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.
SEC-registered adviser
Strategic Financial Concepts, LLC
Latest filing Jun 9, 2026
First filing on the tape Dec 12, 2011 · 80 filings
SEC status approved since Oct 24, 2006
RAUM
$928M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$756M individuals and HNW
Advisors
40
registered through the firm on IAPD
RAUM per advisor
$23.2M
derived; firm RAUM over IAPD count
Employees
41
41 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
0
reported on Schedule D
History
80 filings and snapshots on the tape
RAUM$928M as of Jun 9, 2026
Feb 29, 2012$90.9M then
HNW client RAUM$246M as of Jun 9, 2026
Mar 8, 2018$62.9M then
State-registered IARs (5.B.3)41 as of Jun 9, 2026
Feb 29, 20120 then
Employees (5.A)41 as of Jun 9, 2026
Mar 28, 201323 then
Private funds: no history
RAUM -7.8% over the last fiscal year+4.6% a year over threeIARs 41 to 41
Practice profile
derived from the filing of Jun 9, 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
- RAUM per advisor
- $23.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $242,602derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.6derived25 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$510M59%
- High-net-worth individuals$246M28%
- Corporations and businesses$62.1M7.2%
- Pension and profit-sharing plans$24.9M2.9%
- Charitable organizations$15.1M1.7%
- Insurance companies$7.9M0.9%
- Individual clients
- 3,508reported
- HNW clients
- 190reported
- Pension plan clients
- 23reported
- Charitable clients
- 20reported
- Accounts
- 3,824reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=20.0derived
Advisors registered through the firm
40 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Reagan Lee Wagner | San Antonio, Tx | Apr 13, 2007 | 25 y | 1 |
| Cort Allen Laurence | Euless, Tx | Apr 11, 2008 | 25 y | 1 |
| Leslie Kristen Wagner | San Antonio, Tx | Aug 28, 2008 | 22 y | 0 |
| Adam Dennis Straseske | San Antonio, Tx | Nov 13, 2008 | 27 y | 2 |
| Ryan James Bubela | Austin, Tx | Jan 5, 2009 | 21 y | 1 |
| Jeffery Lyle Solinsky | San Antonio, Tx | Aug 25, 2009 | 28 y | 4 |
| Dean Lovell BoebingerCertified Financial Planner | Houston, Tx | Mar 9, 2010 | 37 y | 1 |
| Wayne Norman Schwartz | Austin, Tx | Jun 17, 2011 | 50 y | 3 |
| Patrick David Taylor | Metairie, La | May 15, 2012 | 43 y | 2 |
| Thomas J. Meyer | Metairie, La | May 15, 2012 | 19 y | 2 |
| Erika Hernandez Marin | El Paso, Tx | Oct 23, 2012 | 24 y | 3 |
| Kirk Alan Walker | San Antonio, Tx | Jun 23, 2014 | 13 y | 0 |
| Larry Gene Holder | Boerne, Tx | Oct 23, 2014 | 33 y | 1 |
| Brian Zachary Jones | Austin, Tx | Dec 8, 2015 | 11 y | 2 |
| Sandra Dee Hegeman | Norman, Ok | Mar 19, 2016 | 11 y | 0 |
| Steven Romano | Edmond, Ok | Aug 31, 2016 | 37 y | 0 |
| Humberto Edmundo MorenoChartered Financial Analyst | Round Rock, Tx | Feb 9, 2017 | 34 y | 3 |
| Edward Charles YaleChartered Financial Analyst | San Angelo, Tx | May 24, 2017 | 23 y | 1 |
| Robert Paul Bruns | Houston, Tx | Mar 23, 2018 | 27 y | 3 |
| Michael Robert Harvey | Round Rock, Tx | Oct 23, 2018 | 28 y | 2 |
| Philip Eugene Wetzel, Jr. | Fort Worth, Tx | Feb 5, 2019 | 26 y | 2 |
| Richard Gordon Tarbell | San Antonio, Tx | Mar 15, 2019 | 39 y | 6 |
| George Gomez | El Paso, Tx | Sep 10, 2019 | 34 y | 4 |
| John Barton Stevens | Kerrville, Tx | Dec 4, 2019 | 21 y | 3 |
| David Livingston Mayfield | Fredericksburg, Tx | Feb 26, 2020 | 31 y | 2 |
| Kent Thomas Boatwright | Houston, Tx | Apr 29, 2021 | 13 y | 0 |
| Chris Edward Liebum | Flushing, Ny | Jan 6, 2023 | 21 y | 2 |
| Delaney Grace Mccoy | Norman, Ok | Sep 7, 2023 | 13 y | 0 |
| Brett Thomas Henry | Norman, Ok | Dec 22, 2023 | 27 y | 0 |
| Coby Ross Huerta | San Antonio, Tx | Apr 26, 2024 | 11 y | 0 |
| Alexander Littlepage | Metairie, La | May 3, 2024 | 13 y | 1 |
| Tony Merrill Ashton | Othello, Wa | Jan 15, 2025 | 27 y | 0 |
| Eddie Joseph Hebert | Kyle, Tx | Feb 20, 2025 | 30 y | 2 |
| Savannah Cheri Forster | San Antonio, Tx | Mar 17, 2025 | 10 y | 2 |
| Eden Elizabeth Solinsky | Deridder, La | Jul 16, 2025 | 13 y | 0 |
| Richard Alan Edgett | San Antonio, Tx | May 1, 2026 | 11 y | 3 |
| Van Taylor | Norman, Ok | May 1, 2026 | 11 y | 0 |
| William Tait Herbig | Houston, Tx | Jun 9, 2026 | 13 y | 1 |
| Madison Natae Franklin | San Antonio, Tx | Jun 24, 2026 | 10 y | 0 |
| Paul William Mattke | Milton, Fl | Jul 22, 2026 | 12 y | 2 |
Advisor movement
9 left, 3 joined in 12 months
net -6 in 12 months2 left in 90 days1 joined in 90 daysdeparture rate 23% of current headcount14 left over 36 months
Left, latest
- Derek Jefferson Moffatt to Moffatt Financial StrategiesAug 31, 2026 · RIA to RIA
- Matthew Brent Mccracken to A Sling & A Stone, IncorporatedJun 30, 2026 · RIA to RIA
- Devin Anthony Carroll to Carroll Advisory GroupDec 2, 2025 · RIA to a newly registered adviser
- Scott Edward Sanborn to Retire AgileDec 2, 2025 · RIA to RIA
- Roger Patrick Whitney to Retire AgileDec 2, 2025 · RIA to RIA
- Nicholaus Ryne Domachowski to Carroll Advisory GroupDec 2, 2025 · RIA to a newly registered adviser
- Alexander Whittington Davis to Carroll Advisory GroupDec 2, 2025 · RIA to a newly registered adviser
- Troy Fredrick Katterheinrich to Retire AgileDec 2, 2025 · RIA to RIA
- Edmond M Dhemecourt III to LPL Financial LLCSep 30, 2025 · RIA to affiliated broker-dealer or bank
- Leonard Joseph Nelson to LPL Financial LLCSep 16, 2025 · RIA to affiliated broker-dealer or bank
- Armando Salas to Cetera Investment Advisers LLCJan 10, 2025 · RIA to affiliated broker-dealer or bank
- Sean Paul Weaver to One Xvi WealthOct 29, 2024 · RIA to a state-registered adviser
- Luis E Ortiz to Edward JonesJan 11, 2024 · RIA to affiliated broker-dealer or bank
- Stefan Christopher Lloyd to Provident Wealth ManagementJan 2, 2024 · RIA to a state-registered adviser
- Rebecca Speck Foster to Integrity Alliance, LLCAug 28, 2021 · RIA to RIA
Joined, latest
- Paul William Mattke from Ameritas Advisory Services, LLCJul 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- William Tait Herbig from Victory FinancialJun 9, 2026 · RIA to RIA
- Richard Alan Edgett from Victory Capital Management Inc.May 1, 2026 · Other
- Savannah Cheri Forster from Wells Fargo AdvisorsMar 17, 2025 · Wirehouse to independent RIA
- Eddie Joseph Hebert from LPL Financial LLCFeb 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- Nicholaus Ryne Domachowski from Allegheny Financial GroupFeb 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- Alexander Littlepage from Edward JonesMay 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- Armando Salas from Vanguard Advisers, Inc.Mar 19, 2024 · Affiliated broker-dealer or bank to independent RIA
- Luis E Ortiz from J.P. Morgan Securities LLCJun 28, 2023 · Wirehouse to independent RIA
- Stefan Christopher Lloyd from Fourpark AdvisorsJun 18, 2023 · Other
- Troy Fredrick Katterheinrich from Merit Financial AdvisorsMay 22, 2023 · RIA to RIA
- Alexander Whittington Davis from Fidelity Personal And Workplace AdvisorsMar 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- Chris Edward Liebum from Ria Wealth Advisors, LLCJan 6, 2023 · RIA to RIA
- Devin Anthony Carroll from Intrua Advisory Group LLCNov 20, 2020 · RIA to RIA
- David Livingston Mayfield from LPL Financial LLCFeb 26, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Carroll Advisory GroupDec 2, 2025 · Texarkana, Tx
- 2 left for LPL Financial LLCSep 16, 2025 · Metairie, La
- 2 left for Oakwell Private Wealth ManagementMar 28, 2017 · San Antonio, Tx
- 3 joined from Wwk Wealth AdvisorsMar 21, 2019 · Fort Worth, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kristen Leslie Wagner · Owner And Chief Operating Officercontrolsince 07/2014 · owns 5% to 10%
- Lee Reagan Wagner · Managing Member And Chief Compliance Officercontrolsince 11/2007 · 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 |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 12 | 2 | 1 | ||
| Houston, Tx | 4 | 1 | 0 | ||
| Austin, Tx | 3 | 0 | 0 | ||
| Norman, Ok | 3 | 1 | 0 | ||
| Metairie, La | 3 | 0 | 1 | ||
| Deridder, La | 2 | 0 | 0 | ||
| Round Rock, Tx | 2 | 0 | 0 | ||
| El Paso, Tx | 2 | 0 | 0 | ||
| Fort Worth, Tx | 1 | 0 | 1 | ||
| Palm Beach Gardens, Fl | 0 | 0 | 1 | ||
| Texarkana, Tx | 0 | 0 | 2 | 1 | |
| Burnet, Tx | 0 | 0 | 1 | ||
| Mansfield, Tx | 0 | 0 | 1 | ||
| Mercer, Wi | 0 | 0 | 1 | ||
| Southlake, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Metairie, LA4 employees
- Round Rock, TX4 employees
- Texarkana, TX3 employees
- Austin, TX2 employees
- Burnet, TX2 employees
- Fredericksburg, TX2 employees
- El Paso, TX2 employees
- , 2 employees
- Kerrville, TX2 employees
- San Angelo, TX1 employees
- San Antonio, TX1 employees
- Ft Worth, TX1 employees
- , 1 employees
- Edmond, OK1 employees
- , 1 employees
- Yoakum, TX1 employees
- Katy, TX1 employees
- Deridder, LA1 employees
- Ft Worth, TX1 employees
- Katy, TX1 employees
- Mansfield, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 46.0% to 27.0% between the annual amendments of 2025-04-24 and 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Other offices · 23 to 24May 26, 2026 to Jun 9, 2026
- Other offices · 22 to 23Mar 24, 2026 to May 26, 2026
- Accounts · 3,290 to 3,824Apr 24, 2025 to Mar 24, 2026
- Charity clients · 11 to 20Apr 24, 2025 to Mar 24, 2026
- Corporate clients · 32 to 37Apr 24, 2025 to Mar 24, 2026
- HNW clients · 497 to 190Apr 24, 2025 to Mar 24, 2026
- Individual clients · 2,689 to 3,508Apr 24, 2025 to Mar 24, 2026
- Pension plan clients · 18 to 23Apr 24, 2025 to Mar 24, 2026
- Other offices · 24 to 22Apr 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.0B to $928MApr 24, 2025 to Mar 24, 2026
- HNW RAUM · $464M to $246MApr 24, 2025 to Mar 24, 2026
- Individual RAUM · $407M to $510MApr 24, 2025 to Mar 24, 2026
- Pension RAUM · $28.3M to $24.9MApr 24, 2025 to Mar 24, 2026
- RAUM · $1.0B to $928MApr 24, 2025 to Mar 24, 2026
- Accounts · 4,631 to 3,290Feb 25, 2025 to Apr 24, 2025
- Advisory employees · 35 to 41Feb 25, 2025 to Apr 24, 2025
- BD registered reps · 19 to 20Feb 25, 2025 to Apr 24, 2025
- Charity clients · 14 to 11Feb 25, 2025 to Apr 24, 2025
- Corporate clients · 37 to 32Feb 25, 2025 to Apr 24, 2025
- HNW clients · 185 to 497Feb 25, 2025 to Apr 24, 2025
- Individual clients · 4,335 to 2,689Feb 25, 2025 to Apr 24, 2025
- Pension plan clients · 28 to 18Feb 25, 2025 to Apr 24, 2025
- Employees · 35 to 41Feb 25, 2025 to Apr 24, 2025
- Financial planning clients · 251-500 to 251-500Feb 25, 2025 to Apr 24, 2025
- State-registered IARs · 35 to 41Feb 25, 2025 to Apr 24, 2025
- Other offices · 25 to 24Feb 25, 2025 to Apr 24, 2025
- Discretionary RAUM · $988M to $1.0BFeb 25, 2025 to Apr 24, 2025
- HNW RAUM · $339M to $464MFeb 25, 2025 to Apr 24, 2025
- Individual RAUM · $533M to $407MFeb 25, 2025 to Apr 24, 2025
- Pension RAUM · $15.4M to $28.3MFeb 25, 2025 to Apr 24, 2025
- RAUM · $988M to $1.0BFeb 25, 2025 to Apr 24, 2025
- Other offices · 24 to 25Oct 29, 2024 to Nov 4, 2024
- Other offices · 25 to 24Aug 21, 2024 to Oct 29, 2024
- Accounts · 4,470 to 4,631Nov 9, 2023 to Mar 22, 2024
- Charity clients · 6 to 14Nov 9, 2023 to Mar 22, 2024
- Corporate clients · 12 to 37Nov 9, 2023 to Mar 22, 2024
- HNW clients · 187 to 185Nov 9, 2023 to Mar 22, 2024
- Individual clients · 4,210 to 4,335Nov 9, 2023 to Mar 22, 2024
- Pension plan clients · 4 to 28Nov 9, 2023 to Mar 22, 2024
- Other offices · 27 to 25Nov 9, 2023 to Mar 22, 2024
Signals
24 dated events
- Derek Jefferson Moffatt left Strategic Financial Concepts, Llc for Moffatt Financial Strategies (registered 2025-07-17)Aug 31, 2026 · Advisor changed firm · fact
- Matthew Brent Mccracken left Strategic Financial Concepts, Llc for A Sling & A Stone, Incorporated (registered 2019-01-23)Jun 30, 2026 · Advisor changed firm · fact
- Alexander Whittington Davis left Strategic Financial Concepts, Llc for Carroll Advisory Group (registered 2025-03-28)Dec 2, 2025 · Advisor changed firm · fact
- Nicholaus Ryne Domachowski left Strategic Financial Concepts, Llc for Carroll Advisory Group (registered 2025-03-28)Dec 2, 2025 · Advisor changed firm · fact
- Devin Anthony Carroll left Strategic Financial Concepts, Llc for Carroll Advisory Group (registered 2025-03-25)Dec 2, 2025 · Advisor changed firm · fact
- 3 advisors left Strategic Financial Concepts, LLC (Texarkana, TX) for Carroll Advisory Group on the same dayDec 2, 2025 · Team lift-out · derived
- Troy Fredrick Katterheinrich left Strategic Financial Concepts, Llc for Retire Agile (registered 2025-08-07)Dec 2, 2025 · Advisor changed firm · fact
- Scott Edward Sanborn left Strategic Financial Concepts, Llc for Retire Agile (registered 2025-08-07)Dec 2, 2025 · Advisor changed firm · fact
- Roger Patrick Whitney left Strategic Financial Concepts, Llc for Retire Agile (registered 2025-08-07)Dec 2, 2025 · Advisor changed firm · fact
- Edmond M Dhemecourt Iii left Strategic Financial Concepts, Llc for Lpl Financial Llc (registered 2025-10-01)Sep 30, 2025 · Advisor changed firm · fact
- 2 advisors left Strategic Financial Concepts, LLC (Metairie, LA) for LPL Financial LLC within 14 daysSep 16, 2025 · Team lift-out · derived
- Leonard Joseph Nelson left Strategic Financial Concepts, Llc for Lpl Financial Llc (registered 2025-09-17)Sep 16, 2025 · Advisor changed firm · fact
- Armando Salas left Strategic Financial Concepts, Llc for Cetera Investment Advisers Llc (registered 2025-01-17)Jan 10, 2025 · Advisor changed firm · fact
- Sean Paul Weaver left Strategic Financial Concepts, Llc for One Xvi Wealth (registered 2024-04-05)Oct 29, 2024 · Advisor changed firm · fact
- Luis E Ortiz left Strategic Financial Concepts, Llc for Edward Jones (registered 2024-02-01)Jan 11, 2024 · Advisor changed firm · fact
- Stefan Christopher Lloyd left Strategic Financial Concepts, Llc for Provident Wealth Management (registered 2024-02-09)Jan 2, 2024 · Advisor changed firm · fact
- Strategic Financial Concepts, Llc reported RAUM $855.1M, up 26% from $678.7M (2021-11-29 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Strategic Financial Concepts, Llc reported RAUM $678.7M, up 25% from $541.4M (2021-02-11 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Strategic Financial Concepts, Llc reported 39 state-registered advisory representatives, up from 24 (2021-02-11 to 2021-03-29)Mar 29, 2021 · Advisor headcount change · derived
- Strategic Financial Concepts, Llc reported RAUM $541.4M, up 58% from $343.1M (2020-02-26 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Strategic Financial Concepts, Llc reported 24 state-registered advisory representatives, down from 40 (2020-02-26 to 2020-03-31)Mar 31, 2020 · Advisor headcount change · derived
- Strategic Financial Concepts, Llc reported 25 offices beyond its principal office, up from 16 (2020-02-26 to 2020-03-31)Mar 31, 2020 · Office count change · derived
- Strategic Financial Concepts, Llc reported 40 state-registered advisory representatives, up from 27 (2018-08-10 to 2019-03-29)Mar 29, 2019 · Advisor headcount change · derived
- Strategic Financial Concepts, Llc reported RAUM $343.1M, up 94% from $177.0M (2018-08-10 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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
- 512-327-4747reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/1584827reportedpublic record, Form ADV, Sep 18, 2026
- Website
- humbleinvestor.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-737-7800reportedpublic record, Form ADV, Jun 9, 2026
- Contact form
- humbleinvestor.net/contactreportedpublished 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
- $23.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026