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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••• I••••••••• C••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Jun 25, 2007
RAUM
$256M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
77%
$197M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$16.0M
derived; firm RAUM over IAPD count
Employees
33
17 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$256M as of Mar 31, 2026
Mar 30, 2012$123M then
HNW client RAUM$178M as of Mar 31, 2026
Apr 20, 2018$34.9M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)33 as of Mar 31, 2026
Apr 1, 201337 then
Private funds1 as of Mar 31, 2026
Mar 29, 20232 then
RAUM +12% over the last fiscal year+0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $16.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $518,132derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 4.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $197MreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$178M87%
- Individuals$19.4M9.5%
- Pooled investment vehicles$6.2M3.1%
- Individual clients
- 391reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 494reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.77 fund_share=0.02 institutional_share=0.0 related_bd=true related_bank=false bd_reps=28.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• A••••• V•••••••Certified Financial Planner, Chartered Financial Consultant | Mankato, Mn | Dec 7, 2007 | 43 y | 1 |
| B•••• D•••••• W••••• | San Antonio, Tx | Jun 8, 2010 | 21 y | 2 |
| J••••• B• L••••Chartered Financial Analyst | San Antonio, Tx | Jun 15, 2011 | 17 y | 2 |
| J••• H•••••• C••••••••Chartered Financial Consultant | San Antonio, Tx | Apr 1, 2013 | 32 y | 1 |
| C••••••••• C• E••••••• | San Antonio, Tx | Oct 22, 2013 | 17 y | 1 |
| P••• K•••••• M••••••• | San Antonio, Tx | Feb 19, 2015 | 22 y | 2 |
| R••• G•••••• R•••• | San Antonio, Tx | Aug 17, 2015 | 14 y | 1 |
| J•••• L••• W••••••••• | San Antonio, Tx | May 21, 2019 | 19 y | 3 |
| A•••••••• M••••• S••••• | R••••••Son, Tx | Jun 19, 2019 | 16 y | 2 |
| A•••••••• G• I••••Certified Financial Planner | San Antonio, Tx | Jul 17, 2020 | 12 y | 1 |
| S•••••••• E••••••• F••••• | San Antonio, Tx | Jul 12, 2024 | 18 y | 0 |
| K••• D•••• H••••• | San Antonio, Tx | Apr 10, 2025 | 10 y | 0 |
| C••••••••• R••••• D••••• | San Antonio, Tx | Sep 9, 2025 | 32 y | 1 |
| T••••• L••••• S••••••• | San Antonio, Tx | Jan 6, 2026 | 39 y | 2 |
| H••••• D•••••• | San Antonio, Tx | Jan 27, 2026 | 12 y | 0 |
| C•••••• R•••••• K••••• | San Antonio, Tx | Aug 21, 2026 | 14 y | 1 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 13% of current headcount9 left over 36 months
Left, latest
- M•••••• A•••••• W•••••• to P••••••••• F••••••••• L••Jul 10, 2026 · RIA to RIA
- M•••••• K••••••••• to J••• M••••• S••••••••• L••Jan 6, 2026 · RIA to wirehouse
- B••••••• K•••• L••••••• to E••••• J••••Aug 29, 2024 · RIA to affiliated broker-dealer or bank
- S••• P•••••• T•••• to C••••••• S••••• C••••••• I•••May 7, 2024 · RIA to RIA
- J•••• E•••••• C•••• to L•• F•••••••• L••May 7, 2024 · RIA to affiliated broker-dealer or bank
- C•••• M•••••• M•••• to W•••• F•••• A•••••••Apr 17, 2024 · RIA to wirehouse
- R•••••• W• R•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 4, 2024 · RIA to wirehouse
- P••• G•••••• G••••• to O•••• I••••••••• I•••Feb 26, 2024 · RIA to affiliated broker-dealer or bank
- M••• E••••• T••••• to H•••••• S••••••••• I•••Sep 28, 2023 · RIA to affiliated broker-dealer or bank
- A••• M•••••• G••••• to C••••• I••••••••• A••••••• L••Aug 1, 2023 · RIA to affiliated broker-dealer or bank
- M•••• M••••• to C•••••••• G••••• M•••••• I•••Aug 16, 2022 · RIA to affiliated broker-dealer or bank
- S••••••• C••••• to L•• F•••••••• L••Jun 20, 2022 · RIA to RIA
- D••••• J• T••••••• to J••• M••••• S••••••••• L••Jun 17, 2022 · RIA to wirehouse
- J•••••• A••••• to L•• F•••••••• L••Sep 15, 2021 · RIA to affiliated broker-dealer or bank
- J•••• E••• I•••• to C•••••• S••••• • C••• I•••Jul 6, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••• R•••••• K••••• from V•••••• C•••••• M••••••••• I•••Aug 21, 2026 · Other
- T••••• L••••• S••••••• from A••••••• A•••• M••••••••• I•••Jan 6, 2026 · RIA to RIA
- C••••••••• R••••• D••••• from A••••••• A•••• M••••••••• I•••Sep 9, 2025 · Other
- M•••••• A•••••• W•••••• from T••••••• F•••••••• A•••••••• L••Jul 9, 2024 · RIA to RIA
- C•••• M•••••• M•••• from T••••• A••••••• S•••••••• I•••Nov 16, 2023 · Affiliated broker-dealer or bank to independent RIA
- D••••• J• T••••••• from A••••••••• F•••••••• S•••••••• L••Sep 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••• E•••••• C•••• from V•••••• C•••••• M••••••••• I•••Sep 21, 2021 · Other
- R•••••• W• R•••• from B•••••••• C•••••• P•••••••• L••Dec 14, 2020 · Other
- A•••••••• G• I•••• from P•• F•••••••• G••••Jul 17, 2020 · RIA to RIA
- A•••••••• M••••• S••••• from M•••• C••••••• A••••••• S••••••Jun 19, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• E••• I•••• from A••••••••• F•••••••• S•••••••• L••May 21, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• L••• W••••••••• from A••••••• A•••• M••••••••• I•••May 21, 2019 · RIA to RIA
- J••••••• R•••••• from C•••••• O•• A•••••••• L••Jun 5, 2018 · Affiliated broker-dealer or bank to independent RIA
- L••••• M•••• D••••• from P•• W••••• M•••••••••Dec 7, 2017 · Other
- D•••• W•••• M••••••• from C••• B•••••••• S•••••••• I•••Aug 24, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Aug 7, 2018 · San Antonio, Tx
- 2 left for I••••••••• C•••••• O• A••••••• I•••Sep 1, 2015 · Searcy, Ar
- 2 left for C••••• I••••••••• A••••••• L••Aug 17, 2015 · Wyomissing, Pa
- 2 joined from A••••••• A•••• M••••••••• I•••Aug 18, 2015 · Boerne, Tx
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• R• F••• L• | Real Estate Fund | $124M | 18 | Mar 29, 2023 |
| S••• C•• F••• I• L• | Private Equity Fund | $3.0M | 8 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••• C••••••• E••••••• · Chairman Of The Board Of Directorscontrolsince 07/1991 · owns less than 5%
- D•••••• G•••• L•• · Director, Vice President, Secretary & Treasurercontrolsince 07/1991 · owns less than 5%
- I••••• A••••••••• G• · Director Of Compliancecontrolsince 07/2020 · owns less than 5%
- R•••••• D•••••• S•••• · Ceocontrolsince 12/2023 · owns less than 5%
- A••••• C••••••• E••••••• · 50% Owner, Chairman And Ceocontrolsince 04/1976 · owns 50% to 75% of S••• C•••••••••
- D•••••• G•••• L•• · 50% Owner, Presidentcontrolsince 04/1976 · owns 50% to 75% of S••• C•••••••••
Entity owners
- S••• C••••••••• · 100% Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••• I••••••••• A••••••• S••••••• L••investment adviserLP sponsorn
- S••• I••••••••• S•••••••• L••broker-dealerreal estaten
Advisers that list S••• I••••••••• C•••••• as a related person
- 156155 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 15 | 3 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Greer, SC2 employees
- Seabrook, TX1 employees
- R••••••Son, TX1 employees
- Dallas, TX1 employees
- Mckinney, TX1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 100.0% to 77.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 406 to 494Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 19 to 17Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 5 to 7Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 24 to 28Mar 31, 2025 to Mar 31, 2026
- HNW clients · 72 to 79Mar 31, 2025 to Mar 31, 2026
- Individual clients · 309 to 391Mar 31, 2025 to Mar 31, 2026
- Employees · 28 to 33Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $229M to $197MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $160M to $178MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $16.6M to $19.4MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $58.5MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.4M to $6.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $229M to $256MMar 31, 2025 to Mar 31, 2026
- Accounts · 250 to 406May 16, 2024 to Mar 31, 2025
- BD registered reps · 35 to 24May 16, 2024 to Mar 31, 2025
- HNW clients · 63 to 72May 16, 2024 to Mar 31, 2025
- Individual clients · 149 to 309May 16, 2024 to Mar 31, 2025
- Pooled vehicle clients · 26 to 8May 16, 2024 to Mar 31, 2025
- Employees · 35 to 28May 16, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10May 16, 2024 to Mar 31, 2025
- Other offices · 7 to 3May 16, 2024 to Mar 31, 2025
- Private funds · 2 to 1May 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $346M to $229MMay 16, 2024 to Mar 31, 2025
- HNW RAUM · $145M to $160MMay 16, 2024 to Mar 31, 2025
- Individual RAUM · $11.6M to $16.6MMay 16, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $127M to $4.4MMay 16, 2024 to Mar 31, 2025
- RAUM · $346M to $229MMay 16, 2024 to Mar 31, 2025
- Accounts · 340 to 250Dec 7, 2023 to Mar 28, 2024
- Advisory employees · 15 to 19Dec 7, 2023 to Mar 28, 2024
- BD registered reps · 43 to 35Dec 7, 2023 to Mar 28, 2024
- HNW clients · 95 to 63Dec 7, 2023 to Mar 28, 2024
- Individual clients · 202 to 149Dec 7, 2023 to Mar 28, 2024
- Pooled vehicle clients · 25 to 26Dec 7, 2023 to Mar 28, 2024
- Employees · 45 to 35Dec 7, 2023 to Mar 28, 2024
- Other offices · 10 to 7Dec 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $256M to $346MDec 7, 2023 to Mar 28, 2024
- HNW RAUM · $156M to $145MDec 7, 2023 to Mar 28, 2024
- Individual RAUM · $14.9M to $11.6MDec 7, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $124M to $0Dec 7, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $124M to $127MDec 7, 2023 to Mar 28, 2024
Signals
28 dated events
- M•••••• A•••••• W•••••• left S••• I••••••••• C•••••• for P••••••••• F••••••••• L•• (registered 2026-07-29)Jul 10, 2026 · a•••••• firm change · fact
- M•••••• K••••••••• left S••• I••••••••• C•••••• for J••• M••••• S••••••••• L•• (registered 2026-01-15)Jan 6, 2026 · a•••••• firm change · fact
- S••• I••••••••• C•••••• reported RAUM $229.2M, down 34% from $345.8M (2024-05-16 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- B••••••• K•••• L••••••• left S••• I••••••••• C•••••• for E••••• J•••• (registered 2024-09-06)Aug 29, 2024 · a•••••• firm change · fact
- S••• P•••••• T•••• left S••• I••••••••• C•••••• for C••••••• S••••• C••••••• I••• (registered 2024-05-14)May 7, 2024 · a•••••• firm change · fact
- J•••• E•••••• C•••• left S••• I••••••••• C•••••• for L•• F•••••••• L•• (registered 2024-05-01)May 7, 2024 · a•••••• firm change · fact
- C•••• M•••••• M•••• left S••• I••••••••• C•••••• for W•••• F•••• A••••••• (registered 2025-10-10)Apr 17, 2024 · a•••••• firm change · fact
- John P•••••• Muras (Cfo) no longer on Schedule A of S••• I••••••••• C•••••• (listed 2023-12-07, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- R•••••• W• R•••• left S••• I••••••••• C•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-08)Mar 4, 2024 · a•••••• firm change · fact
- P••• G•••••• G••••• left S••• I••••••••• C•••••• for O•••• I••••••••• I••• (registered 2024-02-20)Feb 26, 2024 · a•••••• firm change · fact
- P•••••• John T•••• (Ceo/President) no longer on Schedule A of S••• I••••••••• C•••••• (listed 2023-09-07, absent 2023-12-07)Dec 7, 2023 · Control person left · inference
- Scott Donald Rykert (Ceo) appeared on Schedule A of S••• I••••••••• C••••••Dec 7, 2023 · Control person joined · fact
- M••• E••••• T••••• left S••• I••••••••• C•••••• for H•••••• S••••••••• I••• (registered 2023-08-11)Sep 28, 2023 · a•••••• firm change · fact
- A••• M•••••• G••••• left S••• I••••••••• C•••••• for C••••• I••••••••• A••••••• L•• (registered 2023-07-31)Aug 1, 2023 · a•••••• firm change · fact
- S••• I••••••••• C•••••• reported RAUM $380.1M, up 49% from $255.8M (2023-03-29 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- F Norbert Fabre (Executive Vp) no longer on Schedule A of S••• I••••••••• C•••••• (listed 2022-04-01, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- S••• I••••••••• C•••••• reported 0 state-registered advisory representatives, down from 30 (2022-04-01 to 2023-03-29)Mar 29, 2023 · ria a•••••• headcount change · derived
- M•••• M••••• left S••• I••••••••• C•••••• for C•••••••• G••••• M•••••• I••• (registered 2022-09-06)Aug 16, 2022 · a•••••• firm change · fact
- S••••••• C••••• left S••• I••••••••• C•••••• for L•• F•••••••• L•• (registered 2022-07-15)Jun 20, 2022 · a•••••• firm change · fact
- D••••• J• T••••••• left S••• I••••••••• C•••••• for J••• M••••• S••••••••• L•• (registered 2022-06-17)Jun 17, 2022 · a•••••• firm change · fact
- G A•••••••• Ireta (Director Of Compliance) appeared on Schedule A of S••• I••••••••• C••••••Mar 31, 2021 · Control person joined · fact
- S••• I••••••••• C•••••• reported 19 offices beyond its principal office, down from 26 (2020-12-04 to 2021-03-31)Mar 31, 2021 · Office count change · derived
- F Norbert Fabre (Executive Vp) appeared on Schedule A of S••• I••••••••• C••••••Mar 31, 2021 · Control person joined · fact
- S••• I••••••••• C•••••• reported 30 state-registered advisory representatives, up from 1 (2019-08-15 to 2020-03-30)Mar 30, 2020 · ria a•••••• headcount change · derived
- S••• I••••••••• C•••••• reported 26 offices beyond its principal office, up from 16 (2019-08-15 to 2020-03-30)Mar 30, 2020 · Office count change · derived
- John P•••••• Muras (Cfo) appeared on Schedule A of S••• I••••••••• C••••••Mar 30, 2020 · Control person joined · fact
- Daniel Jacob Palmer (Chief Compliance Officer) no longer on Schedule A of S••• I••••••••• C•••••• (listed 2019-03-29, absent 2019-07-24)Jul 24, 2019 · Control person left · inference
- S••• I••••••••• C•••••• reported 16 offices beyond its principal office, up from 10 (2018-03-02 to 2018-04-20)Apr 20, 2018 · Office count change · derived
Across DFX
shared identifiers only, never a name match
- S••• I••••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- S••• I••••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- S•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-376-3279reportedpublic record, Form ADV, Mar 31, 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
- $16.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S••• I••••••••• C•••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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