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••••• S••••••••• L••
Legal name C•••• M••••• B••••••• L•••••
Latest filing Apr 23, 2026
First filing on the tape Mar 30, 2012 · 14 filings
SEC status approved since Jul 28, 2021
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$220M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$220M as of Apr 23, 2026
Mar 30, 2012$87.7M then
HNW client RAUM$218M as of Apr 23, 2026
Mar 29, 2022$166M then
State-registered IARs (5.B.3)2 as of Apr 23, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Apr 23, 2026
Mar 29, 20223 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$218M99%
- Individuals$1.8M0.8%
- Individual clients
- 3reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• M••••• B•••••••Certified Financial Planner, Personal Financial Specialist | Cypress, Tx | Jul 17, 2012 | 31 y | 1 |
| C•••• M••••• B•••••••Certified Financial Planner, Personal Financial Specialist | Cypress, Tx | Mar 21, 2020 | 14 y | 3 |
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
- C•••• M••••• B••••••• from P•••••• W••••• M••••••••• I•••Mar 21, 2020 · Other
- C•••• M••••• B••••••• from I••••••• W••••• S•••••••••Jul 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• C••••• M••••• · Managing Member/Ceo, Chief Compliance Officercontrolsince 12/2005 · owns 75% or more
- B•••••••• C••••• M••••• · Chief Operations Officer, Chief Investment Officercontrolsince 11/2019 · owns less than 5%
- B•••••••• J••••• C•••• · Membersince 11/2019 · 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 |
|---|---|---|---|---|---|
| Cypress, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 31 to 33Apr 29, 2025 to Jan 28, 2026
- Individual clients · 5 to 3Apr 29, 2025 to Jan 28, 2026
- Financial planning clients · 1-10 to 11-25Apr 29, 2025 to Jan 28, 2026
- Discretionary RAUM · $193M to $220MApr 29, 2025 to Jan 28, 2026
- HNW RAUM · $190M to $218MApr 29, 2025 to Jan 28, 2026
- Individual RAUM · $3.5M to $1.8MApr 29, 2025 to Jan 28, 2026
- RAUM · $193M to $220MApr 29, 2025 to Jan 28, 2026
- Accounts · 34 to 36Feb 16, 2024 to Apr 29, 2025
- HNW clients · 29 to 31Feb 16, 2024 to Apr 29, 2025
- Employees · 3 to 2Feb 16, 2024 to Apr 29, 2025
- Financial planning clients · 1-10 to 1-10Feb 16, 2024 to Apr 29, 2025
- HQ city · unset to Feb 16, 2024 to Apr 29, 2025
- HQ state · unset to Feb 16, 2024 to Apr 29, 2025
- Discretionary RAUM · $163M to $193MFeb 16, 2024 to Apr 29, 2025
- HNW RAUM · $160M to $190MFeb 16, 2024 to Apr 29, 2025
- Individual RAUM · $3.2M to $3.5MFeb 16, 2024 to Apr 29, 2025
- RAUM · $163M to $193MFeb 16, 2024 to Apr 29, 2025
- Accounts · 32 to 34Mar 29, 2023 to Feb 16, 2024
- HNW clients · 28 to 29Mar 29, 2023 to Feb 16, 2024
- Individual clients · 4 to 5Mar 29, 2023 to Feb 16, 2024
- Other offices · 1 to 0Mar 29, 2023 to Feb 16, 2024
- Discretionary RAUM · $143M to $163MMar 29, 2023 to Feb 16, 2024
- HNW RAUM · $141M to $160MMar 29, 2023 to Feb 16, 2024
- Individual RAUM · $2.0M to $3.2MMar 29, 2023 to Feb 16, 2024
- RAUM · $143M to $163MMar 29, 2023 to Feb 16, 2024
- Accounts · 31 to 32Apr 20, 2022 to Mar 29, 2023
- Individual clients · 3 to 4Apr 20, 2022 to Mar 29, 2023
- Discretionary RAUM · $167M to $143MApr 20, 2022 to Mar 29, 2023
- HNW RAUM · $166M to $141MApr 20, 2022 to Mar 29, 2023
- Individual RAUM · $888,593 to $2.0MApr 20, 2022 to Mar 29, 2023
- RAUM · $167M to $143MApr 20, 2022 to Mar 29, 2023
- Accounts · 30 to 31Jun 30, 2021 to Mar 29, 2022
- Individual clients · 2 to 3Jun 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $150M to $167MJun 30, 2021 to Mar 29, 2022
- HNW RAUM · $149M to $166MJun 30, 2021 to Mar 29, 2022
- Individual RAUM · $773,316 to $888,593Jun 30, 2021 to Mar 29, 2022
- RAUM · $150M to $167MJun 30, 2021 to Mar 29, 2022
- Accounts · 14 to 30Jul 11, 2012 to Jun 28, 2021
- Advisory employees · unset to 2.0Jul 11, 2012 to Jun 28, 2021
- HNW clients · unset to 28.0Jul 11, 2012 to Jun 28, 2021
Signals
1 dated events
- Alpha Wealth Strategies, Llc filed its initial SEC registration (Form ADV)Jun 28, 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
- clark@alphawealthstrategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- monroe@alphawealthstrategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- sparky@alphawealthstrategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-758-5252reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-758-5260reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ALPHAWEALTHSTRATEGIES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-758-5252reportedpublic record, Form ADV, Apr 23, 2026
- Contact form
- ALPHAWEALTHSTRATEGIES.COM/contact-usreportedpublished 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026