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•••••••• W••••• P•••••••
Legal name Y••• A••••••••• L•••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Feb 1, 2006
RAUM
$448M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$448M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$448M as of Mar 23, 2026
Mar 29, 2012$102M then
HNW client RAUM$421M as of Mar 23, 2026
Mar 29, 2018$216M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Mar 28, 20130 then
Employees (5.A)6 as of Mar 23, 2026
Mar 28, 20136 then
Private funds1 as of Mar 25, 2022
Mar 27, 20151 then
RAUM +20% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $407,022derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $55.1M, 68 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$421M94%
- Individuals$27.1M6.0%
- Individual clients
- 59reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,101reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.1M for 68 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• L•••• B••Certified Financial Planner | Houston, Tx | Feb 2, 2006 | 24 y | 1 |
| C•••••• E••••• C•••••••Certified Financial Planner, Chartered Financial Consultant | Houston, Tx | May 18, 2012 | 29 y | 1 |
| S••••• C•••••• B•••• | Houston, Tx | Jul 14, 2023 | 27 y | 1 |
| C••••• J•••• C••••••• | Houston, Tx | Apr 18, 2025 | 11 y | 1 |
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 headcount1 left over 36 months
Left, latest
- P••• E•••• P••••• to G•••••• F•••••••• C•••••••••Dec 15, 2023 · RIA to RIA
- A••• G•••• F•••••• to M••••• G••••• A••••••• I•••Sep 8, 2022 · RIA to RIA
Joined, latest
- C••••• J•••• C••••••• from S•••••••• A•••••••• L••Apr 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- S••••• C•••••• B•••• from S•••••• E••••• A••••••• I•••Jul 14, 2023 · RIA to RIA
- A••• G•••• F•••••• from S•••••• A•••• M••••••••• L••Oct 11, 2013 · Other
- C•••••• E••••• C••••••• from M•• F•••••••• S•••••••• I•••May 18, 2012 · Other
- P••• E•••• P••••• from T••••••••• F•••••••• A•••••••• L••Jan 4, 2007 · Other
- K••• L•••• B•• from T••••••••• F•••••••• A•••••••• L••Feb 2, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• H••••••• L•no longer reported | Private Equity Fund | $1.3M | 39 | Mar 27, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B••••• A••• R•••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- B••• K•••• L•••• · Principalcontrolsince 10/2005 · owns 25% to 50%
- C•••••••• C••••••• E••••• · Principalcontrolsince 05/2012 · owns 25% to 50%
- B••• K•••• L•••• · Principalcontrolsince 03/2016 · owns 25% to 50% of Y••• A••••••••, Inc.
- C•••••••• C••••••• E••••• · Principalcontrolsince 03/2016 · owns 25% to 50% of Y••• A••••••••, Inc.
Entity owners
- Y••• A•••••••• M••••••••• I••• · General Partnerdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,109 to 1,101Feb 4, 2025 to Mar 23, 2026
- HNW clients · 121 to 134Feb 4, 2025 to Mar 23, 2026
- Individual clients · 54 to 59Feb 4, 2025 to Mar 23, 2026
- Assets in custody · $43.8M to $55.1MFeb 4, 2025 to Mar 23, 2026
- Discretionary RAUM · $375M to $448MFeb 4, 2025 to Mar 23, 2026
- HNW RAUM · $350M to $421MFeb 4, 2025 to Mar 23, 2026
- Individual RAUM · $24.7M to $27.1MFeb 4, 2025 to Mar 23, 2026
- RAUM · $375M to $448MFeb 4, 2025 to Mar 23, 2026
- Accounts · 1,025 to 1,109Mar 26, 2024 to Feb 4, 2025
- Business name · T•• A•••••••• to A•••••••• W••••• P•••••••Mar 26, 2024 to Feb 4, 2025
- HNW clients · 123 to 121Mar 26, 2024 to Feb 4, 2025
- Individual clients · 53 to 54Mar 26, 2024 to Feb 4, 2025
- Assets in custody · $44.8M to $43.8MMar 26, 2024 to Feb 4, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Feb 4, 2025
- Discretionary RAUM · $362M to $375MMar 26, 2024 to Feb 4, 2025
- HNW RAUM · $336M to $350MMar 26, 2024 to Feb 4, 2025
- Individual RAUM · $25.7M to $24.7MMar 26, 2024 to Feb 4, 2025
- RAUM · $362M to $375MMar 26, 2024 to Feb 4, 2025
- Accounts · 1,043 to 1,025Jan 5, 2024 to Mar 26, 2024
- Individual clients · 59 to 53Jan 5, 2024 to Mar 26, 2024
- Assets in custody · $44.1M to $44.8MJan 5, 2024 to Mar 26, 2024
- Employees · 8 to 6Jan 5, 2024 to Mar 26, 2024
- Discretionary RAUM · $359M to $362MJan 5, 2024 to Mar 26, 2024
- HNW RAUM · $332M to $336MJan 5, 2024 to Mar 26, 2024
- Individual RAUM · $27.1M to $25.7MJan 5, 2024 to Mar 26, 2024
- RAUM · $359M to $362MJan 5, 2024 to Mar 26, 2024
- Accounts · 1,027 to 1,043Mar 16, 2023 to Jan 5, 2024
- Advisory employees · 4 to 3Mar 16, 2023 to Jan 5, 2024
- Advisory activities · 3 to 2Mar 16, 2023 to Jan 5, 2024
- HNW clients · 117 to 123Mar 16, 2023 to Jan 5, 2024
- Assets in custody · $40.2M to $44.1MMar 16, 2023 to Jan 5, 2024
- State-registered IARs · 4 to 3Mar 16, 2023 to Jan 5, 2024
- Discretionary RAUM · $334M to $359MMar 16, 2023 to Jan 5, 2024
- HNW RAUM · $307M to $332MMar 16, 2023 to Jan 5, 2024
- Individual RAUM · $26.8M to $27.1MMar 16, 2023 to Jan 5, 2024
- RAUM · $334M to $359MMar 16, 2023 to Jan 5, 2024
- Accounts · 972 to 1,027Mar 25, 2022 to Mar 16, 2023
- Individual clients · 43 to 59Mar 25, 2022 to Mar 16, 2023
- Assets in custody · $35.3M to $40.2MMar 25, 2022 to Mar 16, 2023
- Private funds · 1 to unsetMar 25, 2022 to Mar 16, 2023
Signals
3 dated events
- Edwin Paul Palmer (Principal) no longer on Schedule A of A•••••••• W••••• P••••••• (listed 2023-03-16, absent 2024-01-05)Jan 5, 2024 · Control person left · inference
- P••• E•••• P••••• left A•••••••• W••••• P••••••• for G•••••• F•••••••• C••••••••• (registered 2023-12-18)Dec 15, 2023 · Advisor changed firm · fact
- A••• G•••• F•••••• left A•••••••• W••••• P••••••• for M••••• G••••• A••••••• I••• (registered 2023-02-21)Sep 8, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- T•• A•••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 713-827-8014reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- theadvocateswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-827-8014reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- theadvocateswealth.com/teamreportedpublished 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026