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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SEC-registered adviser

C•••••• P•••• W••••• M••••••••• L••

Independent wealth managerDallas, TexasCRD 143771SEC 801-67840website IAPD

Latest filing Mar 30, 2026

First filing on the tape Apr 3, 2012 · 41 filings

SEC status approved since Apr 24, 2007

RAUM

$1.5B

reported, Item 5.F

Discretionary

86%

of RAUM

Private clients

97%

$1.4B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$366M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

41 filings and snapshots on the tape

RAUM$1.5B as of Mar 30, 2026

Apr 3, 2012$180M then

HNW client RAUM$1.4B as of Mar 30, 2026

Mar 30, 2018$535M then

State-registered IARs (5.B.3)4 as of Mar 30, 2026

Apr 3, 20120 then

Employees (5.A)12 as of Mar 30, 2026

May 9, 20137 then

Private funds3 as of Mar 30, 2026

Mar 30, 20181 then

RAUM +37% over the last fiscal year+34% a year over threeIARs 3 to 4

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes, each a printed rule

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
RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

RAUM per advisor: $366MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 44derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $10.6MderivedHNW RAUM over HNW clients
Average account: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 86%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +37%derivedbetween the last two annual amendments
Advisor growth, one year: +33%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.1%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody: $143M, 46 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$1.4B96%
Corporations and businesses$43.0M2.9%
Individuals$19.0M1.3%

Individual clients: 45reported
HNW clients: 132reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,092reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $143M for 46 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

4 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• F••••••••• K•••Certified Financial Planner, Chartered Financial Analyst	Dallas, Tx	Jun 6, 2007	23 y	2
B•••••• D••••• R•••••••Certified Financial Planner	Dallas, Tx	Mar 22, 2016	22 y	5
J••••••• N• C•••Certified Financial Planner	Dallas, Tx	Nov 9, 2021	12 y	0
C••••• W•••••Certified Financial Planner	Dallas, Tx	Nov 12, 2024	13 y	0

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

W•••••• W••• T••••• to H••••••• T••••• W••••• M••••••••• L••
Oct 2, 2020 · RIA to a newly registered adviser
C•••••• C•••• E•••• to L•••••••• H••• P•••••••• L••
Jul 5, 2019 · RIA to RIA
W•••••• H•••• L••••• to L•••••••• H••• P•••••••• L••
Jul 5, 2019 · RIA to RIA

Joined, latest

B•••••• D••••• R••••••• from C••••• A••••••• S•••••••• I••
Mar 22, 2016 · Other
J•••• F••••••••• K••• from R•••••• J•••• F•••••••• S•••••••• I•••
Jun 6, 2007 · Other
W•••••• W••• T••••• from R•••••• J•••• F•••••••• S•••••••• I•••
Jun 6, 2007 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for L•••••••• H••• P•••••••• L••
Jul 5, 2019 · Dallas, Tx

Teams out Teams in

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••• P••••••• I••• L•no longer reported	Private Equity Fund	$27.7M	46	Sep 29, 2017
C•••••• G•••••••• F••• I•• F•••••• L•	Venture Capital Fund	$9.0M	54	Mar 31, 2022
E••••••••• H••••• L•	Private Equity Fund	$7.0M	8	Mar 24, 2020
C••• F•••••• L•		$5.3M	64	Mar 30, 2026
G•••••••• I••••••••• G••••••••• L•no longer reported	Private Equity Fund	$2.5M	18	Sep 29, 2017
G•••••••• G••••••••• I•• L•no longer reported	Private Equity Fund	$500,000	10	Sep 29, 2017

Owners and control persons

Schedule A and B, latest filing

B•••• R•••••• S•••• · Ccocontrol
since 03/2019 · owns 5% to 10%
K•••• J••••• F••••••••• · Managing Member Partnershipcontrol
since 05/2007 · owns 50% to 75%
M•••••••• A• V••• N•• · Senior Vice Presidentcontrol
since 01/2022 · owns 5% to 10%
R•••••••• B••••••• D••••• · Membercontrol
since 01/2020 · owns less than 5%
R•••• A•••• B•••• · President
since 11/2006 · owns 75% or more of C••• I••••••••• L•

Entity owners

C••• I••••••••• L• · Texas Limited Partnership
direct · owns 10% to 25%
C••• I••••••••• G•• I••• · General Partner
indirect · owns F of C••• I••••••••• L•

Related persons

Schedule D 7.A

C•••••• L•• S•• L••
pooled vehicle sponsorn

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Dallas, Tx · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

Austin, TX1 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

employee count dropChange between filings · filing Mar 30, 2026
employees (Item 5.A) moved from 22.0 to 12.0 (-45.0%) between the annual amendments of 2025-04-21 and 2026-03-30; the peer median change was +4.0% (1050 comparable advisers, 0.0th percentile of changes)
peers: independent wealth managers, $1B to $5B (1,050) · 0.4% percentile
private fund count surgeChange between filings · filing Mar 30, 2026
private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-04-21 and 2026-03-30; the peer median change was 0.0% (126 comparable advisers, 92.0th percentile of changes)
peers: independent wealth managers, $1B to $5B (126) · 92% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,026 to 1,092
Nov 18, 2025 to Mar 30, 2026
Charity clients · 1.0 to unset
Nov 18, 2025 to Mar 30, 2026
Corporate clients · 3.0 to unset
Nov 18, 2025 to Mar 30, 2026
HNW clients · 123 to 132
Nov 18, 2025 to Mar 30, 2026
Individual clients · 47 to 45
Nov 18, 2025 to Mar 30, 2026
Pooled vehicle clients · 2.0 to unset
Nov 18, 2025 to Mar 30, 2026
Assets in custody · $1.1B to $143M
Nov 18, 2025 to Mar 30, 2026
Employees · 22 to 12
Nov 18, 2025 to Mar 30, 2026
Private funds · 2 to 3
Nov 18, 2025 to Mar 30, 2026
Discretionary RAUM · $933M to $1.3B
Nov 18, 2025 to Mar 30, 2026
HNW RAUM · $1.0B to $1.4B
Nov 18, 2025 to Mar 30, 2026
Individual RAUM · $19.2M to $19.0M
Nov 18, 2025 to Mar 30, 2026
Non-discretionary RAUM · $140M to $206M
Nov 18, 2025 to Mar 30, 2026
Pooled vehicle RAUM · 10527287.0 to unset
Nov 18, 2025 to Mar 30, 2026
RAUM · $1.1B to $1.5B
Nov 18, 2025 to Mar 30, 2026
State-registered IARs · 3 to 4
Jun 5, 2025 to Aug 25, 2025
Financial planning clients · 51-100 to 51-100
May 29, 2025 to Jun 5, 2025
Accounts · 940 to 1,026
Feb 6, 2025 to Apr 21, 2025
HNW clients · 106 to 123
Feb 6, 2025 to Apr 21, 2025
Individual clients · 45 to 47
Feb 6, 2025 to Apr 21, 2025
Assets in custody · $594M to $1.1B
Feb 6, 2025 to Apr 21, 2025
Discretionary RAUM · $687M to $933M
Feb 6, 2025 to Apr 21, 2025
HNW RAUM · $749M to $1.0B
Feb 6, 2025 to Apr 21, 2025
Individual RAUM · $18.2M to $19.2M
Feb 6, 2025 to Apr 21, 2025
Non-discretionary RAUM · $111M to $140M
Feb 6, 2025 to Apr 21, 2025
Pooled vehicle RAUM · $8.0M to $10.5M
Feb 6, 2025 to Apr 21, 2025
RAUM · $798M to $1.1B
Feb 6, 2025 to Apr 21, 2025
Advisory employees · 3 to 4
Mar 29, 2024 to Feb 6, 2025
Accounts · 879 to 940
Oct 31, 2023 to Mar 29, 2024
Advisory employees · 1 to 3
Oct 31, 2023 to Mar 29, 2024
HNW clients · 109 to 106
Oct 31, 2023 to Mar 29, 2024
Individual clients · 42 to 45
Oct 31, 2023 to Mar 29, 2024
Assets in custody · $451M to $594M
Oct 31, 2023 to Mar 29, 2024
Employees · 21 to 22
Oct 31, 2023 to Mar 29, 2024
Discretionary RAUM · $522M to $687M
Oct 31, 2023 to Mar 29, 2024
HNW RAUM · $567M to $749M
Oct 31, 2023 to Mar 29, 2024
Individual RAUM · $15.9M to $18.2M
Oct 31, 2023 to Mar 29, 2024
Non-discretionary RAUM · $94.1M to $111M
Oct 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $16.8M to $8.0M
Oct 31, 2023 to Mar 29, 2024
RAUM · $616M to $798M
Oct 31, 2023 to Mar 29, 2024

Signals

7 dated events

C•••••• P•••• W••••• M••••••••• L•• reported RAUM $1.5B, up 37% from $1.1B (2025-11-18 to 2026-03-30)
Mar 30, 2026 · RAUM change · derived
C•••••• P•••• W••••• M••••••••• L•• reported RAUM $1.1B, up 35% from $797.7M (2025-02-06 to 2025-04-21)
Apr 21, 2025 · RAUM change · derived
C•••••• P•••• W••••• M••••••••• L•• reported RAUM $797.7M, up 30% from $615.9M (2023-10-31 to 2024-03-29)
Mar 29, 2024 · RAUM change · derived
Nmn Ai Vee Mcaninch (Senior Vice President) appeared on Schedule A of C•••••• P•••• W••••• M••••••••• L••
May 26, 2022 · Control person joined · fact
Darell Brandon Ratzlaff (Member) appeared on Schedule A of C•••••• P•••• W••••• M••••••••• L••
Mar 25, 2021 · Control person joined · fact
Wade William Taylor (Managing Member) no longer on Schedule A of C•••••• P•••• W••••• M••••••••• L•• (listed 2020-06-18, absent 2020-10-20)
Oct 20, 2020 · Control person left · inference
Scott Ronald Boyd (Cco) appeared on Schedule A of C•••••• P•••• W••••• M••••••••• L••
Nov 8, 2019 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

C•••••• P•••• W••••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider
C•••••• P•••• W••••• M••••••••• L•• · Private Equity
shared crd · organization
C•••••• P•••• W••••• M••••••••• L•• · Venture Capital
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/16018669reportedpublic record, Form ADV, Sep 18, 2026
Website: H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 214-736-8887reportedpublic record, Form ADV, Mar 30, 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: $366Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026