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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Former SEC-registered adviser
S•••• I••••••••• M••••••••• L•••••
Latest filing Mar 27, 2024
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$716M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$713M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
27 filings and snapshots on the tape
RAUM$716M as of Mar 27, 2024
Mar 30, 2012$331M then
HNW client RAUM$674M as of Mar 27, 2024
Mar 29, 2018$29.4M then
State-registered IARs (5.B.3)3 as of Mar 27, 2024
Mar 28, 20135 then
Employees (5.A)5 as of Mar 27, 2024
Mar 28, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year+2.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- High-net-worth individuals$674M95%
- Individuals$38.4M5.4%
- Individual clients
- 130reported
- HNW clients
- 153reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 325reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- S•••••• S•••• S•••• to E• W••••• A•••••••Jul 31, 2024 · RIA to RIA
- F•••• O••••• S•••• to E• W••••• A•••••••Jul 31, 2024 · RIA to RIA
- C•••• W••• C••••• to E• W••••• A•••••••Jul 31, 2024 · RIA to RIA
- J•••• P•••••• H•••• to E• W••••• A•••••••Jul 31, 2024 · RIA to RIA
- C•••••• R•••••• M••• to M•••••• I•••••••••Jul 13, 2020 · RIA to a newly registered adviser
- F•••••••• W•••• L••• to L••• I••••••••• M•••••••••Jan 28, 2015 · Other
Joined, latest
- J•••• P•••••• H•••• from N•••••••• B••••• B• L••Jul 29, 2020 · Other
- C•••••• R•••••• M••• from S•••• A••••• F••••••••• L••Oct 4, 2019 · RIA to RIA
- F•••••••• W•••• L••• from N•••••••• B••••• B• L••Aug 31, 2009 · Other
- F•••• O••••• S•••• from S•••••••Mar 2, 2007 · Other
- C•••• W••• C••••• from S•••••••Feb 28, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for E• W••••• A•••••••Jul 31, 2024 · Dallas, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••• W••• · Managing Membercontrolsince 06/2020 · owns less than 5%
- S••••• F••••• O••••• · Presidentcontrolsince 02/2007 · owns 50% to 75%
- C•••••• K••••• S•••• · Membersince 02/2007 · owns 10% to 25%
- P••••••••• G•••• M••• · Membersince 02/2007 · owns 5% to 10%
- P•••••• T••••••• A•• · Cco/Ctosince 06/2020 · owns 10% to 25%
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 | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 317 to 325May 1, 2023 to Mar 27, 2024
- HNW clients · 16 to 153May 1, 2023 to Mar 27, 2024
- Individual clients · 263 to 130May 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $620M to $713MMay 1, 2023 to Mar 27, 2024
- HNW RAUM · $149M to $674MMay 1, 2023 to Mar 27, 2024
- Individual RAUM · $471M to $38.4MMay 1, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $3.1M to $3.6MMay 1, 2023 to Mar 27, 2024
- RAUM · $623M to $716MMay 1, 2023 to Mar 27, 2024
- Accounts · 302 to 317Oct 26, 2022 to May 1, 2023
- HNW clients · 14 to 16Oct 26, 2022 to May 1, 2023
- Individual clients · 254 to 263Oct 26, 2022 to May 1, 2023
- Employees · 6 to 5Oct 26, 2022 to May 1, 2023
- Discretionary RAUM · $666M to $620MOct 26, 2022 to May 1, 2023
- HNW RAUM · $154M to $149MOct 26, 2022 to May 1, 2023
- Individual RAUM · $511M to $471MOct 26, 2022 to May 1, 2023
- Non-discretionary RAUM · $3.2M to $3.1MOct 26, 2022 to May 1, 2023
- RAUM · $669M to $623MOct 26, 2022 to May 1, 2023
- Accounts · 320 to 302Apr 7, 2021 to Apr 4, 2022
- HNW clients · 15 to 14Apr 7, 2021 to Apr 4, 2022
- Individual clients · 302 to 254Apr 7, 2021 to Apr 4, 2022
- Employees · 7 to 6Apr 7, 2021 to Apr 4, 2022
- Discretionary RAUM · $661M to $666MApr 7, 2021 to Apr 4, 2022
- HNW RAUM · $153M to $154MApr 7, 2021 to Apr 4, 2022
- Individual RAUM · $508M to $511MApr 7, 2021 to Apr 4, 2022
- Non-discretionary RAUM · $2.7M to $3.2MApr 7, 2021 to Apr 4, 2022
- RAUM · $664M to $669MApr 7, 2021 to Apr 4, 2022
- Accounts · 329 to 320Jul 24, 2020 to Mar 31, 2021
- Advisory employees · 2 to 3Jul 24, 2020 to Mar 31, 2021
- HNW clients · 14 to 15Jul 24, 2020 to Mar 31, 2021
- Individual clients · 298 to 302Jul 24, 2020 to Mar 31, 2021
- Employees · 5 to 7Jul 24, 2020 to Mar 31, 2021
- State-registered IARs · 2 to 3Jul 24, 2020 to Mar 31, 2021
- Discretionary RAUM · $606M to $661MJul 24, 2020 to Mar 31, 2021
- HNW RAUM · $141M to $153MJul 24, 2020 to Mar 31, 2021
- Individual RAUM · $465M to $508MJul 24, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $2.2M to $2.7MJul 24, 2020 to Mar 31, 2021
- RAUM · $608M to $664MJul 24, 2020 to Mar 31, 2021
- Advisory employees · 3 to 2Mar 31, 2020 to Jun 30, 2020
- Employees · 6 to 5Mar 31, 2020 to Jun 30, 2020
- State-registered IARs · 3 to 2Mar 31, 2020 to Jun 30, 2020
Signals
5 dated events
- S•••••• S•••• S•••• left S•••• I••••••••• M••••••••• L••••• for E• W••••• A••••••• (registered 2024-07-08)Jul 31, 2024 · Advisor changed firm · fact
- F•••• O••••• S•••• left S•••• I••••••••• M••••••••• L••••• for E• W••••• A••••••• (registered 2024-07-17)Jul 31, 2024 · Advisor changed firm · fact
- J•••• P•••••• H•••• left S•••• I••••••••• M••••••••• L••••• for E• W••••• A••••••• (registered 2024-07-09)Jul 31, 2024 · Advisor changed firm · fact
- C•••• W••• C••••• left S•••• I••••••••• M••••••••• L••••• for E• W••••• A••••••• (registered 2024-07-09)Jul 31, 2024 · Advisor changed firm · fact
- S•••• I••••••••• M••••••••• L•••••'s advisors moved to E• W••••• A••••••• (Dallas, TX): 4 of 4 registered, on the same dayJul 31, 2024 · Firm absorbed (people side) · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026