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
Finser Investment Advisor
Latest filing Sep 14, 2026
First filing on the tape Feb 22, 2012 · 23 filings
SEC status approved since Jan 26, 2007
RAUM
$1.7B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$873M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.4B as of Aug 25, 2025
Sep 18, 2012$875M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 25, 2025
Sep 18, 20120 then
Employees (5.A)1 as of Aug 25, 2025
Sep 9, 20133 then
Private funds: no history
RAUM +6.3% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
- RAUM per advisor
- $873MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $175MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Vincent Edward Myers | San Antonio, Tx | Jan 26, 2007 | 44 y | 1 |
| Frederick Lynn Baker | San Antonio, Tx | Jan 26, 2007 | 23 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
- Frederick Lynn Baker from Samco Financial Advisors, Inc.Jan 26, 2007 · Other
- Vincent Edward Myers from Samco Financial Advisors, Inc.Jan 26, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jane Carla Baker · Directorcontrolsince 12/2006 · owns less than 5%
- Edward Vincent Myers · Chairman, President And Chief Compliance Officercontrolsince 12/2016 · owns less than 5%
- Charles Matthew Holmes · Directorsince 12/2016 · owns less than 5%
Entity owners
- Fred L. Baker & Associates, Inc. · Ownerdirect · 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 | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 14, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
- affiliate changedChange between filings · filing Sep 14, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2025-08-25, yes on the filing of 2026-09-14peers: other advisers, $1B to $5B (247)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetAug 25, 2025 to Sep 14, 2026
- Non-discretionary RAUM · $1.4B to $1.7BAug 25, 2025 to Sep 14, 2026
- RAUM · $1.4B to $1.7BAug 25, 2025 to Sep 14, 2026
- Related broker-dealer · false to trueAug 25, 2025 to Sep 14, 2026
- Succession · false to unsetAug 25, 2025 to Sep 14, 2026
- Financial planning clients · unset to Sep 20, 2024 to Aug 25, 2025
- Non-discretionary RAUM · $1.5B to $1.4BSep 20, 2024 to Aug 25, 2025
- RAUM · $1.5B to $1.4BSep 20, 2024 to Aug 25, 2025
- Non-discretionary RAUM · $1.6B to $1.5BSep 5, 2023 to Sep 20, 2024
- RAUM · $1.6B to $1.5BSep 5, 2023 to Sep 20, 2024
- Non-discretionary RAUM · $1.5B to $1.6BSep 7, 2022 to Sep 5, 2023
- RAUM · $1.5B to $1.6BSep 7, 2022 to Sep 5, 2023
- Non-discretionary RAUM · $973M to $1.5BSep 9, 2021 to Sep 7, 2022
- RAUM · $973M to $1.5BSep 9, 2021 to Sep 7, 2022
- Non-discretionary RAUM · $1.0B to $973MSep 17, 2020 to Sep 9, 2021
- RAUM · $1.0B to $973MSep 17, 2020 to Sep 9, 2021
- Accounts · 9 to 10Aug 28, 2019 to Sep 15, 2020
- Non-discretionary RAUM · $954M to $1.0BAug 28, 2019 to Sep 15, 2020
- RAUM · $954M to $1.0BAug 28, 2019 to Sep 15, 2020
- Related broker-dealer · true to falseAug 28, 2019 to Sep 15, 2020
- Accounts · 8 to 9Nov 19, 2018 to Aug 28, 2019
- Non-discretionary RAUM · $861M to $954MNov 19, 2018 to Aug 28, 2019
- RAUM · $861M to $954MNov 19, 2018 to Aug 28, 2019
- Accounts · 7 to 8Aug 11, 2017 to Aug 16, 2018
- Other offices · unset to 0.0Aug 11, 2017 to Aug 16, 2018
- Non-discretionary RAUM · $665M to $861MAug 11, 2017 to Aug 16, 2018
- RAUM · $665M to $861MAug 11, 2017 to Aug 16, 2018
- Related broker-dealer · false to trueAug 11, 2017 to Aug 16, 2018
- Employees · 2 to 1Feb 16, 2017 to Aug 11, 2017
- Non-discretionary RAUM · $811M to $665MFeb 16, 2017 to Aug 11, 2017
- RAUM · $811M to $665MFeb 16, 2017 to Aug 11, 2017
- Advisory employees · 2 to 1Oct 31, 2016 to Feb 16, 2017
- BD registered reps · 2 to 1Oct 31, 2016 to Feb 16, 2017
- Employees · 3 to 2Oct 31, 2016 to Feb 16, 2017
- State-registered IARs · 2 to 1Oct 31, 2016 to Feb 16, 2017
- Non-discretionary RAUM · $1.0B to $811MAug 21, 2015 to Sep 1, 2016
- RAUM · $1.0B to $811MAug 21, 2015 to Sep 1, 2016
- Related broker-dealer · true to falseAug 21, 2015 to Sep 1, 2016
- Non-discretionary RAUM · $1.1B to $1.0BSep 4, 2014 to Aug 21, 2015
- RAUM · $1.1B to $1.0BSep 4, 2014 to Aug 21, 2015
Signals
2 dated events
- Finser Investment Advisor reported RAUM $1.5B, up 51% from $973.0M (2021-09-09 to 2022-09-07)Sep 7, 2022 · RAUM change · derived
- Finser Investment Advisor reported RAUM $860.8M, up 30% from $664.7M (2017-08-11 to 2018-08-16)Aug 16, 2018 · 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
- Principal office phone
- 210-224-5492reportedpublic record, Form ADV, Sep 14, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $873Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026