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
C•••• I••••••••• L••
Latest filing Mar 28, 2026
First filing on the tape Mar 11, 2021 · 11 filings
SEC status approved since Apr 9, 2021
RAUM
$304M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$262M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$304M
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$304M as of Mar 28, 2026
Mar 23, 2021$161M then
HNW client RAUM$239M as of Mar 28, 2026
Mar 23, 2021$130M then
State-registered IARs (5.B.3)1 as of Mar 28, 2026
Mar 23, 20211 then
Employees (5.A)6 as of Mar 28, 2026
Mar 23, 20215 then
Private funds: no history
RAUM -23% over the last fiscal year+6.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 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
- $304MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $663,205derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $22.3M, 18 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$239M79%
- Individuals$23.3M7.7%
- Corporations and businesses$16.2M5.3%
- Pension and profit-sharing plans$15.2M5.0%
- Charitable organizations$10.1M3.3%
- Individual clients
- 57reported
- HNW clients
- 100reported
- Pension plan clients
- 16reported
- Charitable clients
- 3reported
- Accounts
- 458reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.3M for 18 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| R••••• C••••••••• | Bellaire, Tx | Jul 14, 2005 | 27 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
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
- C••••••••• R••••• · Chief Compliance Officer, President And Managing Membercontrolsince 04/2005 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Bellaire, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 28, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-03-29, yes on the filing of 2026-03-28peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 453 to 458Mar 29, 2025 to Mar 28, 2026
- Advisory activities · 4 to 5Mar 29, 2025 to Mar 28, 2026
- Charity clients · 2 to 3Mar 29, 2025 to Mar 28, 2026
- Corporate clients · 14 to 11Mar 29, 2025 to Mar 28, 2026
- HNW clients · 96 to 100Mar 29, 2025 to Mar 28, 2026
- Pension plan clients · 18 to 16Mar 29, 2025 to Mar 28, 2026
- Assets in custody · $98.0M to $22.3MMar 29, 2025 to Mar 28, 2026
- Employees · 5 to 6Mar 29, 2025 to Mar 28, 2026
- Discretionary RAUM · $392M to $304MMar 29, 2025 to Mar 28, 2026
- HNW RAUM · $299M to $239MMar 29, 2025 to Mar 28, 2026
- Individual RAUM · $24.0M to $23.3MMar 29, 2025 to Mar 28, 2026
- Pension RAUM · $22.9M to $15.2MMar 29, 2025 to Mar 28, 2026
- RAUM · $392M to $304MMar 29, 2025 to Mar 28, 2026
- Accounts · 419 to 453Apr 1, 2024 to Mar 29, 2025
- Corporate clients · 9 to 14Apr 1, 2024 to Mar 29, 2025
- HNW clients · 84 to 96Apr 1, 2024 to Mar 29, 2025
- Individual clients · 64 to 57Apr 1, 2024 to Mar 29, 2025
- Pension plan clients · 19 to 18Apr 1, 2024 to Mar 29, 2025
- Assets in custody · $98.2M to $98.0MApr 1, 2024 to Mar 29, 2025
- Financial planning clients · 1-10 to 1-10Apr 1, 2024 to Mar 29, 2025
- HQ city · unset to Apr 1, 2024 to Mar 29, 2025
- HQ state · unset to Apr 1, 2024 to Mar 29, 2025
- Discretionary RAUM · $328M to $392MApr 1, 2024 to Mar 29, 2025
- HNW RAUM · $266M to $299MApr 1, 2024 to Mar 29, 2025
- Individual RAUM · $23.0M to $24.0MApr 1, 2024 to Mar 29, 2025
- Pension RAUM · $18.4M to $22.9MApr 1, 2024 to Mar 29, 2025
- RAUM · $328M to $392MApr 1, 2024 to Mar 29, 2025
- Accounts · 404 to 419Mar 31, 2023 to Mar 28, 2024
- HNW clients · 73 to 84Mar 31, 2023 to Mar 28, 2024
- Individual clients · 75 to 64Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 16 to 19Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $84.8M to $98.2MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $252M to $328MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $209M to $266MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $22.5M to $23.0MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $358,576 to $0Mar 31, 2023 to Mar 28, 2024
- Pension RAUM · $11.3M to $18.4MMar 31, 2023 to Mar 28, 2024
- RAUM · $253M to $328MMar 31, 2023 to Mar 28, 2024
- Accounts · 368 to 404Mar 31, 2022 to Mar 30, 2023
- Corporate clients · 8 to 9Mar 31, 2022 to Mar 30, 2023
Signals
2 dated events
- C•••• I••••••••• L•• reported RAUM $262.8M, up 63% from $160.9M (2021-03-23 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- C•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 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 email
- i•••@c••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-355-7523reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-364-6770reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-904-1726reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-364 6770reportedpublic record, Form ADV, Mar 28, 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
- $304Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026