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•••••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 18 filings
SEC status approved since Oct 11, 2005
RAUM
$1.6B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
71%
$1.1B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$517M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2026
Mar 27, 2012$289M then
HNW client RAUM$1.1B as of Mar 31, 2026
Mar 29, 2018$289M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 27, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 27, 20138 then
Private funds1 as of Mar 29, 2018
Mar 27, 20124 then
RAUM +11% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $517MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $7.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $611M, 141 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B70%
- Corporations and businesses$407M26%
- Charitable organizations$32.5M2.1%
- Individuals$13.1M0.8%
- Pension and profit-sharing plans$7.9M0.5%
- Insurance companies$2.4M0.2%
- Individual clients
- 35reported
- HNW clients
- 165reported
- Pension plan clients
- 2reported
- Charitable clients
- 14reported
- Accounts
- 220reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $611M for 141 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• E••••• S••• | Dallas, Tx | Jan 20, 2006 | 28 y | 1 |
| C•••• W•••••• | Dec 9, 2009 | 20 y | 1 | |
| R••• M•••••• H••••••Chartered Financial Analyst | Dallas, Tx | May 27, 2026 | 19 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
- S•••• A•• S•••••• to M•• I•••••••• S•••••••• L••Jan 22, 2007 · Other
Joined, latest
- C•••• W•••••• from S••••••• C•••••• A••••••• L••Dec 9, 2009 · Other
- S•••• A•• S•••••• from F••••• I•••••••••Feb 17, 2006 · Other
- G••••• E••••• S••• from S••• S••••••••• • I••••••••• C••Jan 20, 2006 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• G••••• S••••• S••••••••• F••• L•no longer reported | Hedge Fund | $7.7M | 20 | Mar 27, 2012 |
| A•••••••• P••••••• P••• L•no longer reported | Private Equity Fund | $723,000 | 5 | Mar 27, 2012 |
| A•••••••• P•••••••• L•no longer reported | Hedge Fund | $471,000 | 41 | Mar 27, 2012 |
| A•••••••• P••••••• I•• L•no longer reported | Hedge Fund | $377,000 | 28 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••• G•••••• E••••• · Chairmancontrolsince 12/2012 · owns less than 5%
- W••••••• C•••• · Chief Executive Officercontrolsince 12/2012 · owns 10% to 25%
- S•••• G•••••• E••••• · Trustee/Beneficiarycontrolsince 12/1970 · owns 75% or more of W••• C•••••••• J•• T• N•• 1• F•• G••••• E• S•••• I••
- H••••••• R•••• M•••••• · Chief Compliance Officersince 12/2012 · owns less than 5%
Entity owners
- W••• C•••••••• J•• T• N•• 1• F•• · Ownerdirect · owns 75% or more
- W••• C•••••••• J•• T• N•• 1• F•• G••••• E• S•••• I•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 206 to 220Mar 27, 2025 to Mar 31, 2026
- Charity clients · 10 to 14Mar 27, 2025 to Mar 31, 2026
- HNW clients · 149 to 165Mar 27, 2025 to Mar 31, 2026
- Individual clients · 40 to 35Mar 27, 2025 to Mar 31, 2026
- Pension plan clients · 3 to 2Mar 27, 2025 to Mar 31, 2026
- Pooled vehicle clients · 0.0 to unsetMar 27, 2025 to Mar 31, 2026
- Assets in custody · $550M to $611MMar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $1.0B to $1.1BMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $19.9M to $13.1MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $83.7M to $85.8MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $1.2M to $7.9MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 0.0 to unsetMar 27, 2025 to Mar 31, 2026
- RAUM · $1.4B to $1.6BMar 27, 2025 to Mar 31, 2026
- Accounts · 204 to 206Mar 28, 2024 to Mar 27, 2025
- Charity clients · 13 to 10Mar 28, 2024 to Mar 27, 2025
- Corporate clients · 1 to 3Mar 28, 2024 to Mar 27, 2025
- HNW clients · 151 to 149Mar 28, 2024 to Mar 27, 2025
- Individual clients · 36 to 40Mar 28, 2024 to Mar 27, 2025
- Pension plan clients · 2 to 3Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $510M to $550MMar 28, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $931M to $1.0BMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $16.2M to $19.9MMar 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $142M to $83.7MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $2.9M to $1.2MMar 28, 2024 to Mar 27, 2025
- RAUM · $1.3B to $1.4BMar 28, 2024 to Mar 27, 2025
- Accounts · 188 to 204Mar 30, 2023 to Mar 28, 2024
- Charity clients · 11 to 13Mar 30, 2023 to Mar 28, 2024
- Corporate clients · 2 to 1Mar 30, 2023 to Mar 28, 2024
- HNW clients · 141 to 151Mar 30, 2023 to Mar 28, 2024
- Individual clients · 31 to 36Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $593M to $510MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $927M to $1.2BMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $688M to $931MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $24.6M to $16.2MMar 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $122M to $142MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $5.5M to $2.9MMar 30, 2023 to Mar 28, 2024
- RAUM · $1.0B to $1.3BMar 30, 2023 to Mar 28, 2024
Signals
2 dated events
- A•••••••• C••••••• L•• reported RAUM $1.0B, up 32% from $791.7M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- A•••••••• C••••••• L•• reported RAUM $629.3M, up 62% from $387.6M (2019-03-29 to 2019-05-03)May 3, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@annandalecap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 214-523-5000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/annandale-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-523-5000reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- annandalecap.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- annandalecap.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $517Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026