DFX Intelligence
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T••••••••• A•••••••• L••
Independent wealth manager, based in Katy, Texas, reporting $335M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $335M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 100% of RAUM, $335M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $284MRAUM now $335M
- Contact points 2
Every filed figure, and the identifiersCRD 142438 · SEC 801-113723 · 11 filingsShowHide
CRD 142438SEC 801-113723First filing on the tape Jun 28, 2018, latest Mar 27, 2026SEC status approved since Jul 26, 2018IAPD
RAUM
$335M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$335M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$168M
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
11 filings and snapshots on the tape
RAUM$335M as of Mar 27, 2026
Mar 27, 2019$145M then
HNW client RAUM$278M as of Mar 27, 2026
Mar 27, 2019$108M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 27, 20192 then
Employees (5.A)2 as of Mar 27, 2026
Mar 27, 20192 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $406,270derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$278M83%
- Individuals$57.2M17%
- Individual clients
- 174reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 825reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••• S•••• N••••Certified Financial Planner | Katy, Tx | Jan 1, 2007 | 25 y | 1 |
| J•••••• M•••••• M••••••••Certified Financial Planner | Katy, Tx | Feb 23, 2017 | 13 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J•••••• M•••••• M•••••••• from A••••••••• F•••••••• S•••••••• L••Feb 23, 2017 · Affiliated broker-dealer or bank to independent RIA
- C•••• S•••• N•••• from C••••• A•••••• N••••••• L••Jan 1, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• C••••• S•••• · Principal/Owner, Ccocontrolsince 04/2006 · owns 75% or more
- M••••••••• J••••••• M•••••• · Financial A••••••since 01/2023 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Katy, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 808 to 825Mar 27, 2025 to Mar 27, 2026
- HNW clients · 77 to 90Mar 27, 2025 to Mar 27, 2026
- Individual clients · 189 to 174Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $282M to $333MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $223M to $278MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $61.1M to $57.2MMar 27, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.0M to $1.9MMar 27, 2025 to Mar 27, 2026
- RAUM · $284M to $335MMar 27, 2025 to Mar 27, 2026
- Accounts · 771 to 808Mar 31, 2024 to Mar 27, 2025
- HNW clients · 70 to 77Mar 31, 2024 to Mar 27, 2025
- Individual clients · 179 to 189Mar 31, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 251-500Mar 31, 2024 to Mar 27, 2025
- Discretionary RAUM · $259M to $282MMar 31, 2024 to Mar 27, 2025
- HNW RAUM · $205M to $223MMar 31, 2024 to Mar 27, 2025
- Individual RAUM · $55.7M to $61.1MMar 31, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.9M to $2.0MMar 31, 2024 to Mar 27, 2025
- RAUM · $261M to $284MMar 31, 2024 to Mar 27, 2025
- Accounts · 739 to 771May 25, 2023 to Mar 31, 2024
- HNW clients · 58 to 70May 25, 2023 to Mar 31, 2024
- Individual clients · 187 to 179May 25, 2023 to Mar 31, 2024
- Discretionary RAUM · $221M to $259MMay 25, 2023 to Mar 31, 2024
- HNW RAUM · $169M to $205MMay 25, 2023 to Mar 31, 2024
- Individual RAUM · $53.8M to $55.7MMay 25, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $1.9M to $1.9MMay 25, 2023 to Mar 31, 2024
- RAUM · $223M to $261MMay 25, 2023 to Mar 31, 2024
- Accounts · 700 to 739Mar 28, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Mar 28, 2022 to Mar 31, 2023
- HNW clients · 68 to 58Mar 28, 2022 to Mar 31, 2023
- Individual clients · 171 to 187Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $236M to $221MMar 28, 2022 to Mar 31, 2023
- HNW RAUM · $188M to $169MMar 28, 2022 to Mar 31, 2023
- Individual RAUM · $50.5M to $53.8MMar 28, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $2.2M to $1.9MMar 28, 2022 to Mar 31, 2023
- RAUM · $239M to $223MMar 28, 2022 to Mar 31, 2023
- Accounts · 640 to 700Mar 31, 2021 to Mar 28, 2022
- HNW clients · 55 to 68Mar 31, 2021 to Mar 28, 2022
- Individual clients · 168 to 171Mar 31, 2021 to Mar 28, 2022
- Discretionary RAUM · $201M to $236MMar 31, 2021 to Mar 28, 2022
- HNW RAUM · $153M to $188MMar 31, 2021 to Mar 28, 2022
- Individual RAUM · $49.9M to $50.5MMar 31, 2021 to Mar 28, 2022
Signals
1 dated events
- ••• LockedJun 28, 2018 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
- $168Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026