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•••••• F•••••••• S•••••••• L••
Latest filing Mar 12, 2024
First filing on the tape Mar 10, 2020 · 10 filings
RAUM
$253M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
82%
$208M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$253M as of Mar 12, 2024
Feb 4, 2021$144M then
HNW client RAUM$108M as of Mar 12, 2024
Feb 4, 2021$67.1M then
State-registered IARs (5.B.3)3 as of Mar 12, 2024
Feb 4, 20213 then
Employees (5.A)3 as of Mar 12, 2024
Feb 4, 20213 then
Private funds: no history
RAUM +30% over the last fiscal year+21% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 12, 2024; every figure names its basis
- RAUM per advisor
- $84.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $327,551derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$108M43%
- Individuals$99.3M39%
- Pension and profit-sharing plans$36.1M14%
- Charitable organizations$4.7M1.9%
- Corporations and businesses$3.7M1.5%
- Individual clients
- 207reported
- HNW clients
- 61reported
- Pension plan clients
- 9reported
- Charitable clients
- 1reported
- Accounts
- 772reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J••• E•••••• P•••••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 1, 2024 · RIA to RIA
- W•••••• G••••• F•••••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 1, 2024 · RIA to RIA
- J••• K••••••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 1, 2024 · RIA to RIA
- R••••• A••••• D•••••••• to J••• M••••• S••••••••• L••Jul 7, 2023 · RIA to wirehouse
- W•••••• S•••••• W••••• to R•••• • G•••••• W••••• M•••••••••Sep 12, 2022 · RIA to RIA
- C••••••••• B•••• L•••••• to C•• W••••• M•••••••••Oct 18, 2017 · RIA to a state-registered adviser
- E•••• M•••• to M•••• F•••••••• S•••••••Apr 10, 2015 · RIA to a state-registered adviser
- D••••• J•••• V•••••• to B••••••••• W••••• A•••••••• L••Aug 22, 2014 · Other
Joined, latest
- R••••• A••••• D•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 18, 2021 · Wirehouse to independent RIA
- W•••••• G••••• F•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 12, 2017 · Wirehouse to independent RIA
- D••••• J•••• V•••••• from C••••• M••••••Feb 13, 2013 · Other
- E•••• M•••• from L•• F•••••••• L••Jan 25, 2012 · Other
- C••••••••• B•••• L•••••• from E••••• J••••Sep 15, 2010 · Affiliated broker-dealer or bank to independent RIA
- J••• E•••••• P•••••• from M••••••• C•••••• M••••••••• L••Mar 22, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Jul 1, 2024 · The Woodlands, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• W••••••• G••••• · Investment Advisor Representative & Vice Presidentcontrolsince 03/2017 · owns 25% to 50%
- P••••••• J•••• E•••••• · Managing Member & Chief Compliance Officercontrolsince 12/2006 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 692 to 772Mar 22, 2023 to Mar 12, 2024
- Advisory employees · 4 to 3Mar 22, 2023 to Mar 12, 2024
- Charity clients · 0 to 1Mar 22, 2023 to Mar 12, 2024
- Individual clients · 245 to 207Mar 22, 2023 to Mar 12, 2024
- Pension plan clients · 13 to 9Mar 22, 2023 to Mar 12, 2024
- Employees · 4 to 3Mar 22, 2023 to Mar 12, 2024
- State-registered IARs · 4 to 3Mar 22, 2023 to Mar 12, 2024
- Discretionary RAUM · $159M to $215MMar 22, 2023 to Mar 12, 2024
- HNW RAUM · $91.1M to $108MMar 22, 2023 to Mar 12, 2024
- Individual RAUM · $65.0M to $99.3MMar 22, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $36.6M to $37.8MMar 22, 2023 to Mar 12, 2024
- Pension RAUM · $36.0M to $36.1MMar 22, 2023 to Mar 12, 2024
- RAUM · $195M to $253MMar 22, 2023 to Mar 12, 2024
- Accounts · 611 to 692Feb 1, 2022 to Mar 22, 2023
- Advisory employees · 5 to 4Feb 1, 2022 to Mar 22, 2023
- HNW clients · 39 to 61Feb 1, 2022 to Mar 22, 2023
- Individual clients · 200 to 245Feb 1, 2022 to Mar 22, 2023
- Pension plan clients · 12 to 13Feb 1, 2022 to Mar 22, 2023
- Employees · 5 to 4Feb 1, 2022 to Mar 22, 2023
- State-registered IARs · 5 to 4Feb 1, 2022 to Mar 22, 2023
- Discretionary RAUM · $162M to $159MFeb 1, 2022 to Mar 22, 2023
- HNW RAUM · $66.6M to $91.1MFeb 1, 2022 to Mar 22, 2023
- Individual RAUM · $95.0M to $65.0MFeb 1, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $35.5M to $36.6MFeb 1, 2022 to Mar 22, 2023
- Pension RAUM · $33.7M to $36.0MFeb 1, 2022 to Mar 22, 2023
- RAUM · $198M to $195MFeb 1, 2022 to Mar 22, 2023
- Accounts · 526 to 611Feb 9, 2021 to Feb 1, 2022
- Advisory employees · 3 to 5Feb 9, 2021 to Feb 1, 2022
- Corporate clients · 2 to 1Feb 9, 2021 to Feb 1, 2022
- HNW clients · 40 to 39Feb 9, 2021 to Feb 1, 2022
- Individual clients · 173 to 200Feb 9, 2021 to Feb 1, 2022
- Pension plan clients · 8 to 12Feb 9, 2021 to Feb 1, 2022
- Employees · 3 to 5Feb 9, 2021 to Feb 1, 2022
- State-registered IARs · 3 to 5Feb 9, 2021 to Feb 1, 2022
- Discretionary RAUM · $132M to $162MFeb 9, 2021 to Feb 1, 2022
- HNW RAUM · $67.1M to $66.6MFeb 9, 2021 to Feb 1, 2022
- Individual RAUM · $56.8M to $95.0MFeb 9, 2021 to Feb 1, 2022
- Non-discretionary RAUM · $12.0M to $35.5MFeb 9, 2021 to Feb 1, 2022
- Pension RAUM · $17.1M to $33.7MFeb 9, 2021 to Feb 1, 2022
- RAUM · $144M to $198MFeb 9, 2021 to Feb 1, 2022
Signals
7 dated events
- J••• E•••••• P•••••• left S•••••• F•••••••• S•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-17)Jul 1, 2024 · Advisor changed firm · fact
- J••• K••••••• left S•••••• F•••••••• S•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-17)Jul 1, 2024 · Advisor changed firm · fact
- W•••••• G••••• F•••••• left S•••••• F•••••••• S•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-26)Jul 1, 2024 · Advisor changed firm · fact
- S•••••• F•••••••• S•••••••• L••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (The Woodlands, TX): 3 of 3 registered, on the same dayJul 1, 2024 · Firm absorbed (people side) · derived
- R••••• A••••• D•••••••• left S•••••• F•••••••• S•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-05-22)Jul 7, 2023 · Advisor changed firm · fact
- W•••••• S•••••• W••••• left S•••••• F•••••••• S•••••••• L•• for R•••• • G•••••• W••••• M••••••••• (registered 2025-06-18)Sep 12, 2022 · Advisor changed firm · fact
- S•••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2020 · 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.
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