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
A• S•••• • A• S••••• I•••••••••
Latest filing Jul 15, 2026
First filing on the tape Dec 11, 2025 · 3 filings
SEC status approved since Dec 11, 2025
RAUM
$102M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
76%
$77.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$102M as of Jul 15, 2026
Dec 11, 2025$105M then
HNW client RAUM$27.3M as of Jul 15, 2026
Dec 11, 2025$36.0M then
State-registered IARs (5.B.3)2 as of Jul 15, 2026
Dec 11, 20252 then
Employees (5.A)4 as of Jul 15, 2026
Dec 11, 20253 then
Private funds1 as of Jul 15, 2026
Dec 11, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 15, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $51.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 217derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $229,345derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.1M, 6 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$50.0M49%
- High-net-worth individuals$27.3M27%
- Pension and profit-sharing plans$17.7M17%
- Corporations and businesses$3.5M3.4%
- Charitable organizations$2.3M2.3%
- Pooled investment vehicles$1.1M1.1%
- Individual clients
- 411reported
- HNW clients
- 22reported
- Pension plan clients
- 3reported
- Charitable clients
- 3reported
- Accounts
- 445reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 6 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.76 fund_share=0.01 institutional_share=0.2 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• B•••• M•••••••• | Burnet, Tx | Jan 22, 2021 | 25 y | 5 |
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
- J••• G•••••• R••• from E•••••••• A•••••••• L••Mar 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• B•••• M•••••••• from S•••••••• F•••••••• C•••••••• L••Jan 23, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• M••••••• B•••• · Chief Executive Officercontrolsince 03/2005 · 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 |
|---|---|---|---|---|---|
| Burnet, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 391 to 445Feb 25, 2026 to Jul 15, 2026
- HNW clients · 19 to 22Feb 25, 2026 to Jul 15, 2026
- Individual clients · 345 to 411Feb 25, 2026 to Jul 15, 2026
- Assets in custody · $1.1M to $1.1MFeb 25, 2026 to Jul 15, 2026
- Employees · 3 to 4Feb 25, 2026 to Jul 15, 2026
- Discretionary RAUM · $69.1M to $81.3MFeb 25, 2026 to Jul 15, 2026
- HNW RAUM · $47.4M to $27.3MFeb 25, 2026 to Jul 15, 2026
- Individual RAUM · $31.8M to $50.0MFeb 25, 2026 to Jul 15, 2026
- Non-discretionary RAUM · $35.5M to $20.7MFeb 25, 2026 to Jul 15, 2026
- Pension RAUM · $18.6M to $17.7MFeb 25, 2026 to Jul 15, 2026
- Pooled vehicle RAUM · $1.1M to $1.1MFeb 25, 2026 to Jul 15, 2026
- RAUM · $105M to $102MFeb 25, 2026 to Jul 15, 2026
- Accounts · 398 to 391Dec 11, 2025 to Feb 25, 2026
- HNW clients · 17 to 19Dec 11, 2025 to Feb 25, 2026
- Individual clients · 368 to 345Dec 11, 2025 to Feb 25, 2026
- Assets in custody · $1.0M to $1.1MDec 11, 2025 to Feb 25, 2026
- Discretionary RAUM · $69.0M to $69.1MDec 11, 2025 to Feb 25, 2026
- HNW RAUM · $36.0M to $47.4MDec 11, 2025 to Feb 25, 2026
- Individual RAUM · $43.8M to $31.8MDec 11, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $36.2M to $35.5MDec 11, 2025 to Feb 25, 2026
- Pension RAUM · $18.6M to $18.6MDec 11, 2025 to Feb 25, 2026
- Pooled vehicle RAUM · $1.0M to $1.1MDec 11, 2025 to Feb 25, 2026
- RAUM · $105M to $105MDec 11, 2025 to Feb 25, 2026
Signals
No event on the tape.
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
- 512-553-5151reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-553-5151reportedpublic record, Form ADV, Jul 15, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $51.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026