••• M•••• R••••• from M••••• S••••••Jan 28, 2019 · Wirehouse to independent RIA
- D••••• L••••• J••••• from A••••• A••••Nov 15, 2017 · Other
- M•••• T••••••••• from A••••••••• F•••••••• S•••••••• L••Feb 16, 2005 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• M•••• · Chief Executive Officercontrolsince 11/2004 · owns 75% or more
- R•••••• N•••••• M•••• · Chief Compliance Officersince 04/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| A•••••, Tx · principal | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kingsport, TN1 employees
- Plano, TX1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 5, 2026custody of client assets (Item 9.A): yes on the filing of 2025-11-21, no on the filing of 2026-02-05peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Feb 5, 2026RAUM (Item 5.F) moved from $273,652,645 to $399,224,017 (+46.0%) between the annual amendments of 2025-03-19 and 2026-02-05; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 1,618 to 1,658Nov 21, 2025 to Feb 5, 2026
- Individual clients · 396 to 453Nov 21, 2025 to Feb 5, 2026
- Assets in custody · $10.6M to $51.3MNov 21, 2025 to Feb 5, 2026
- Custody of client assets · true to falseNov 21, 2025 to Feb 5, 2026
- State-registered IARs · 10 to 9Nov 21, 2025 to Feb 5, 2026
- Discretionary RAUM · $240M to $399MNov 21, 2025 to Feb 5, 2026
- HNW RAUM · $115M to $161MNov 21, 2025 to Feb 5, 2026
- Individual RAUM · $159M to $238MNov 21, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $33.3M to $91,039Nov 21, 2025 to Feb 5, 2026
- RAUM · $274M to $399MNov 21, 2025 to Feb 5, 2026
- Other offices · 2 to 3Mar 19, 2025 to Nov 21, 2025
- Accounts · 1,195 to 1,618Feb 16, 2024 to Mar 19, 2025
- Advisory employees · 8 to 9Feb 16, 2024 to Mar 19, 2025
- Advisory activities · 4 to 3Feb 16, 2024 to Mar 19, 2025
- Assets in custody · unset to 10559330.0Feb 16, 2024 to Mar 19, 2025
- Custody of client assets · false to trueFeb 16, 2024 to Mar 19, 2025
- Employees · 8 to 11Feb 16, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to More than 500Feb 16, 2024 to Mar 19, 2025
- State-registered IARs · 8 to 10Feb 16, 2024 to Mar 19, 2025
- Discretionary RAUM · $215M to $240MFeb 16, 2024 to Mar 19, 2025
- HNW RAUM · $99.4M to $115MFeb 16, 2024 to Mar 19, 2025
- Individual RAUM · $115M to $159MFeb 16, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $0 to $33.3MFeb 16, 2024 to Mar 19, 2025
- RAUM · $215M to $274MFeb 16, 2024 to Mar 19, 2025
- Accounts · 1,442 to 1,195May 19, 2023 to Feb 16, 2024
- HNW clients · 18 to 46May 19, 2023 to Feb 16, 2024
- Individual clients · 304 to 396May 19, 2023 to Feb 16, 2024
- Assets in custody · 34897000.0 to unsetMay 19, 2023 to Feb 16, 2024
- Custody of client assets · true to falseMay 19, 2023 to Feb 16, 2024
- Discretionary RAUM · $156M to $215MMay 19, 2023 to Feb 16, 2024
- HNW RAUM · $46.8M to $99.4MMay 19, 2023 to Feb 16, 2024
- Individual RAUM · $114M to $115MMay 19, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $5.1M to $0May 19, 2023 to Feb 16, 2024
- RAUM · $161M to $215MMay 19, 2023 to Feb 16, 2024
- Accounts · 1,005 to 1,442Dec 14, 2022 to Feb 9, 2023
- Advisory employees · 9 to 8Dec 14, 2022 to Feb 9, 2023
- Business name · P•••••• W••••• M••••••••• G••••• I•• to P•••••• W••••• M••••••••• G••••Dec 14, 2022 to Feb 9, 2023
- HNW clients · 30 to 18Dec 14, 2022 to Feb 9, 2023
- Individual clients · 390 to 304Dec 14, 2022 to Feb 9, 2023
- Employees · 9 to 8Dec 14, 2022 to Feb 9, 2023
Signals
3 dated events
- P•••••• W••••• M••••••••• G•••• reported RAUM $399.2M, up 46% from $273.7M (2025-11-21 to 2026-02-05)Feb 5, 2026 · RAUM change · derived
- N•••••• L••••••• Y•••• left P•••••• W••••• M••••••••• G•••• for M••• W••••• M••••••••• L•• (registered 2023-02-02)Jan 9, 2023 · Advisor changed firm · fact
- P•••••• W••••• M••••••••• G••••• I•• filed its initial SEC registration (Form ADV)Jan 8, 2021 · 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 phone
- 512-334-6800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 423-300-6595reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 505-225-7572reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-334-6800reportedpublic record, Form ADV, Feb 5, 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
- $36.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026