DFX Intelligence
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L• L••• W••••• A•••••••
Independent wealth manager, based in Richardson, Texas, reporting $119M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $119M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (1 in, 1 out)
- RAUM change, last fiscal year
- -0.3%
- Private clients
- 100% of RAUM, $119M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 136596 · SEC 801-64775 · 33 filingsShowHide
CRD 136596SEC 801-64775Legal name L••• L••• W••••• A•••••••• I•••First filing on the tape Mar 22, 2012, latest Mar 30, 2026SEC status approved since Oct 7, 2005IAPD
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$119M as of Mar 30, 2026
Mar 22, 2012$138M then
HNW client RAUM$44.8M as of Mar 30, 2026
Mar 28, 2018$49.0M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 22, 20120 then
Employees (5.A)8 as of Mar 30, 2026
Mar 21, 201310 then
Private funds4 as of Mar 30, 2015
Mar 21, 20131 then
RAUM -0.3% over the last fiscal year+1.5% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 264derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $175,500derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Wrap fee program
- $119MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$74.0M62%
- High-net-worth individuals$44.8M38%
- Individual clients
- 238reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 677reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• R•••• M•••••••Chartered Financial Consultant | Richardson, Tx | Aug 13, 2021 | 20 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- J••• C•••• to A••••••••• F•••••••• S•••••••• L••May 14, 2026 · RIA to affiliated broker-dealer or bank
- W•••••• K•••• B••••• to F•••• C•••••• A••••••• S•••••••Nov 2, 2020 · RIA to affiliated broker-dealer or bank
- C••••••••• J••••• O••• to 1•• G••••• A••••••• I••Mar 4, 2008 · Other
Joined, latest
- J••• C•••• from O•••• W•••••• I•••Nov 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• J••••• O••• from E•••••••• A•••••••• L••Jan 20, 2006 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•• W••••• A••••••• 2••••• O•• A•• G•• L•••••• P•••••••••no longer reported | Other Private Fund | $4.5M | 33 | Mar 11, 2014 |
| L•• W••••• A••••••• 2••••• O•• A•• G•• L•••••• P•••••••••no longer reported | Other Private Fund | $3.8M | 30 | Sep 12, 2013 |
| L•• W••••• A••••••• O•• • G•• L•••••• P•••••••••no longer reported | Other Private Fund | $2.4M | 11 | Mar 21, 2013 |
| L•• D•••••• H••••••• L•no longer reported | Other Private Fund | $200,000 | 10 | Jul 24, 2015 |
| L•• W••••• A••••••• 2••••• O•• A•• G•• L•••••• P•••••••••no longer reported | Other Private Fund | $0 | 0 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••• N••••• · Chief Operations Officer And Chief Compliance Officer (Cco As Of 5/2023)controlsince 12/2019 · owns 25% to 50%
- M•••••••• M••••• R•••• · Chief Financial Officer And Senior Managercontrolsince 12/2019 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Richardson, Tx · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 684 to 677Mar 25, 2025 to Mar 30, 2026
- Advisory employees · 1 to 2Mar 25, 2025 to Mar 30, 2026
- HNW clients · 23 to 26Mar 25, 2025 to Mar 30, 2026
- Employees · 7 to 8Mar 25, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 2Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $119M to $119MMar 25, 2025 to Mar 30, 2026
- HNW RAUM · $39.7M to $44.8MMar 25, 2025 to Mar 30, 2026
- Individual RAUM · $79.6M to $74.0MMar 25, 2025 to Mar 30, 2026
- RAUM · $119M to $119MMar 25, 2025 to Mar 30, 2026
- Accounts · 660 to 684Mar 10, 2024 to Mar 25, 2025
- Advisory employees · 5 to 1Mar 10, 2024 to Mar 25, 2025
- Employees · 6 to 7Mar 10, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 10, 2024 to Mar 25, 2025
- Discretionary RAUM · $110M to $119MMar 10, 2024 to Mar 25, 2025
- HNW RAUM · $34.3M to $39.7MMar 10, 2024 to Mar 25, 2025
- Individual RAUM · $75.5M to $79.6MMar 10, 2024 to Mar 25, 2025
- RAUM · $110M to $119MMar 10, 2024 to Mar 25, 2025
- Accounts · 718 to 660May 8, 2023 to Mar 10, 2024
- Advisory employees · 2 to 5May 8, 2023 to Mar 10, 2024
- HNW clients · 68 to 23May 8, 2023 to Mar 10, 2024
- Individual clients · 130 to 238May 8, 2023 to Mar 10, 2024
- Employees · 9 to 6May 8, 2023 to Mar 10, 2024
- State-registered IARs · 2 to 1May 8, 2023 to Mar 10, 2024
- Discretionary RAUM · $114M to $110MMay 8, 2023 to Mar 10, 2024
- HNW RAUM · $76.0M to $34.3MMay 8, 2023 to Mar 10, 2024
- Individual RAUM · $37.6M to $75.5MMay 8, 2023 to Mar 10, 2024
- RAUM · $114M to $110MMay 8, 2023 to Mar 10, 2024
- Accounts · 248 to 718Jun 8, 2022 to Mar 23, 2023
- HNW clients · 38 to 68Jun 8, 2022 to Mar 23, 2023
- Individual clients · 210 to 130Jun 8, 2022 to Mar 23, 2023
- Employees · 7 to 9Jun 8, 2022 to Mar 23, 2023
- Financial planning clients · 101-250 to 0Jun 8, 2022 to Mar 23, 2023
- Discretionary RAUM · $120M to $114MJun 8, 2022 to Mar 23, 2023
- HNW RAUM · $48.3M to $76.0MJun 8, 2022 to Mar 23, 2023
- Individual RAUM · $71.8M to $37.6MJun 8, 2022 to Mar 23, 2023
- RAUM · $120M to $114MJun 8, 2022 to Mar 23, 2023
- Accounts · 736 to 248Sep 28, 2021 to Mar 30, 2022
- HNW clients · 34 to 38Sep 28, 2021 to Mar 30, 2022
- Individual clients · 287 to 210Sep 28, 2021 to Mar 30, 2022
- Pension plan clients · 1.0 to unsetSep 28, 2021 to Mar 30, 2022
Signals
10 dated events
- ••• LockedMay 14, 2026 · Advisor changed firm · fact
- ••• LockedMar 30, 2026 · ria ownership band change · fact
- ••• LockedMar 30, 2026 · ria ownership band change · fact
- ••• LockedMar 10, 2024 · Control person left · inference
- ••• LockedMay 8, 2023 · Control person left · inference
- ••• LockedMar 31, 2021 · Control person left · inference
- ••• LockedJan 7, 2020 · Control person joined · fact
- ••• LockedJan 7, 2020 · Control person joined · fact
- ••• LockedJan 7, 2020 · Control person joined · fact
- ••• LockedJan 14, 2015 · Succession (Item 4) · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026