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
S••••••• I••••••••• M••••••••• G••••• L••
Latest filing Jul 16, 2026
First filing on the tape Dec 21, 2011 · 30 filings
SEC status approved since Sep 2, 2005
RAUM
$9.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.3%
$124M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$868M
derived; firm RAUM over IAPD count
Employees
22
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$9.5B as of Jul 16, 2026
Mar 16, 2012$933M then
HNW client RAUM$124M as of Jul 16, 2026
Mar 23, 2018$48.7M then
State-registered IARs (5.B.3)11 as of Jul 16, 2026
Mar 28, 20138 then
Employees (5.A)22 as of Jul 16, 2026
Mar 28, 201315 then
Private funds: no history
RAUM +25% over the last fiscal year+19% a year over threeIARs 13 to 11
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
- RAUM per advisor
- $868MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $585,159derivedHNW RAUM over HNW clients
- Average account
- $34.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -15%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.5B69%
- Pension and profit-sharing plans$2.0B22%
- Pooled investment vehicles$565M6.0%
- State and municipal entities$174M1.9%
- High-net-worth individuals$124M1.3%
- Corporations and businesses$34.5M0.4%
- Individual clients
- 0reported
- HNW clients
- 212reported
- Pension plan clients
- 9reported
- Charitable clients
- 0reported
- Accounts
- 277reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $180M managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.74 institutional_share=0.23 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• W••••• S•••••• | L••••• Rock, Ar | Sep 15, 2004 | 44 y | 0 |
| S••••• M•••• C••••Chartered Financial Analyst | Houston, Tx | Sep 16, 2005 | 22 y | 1 |
| J••• M•••••• T•••••••Chartered Financial Analyst | Houston, Tx | Sep 16, 2005 | 26 y | 1 |
| R••• E••••• C••••Chartered Financial Analyst | Houston, Tx | Sep 16, 2005 | 22 y | 1 |
| P••••••• K••••••• R••••••Chartered Financial Analyst | Houston, Tx | Sep 16, 2005 | 22 y | 1 |
| F•••• P•••••• W•••• | Houston, Tx | Oct 10, 2005 | 34 y | 2 |
| J••• R••••• K•••••Chartered Financial Analyst | Houston, Tx | Mar 10, 2014 | 17 y | 1 |
| M••• S••••• L••••• | Houston, Tx | Aug 15, 2016 | 28 y | 4 |
| C•••••• C•••••Chartered Financial Analyst | Houston, Tx | Mar 22, 2019 | 18 y | 1 |
| K••••••• A••• T••••• | Houston, Tx | Jun 29, 2023 | 11 y | 1 |
| A••• T••••• | Evanston, Il | Aug 9, 2024 | 18 y | 2 |
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
- T••• M••••••• B•••• to A••••••• B••••• A•••••••• I•••Jan 13, 2012 · Other
Joined, latest
- A••• T••••• from K•••••• C•••••• M•••••••••Aug 9, 2024 · Other
- K••••••• A••• T••••• from S•••••••Jun 29, 2023 · Other
- C•••••• C••••• from S•••••••Mar 22, 2019 · Other
- M••• S••••• L••••• from S•••••••Aug 15, 2016 · Other
- J••• R••••• K••••• from S•••••••Mar 10, 2014 · Other
- T••• M••••••• B•••• from S•••••••Sep 29, 2006 · Other
- F•••• P•••••• W•••• from S•••••••Oct 10, 2005 · Other
- J••• M•••••• T••••••• from S•••••••Sep 16, 2005 · Other
- P••••••• K••••••• R•••••• from S•••••••Sep 16, 2005 · Other
- S••••• M•••• C•••• from S•••••••Sep 16, 2005 · Other
- R••• E••••• C•••• from S•••••••Sep 16, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• R•••• E••••• · Chief Investment Officercontrolsince 07/2005 · owns less than 5%
- N••••• M••••••• W•••••• · Chief Operating Officer, Senior Vice Presidentcontrolsince 09/2006 · owns less than 5%
- S••••••• J•••••• W••••• · President And Chief Executive Officercontrolsince 07/2005 · owns less than 5%
- S•••••••• W•••••• A•••••• · Trustee & Beneficiarycontrolsince 09/1987 · owns F of W••••• A• S••••••• T•••• U•• 9••••••••
- R•••••• A•••••• · Chief Compliance Officer, General Counselsince 09/2024 · owns less than 5%
Entity owners
- S••••••• I••••••••• H••••••• L•• · Memberdirect · owns 75% or more
- W••••• A• S••••••• T•••• U•• 9•••••••• · Memberindirect · owns 75% or more of S••••••• I••••••••• H••••••• L••
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Houston, TX8 employees
What changed
consecutive filings, newest first
- Accounts · 197 to 277Mar 31, 2026 to Jul 16, 2026
- Corporate clients · 16 to 24Mar 31, 2026 to Jul 16, 2026
- HNW clients · 143 to 212Mar 31, 2026 to Jul 16, 2026
- Pooled vehicle clients · 1 to 2Mar 31, 2026 to Jul 16, 2026
- Discretionary RAUM · $7.9B to $9.5BMar 31, 2026 to Jul 16, 2026
- HNW RAUM · $93.4M to $124MMar 31, 2026 to Jul 16, 2026
- Pension RAUM · $1.7B to $2.0BMar 31, 2026 to Jul 16, 2026
- Pooled vehicle RAUM · $70.0M to $565MMar 31, 2026 to Jul 16, 2026
- RAUM · $7.9B to $9.5BMar 31, 2026 to Jul 16, 2026
- Wrap assets (manager) · $134M to $180MMar 31, 2026 to Jul 16, 2026
- Accounts · 174 to 197Jan 30, 2026 to Mar 31, 2026
- Corporate clients · 17 to 16Jan 30, 2026 to Mar 31, 2026
- HNW clients · 116 to 143Jan 30, 2026 to Mar 31, 2026
- Pension plan clients · 11 to 9Jan 30, 2026 to Mar 31, 2026
- Employees · 23 to 22Jan 30, 2026 to Mar 31, 2026
- State-registered IARs · 13 to 11Jan 30, 2026 to Mar 31, 2026
- Discretionary RAUM · $7.6B to $7.9BJan 30, 2026 to Mar 31, 2026
- HNW RAUM · $113M to $93.4MJan 30, 2026 to Mar 31, 2026
- Pension RAUM · $1.6B to $1.7BJan 30, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $54.8M to $70.0MJan 30, 2026 to Mar 31, 2026
- RAUM · $7.6B to $7.9BJan 30, 2026 to Mar 31, 2026
- Wrap assets (manager) · $113M to $134MJan 30, 2026 to Mar 31, 2026
- Accounts · 162 to 174Sep 23, 2024 to Mar 31, 2025
- Advisory employees · 8 to 7Sep 23, 2024 to Mar 31, 2025
- Corporate clients · 16 to 17Sep 23, 2024 to Mar 31, 2025
- HNW clients · 111 to 116Sep 23, 2024 to Mar 31, 2025
- Pension plan clients · 9 to 11Sep 23, 2024 to Mar 31, 2025
- Financial planning clients · unset to Sep 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $7.5B to $7.6BSep 23, 2024 to Mar 31, 2025
- HNW RAUM · $109M to $113MSep 23, 2024 to Mar 31, 2025
- Pension RAUM · $1.5B to $1.6BSep 23, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $54.0M to $54.8MSep 23, 2024 to Mar 31, 2025
- RAUM · $7.5B to $7.6BSep 23, 2024 to Mar 31, 2025
- Wrap assets (manager) · $100M to $113MSep 23, 2024 to Mar 31, 2025
- Accounts · 130 to 162Mar 27, 2024 to Sep 23, 2024
- Advisory employees · 7 to 8Mar 27, 2024 to Sep 23, 2024
- BD registered reps · 3 to 2Mar 27, 2024 to Sep 23, 2024
- Corporate clients · 14 to 16Mar 27, 2024 to Sep 23, 2024
- HNW clients · 80 to 111Mar 27, 2024 to Sep 23, 2024
- Pension plan clients · 8 to 9Mar 27, 2024 to Sep 23, 2024
Signals
3 dated events
- 9 advisors left S••••••• (Houston, TX) for S••••••• I••••••••• M••••••••• G••••• L•• on the same dayDec 22, 2023 · Team lift-out · derived
- S••••••• I••••••••• M••••••••• G••••• L•• reported RAUM $5.7B, down 28% from $7.8B (2022-08-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- S••••••• I••••••••• M••••••••• G••••• L•• reported RAUM $6.9B, up 27% from $5.4B (2020-06-24 to 2021-03-25)Mar 25, 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
- Website
- S•••••••IMG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-458-6589reportedpublic record, Form ADV, Jul 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $868Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026