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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••• W•••••
Legal name A•••• W•••••• L••
Latest filing Aug 27, 2026
First filing on the tape Feb 16, 2012 · 54 filings
SEC status approved since Jun 8, 2015
RAUM
$985M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$985M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$82.0M
derived; firm RAUM over IAPD count
Employees
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$985M as of Aug 27, 2026
Feb 16, 2012$56.9M then
HNW client RAUM$953M as of Aug 27, 2026
Mar 27, 2018$348M then
State-registered IARs (5.B.3)8 as of Aug 27, 2026
Feb 16, 20120 then
Employees (5.A)15 as of Aug 27, 2026
Mar 22, 20168 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 10 to 8
Practice profile
derived from the filing of Aug 27, 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
- RAUM per advisor
- $82.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $578,467derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$953M97%
- Individuals$31.6M3.2%
- Individual clients
- 31reported
- HNW clients
- 269reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,702reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• J•••• C••••••Certified Financial Planner | The Woodlands, Tx | May 31, 2005 | 28 y | 0 |
| E•••••••• A•• B•••• | The Woodlands, Tx | Jan 2, 2014 | 14 y | 0 |
| A••••• D•••••• S••••••Certified Financial Planner | The Woodlands, Tx | Jan 2, 2014 | 16 y | 2 |
| C••• H•••• C••••••••• | Columbus, Tx | Dec 23, 2014 | 29 y | 1 |
| S•••• E•••••••• M••••• | The Woodlands, Tx | Jan 16, 2015 | 12 y | 0 |
| M•••• W••• B••••••• | The Woodlands, Tx | Jul 11, 2021 | 11 y | 0 |
| C••••••••• J•••• M••••Certified Financial Planner | The Woodlands, Tx | Mar 29, 2023 | 17 y | 2 |
| J••• H• H••••• | Shenandoah, Tx | Jul 31, 2024 | 11 y | 0 |
| A••••• L••••• O•••• | The Woodlands, Tx | Oct 13, 2025 | 11 y | 2 |
| A•••••••• A••••••• | The Woodlands, Tx | Apr 13, 2026 | 12 y | 6 |
| A•••••• T•••••• D•••••••• | The Woodlands, Tx | May 12, 2026 | 11 y | 0 |
| K•••• V•••••• S••• | The Woodlands, Tx | Aug 11, 2026 | 11 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount4 left over 36 months
Left, latest
- M•••••• C••••••• W•••• to T••••• P••••••• P•••••••May 6, 2025 · RIA to a state-registered adviser
- A••••• H••••••• to W••••• J•••••• W•••••Sep 6, 2024 · RIA to RIA
- C••••• P••••• N••• to R•••• • G•••••• W••••• M•••••••••Nov 14, 2023 · RIA to RIA
- M•••••• D•••• K•••• to C••••• P••••••• L••Nov 14, 2023 · RIA to RIA
- A••••• M•••••• to G•••••• H••••• A•••••••• I•••Mar 17, 2023 · RIA to RIA
- L•••••• L•• S••••• to F•••• A••••• A••••••• S•••••••• I•••Nov 1, 2019 · RIA to affiliated broker-dealer or bank
- D••••••• J•••••• S••••••• to C••••••• P•••••••May 10, 2017 · Other
- K•••••• M•••• R•••••••• to T• A••••••••• I•••Feb 3, 2017 · Other
Joined, latest
- A•••••••• A••••••• from A••••••••• F•••••••• S•••••••• L••Apr 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• L••••• O•••• from P•••••••• W••••• A•••••••• L••Oct 13, 2025 · Other
- M•••••• D•••• K•••• from P••• A••••• S••••••••• L••Apr 3, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• J•••• M•••• from I•••••• A•••••••• I•••Mar 29, 2023 · Other
- D••••••• J•••••• S••••••• from M••••• S••••••Aug 6, 2016 · Other
- K•••••• M•••• R•••••••• from M••••• G••••• A••••••• I•••May 17, 2016 · Other
- C••• H•••• C••••••••• from I•••Dec 23, 2014 · Other
- A••••• D•••••• S•••••• from L•• F•••••••• L••Jan 2, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• P•••• J•••• · Chief Compliance Officercontrolsince 11/2003 · owns 75% or more
- B••••• E••••••••• A•• · Partner & Wealth Managersince 04/2016 · owns 5% to 10%
- M•••••• S••••• E•••••••• · Partner & Wealth Managersince 10/2020 · owns less than 5%
- S••••••• A•••••• D•••••• · Partner & Wealth Managersince 07/2018 · 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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 11 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,523 to 1,702Oct 15, 2025 to Mar 12, 2026
- Advisory employees · 10 to 8Oct 15, 2025 to Mar 12, 2026
- HNW clients · 245 to 269Oct 15, 2025 to Mar 12, 2026
- Individual clients · 27 to 31Oct 15, 2025 to Mar 12, 2026
- Assets in custody · $11.7M to $13.9MOct 15, 2025 to Mar 12, 2026
- State-registered IARs · 10 to 8Oct 15, 2025 to Mar 12, 2026
- Discretionary RAUM · $849M to $984MOct 15, 2025 to Mar 12, 2026
- HNW RAUM · $827M to $953MOct 15, 2025 to Mar 12, 2026
- Individual RAUM · $21.5M to $31.6MOct 15, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $0 to $561,310Oct 15, 2025 to Mar 12, 2026
- RAUM · $849M to $985MOct 15, 2025 to Mar 12, 2026
- Financial planning clients · 251-500 to 251-500Mar 24, 2025 to May 8, 2025
- Accounts · 2,039 to 1,523Dec 11, 2024 to Mar 24, 2025
- Advisory employees · 8 to 10Dec 11, 2024 to Mar 24, 2025
- HNW clients · 219 to 245Dec 11, 2024 to Mar 24, 2025
- Individual clients · 28 to 27Dec 11, 2024 to Mar 24, 2025
- Assets in custody · $10.6M to $11.7MDec 11, 2024 to Mar 24, 2025
- Employees · 16 to 15Dec 11, 2024 to Mar 24, 2025
- State-registered IARs · 8 to 10Dec 11, 2024 to Mar 24, 2025
- Discretionary RAUM · $780M to $849MDec 11, 2024 to Mar 24, 2025
- HNW RAUM · $761M to $827MDec 11, 2024 to Mar 24, 2025
- Individual RAUM · $19.6M to $21.5MDec 11, 2024 to Mar 24, 2025
- RAUM · $780M to $849MDec 11, 2024 to Mar 24, 2025
- Accounts · 1,622 to 2,039Jan 24, 2024 to Mar 8, 2024
- Advisory employees · 10 to 8Jan 24, 2024 to Mar 8, 2024
- HNW clients · 212 to 219Jan 24, 2024 to Mar 8, 2024
- Individual clients · 29 to 28Jan 24, 2024 to Mar 8, 2024
- Assets in custody · $4.7M to $10.6MJan 24, 2024 to Mar 8, 2024
- Employees · 15 to 16Jan 24, 2024 to Mar 8, 2024
- Financial planning clients · 101-250 to 251-500Jan 24, 2024 to Mar 8, 2024
- State-registered IARs · 6 to 8Jan 24, 2024 to Mar 8, 2024
- Discretionary RAUM · $688M to $780MJan 24, 2024 to Mar 8, 2024
- HNW RAUM · $639M to $761MJan 24, 2024 to Mar 8, 2024
- Individual RAUM · $48.4M to $19.6MJan 24, 2024 to Mar 8, 2024
- RAUM · $688M to $780MJan 24, 2024 to Mar 8, 2024
- Accounts · 1,911 to 1,622Jul 6, 2022 to Mar 28, 2023
- Advisory employees · 8 to 10Jul 6, 2022 to Mar 28, 2023
- HNW clients · 208 to 212Jul 6, 2022 to Mar 28, 2023
- Individual clients · 33 to 29Jul 6, 2022 to Mar 28, 2023
- Assets in custody · $2.2M to $4.7MJul 6, 2022 to Mar 28, 2023
Signals
6 dated events
- M•••••• C••••••• W•••• left A•••• W••••• for T••••• P••••••• P••••••• (registered 2025-07-08)May 6, 2025 · Advisor changed firm · fact
- A••••• H••••••• left A•••• W••••• for W••••• J•••••• W••••• (registered 2024-11-12)Sep 6, 2024 · Advisor changed firm · fact
- C••••• P••••• N••• left A•••• W••••• for R•••• • G•••••• W••••• M••••••••• (registered 2023-11-14)Nov 14, 2023 · Advisor changed firm · fact
- M•••••• D•••• K•••• left A•••• W••••• for C••••• P••••••• L•• (registered 2024-01-25)Nov 14, 2023 · Advisor changed firm · fact
- A••••• M•••••• left A•••• W••••• for G•••••• H••••• A•••••••• I••• (registered 2023-03-29)Mar 17, 2023 · Advisor changed firm · fact
- E•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 27, 2015 · ria f•••• adv filing · 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
- info@avionwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-528-1200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/avionwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- avionwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-528-1200reportedpublic record, Form ADV, Aug 27, 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
- $82.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026