DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
H••••••• A•••• A••••••• L•••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 26, 2012 · 20 filings
SEC status approved since Jun 6, 2007
RAUM
$307M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$305M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$76.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$307M as of Mar 30, 2026
Mar 26, 2012$175M then
HNW client RAUM$223M as of Mar 30, 2026
Mar 23, 2018$95.7M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Mar 6, 20136 then
Private funds: no history
RAUM +20% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $76.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $403,944derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $294MreportedItem 5.I
- Custody
- $117M, 144 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$223M73%
- Individuals$82.9M27%
- Corporations and businesses$1.1M0.4%
- Individual clients
- 298reported
- HNW clients
- 93reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 759reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $532,419 sponsored, $0 managedreported
- Custody of client assets
- $117M for 144 clientsreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• F• S••••Certified Financial Planner | Houston, Tx | Jul 9, 2007 | 32 y | 1 |
| A•• W••• G•••• | Houston, Tx | Jul 16, 2007 | 27 y | 1 |
| K•••• E•••••••• T•••••• | Houston, Tx | Apr 20, 2009 | 17 y | 0 |
| L•••• A••• S••••Certified Financial Planner | Houston, Tx | Jul 7, 2009 | 19 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
- A•• W••• G•••• from U•• F•••••••• S••••••• I•••Jul 16, 2007 · Other
- P•••••• F• S•••• from U•• F•••••••• S••••••• I•••Jul 9, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• A•••• E•••••••• · Vice President And Chief Compliance Officercontrolsince 09/2007 · owns 25% to 50%
- S••••• P••••••• F• · President And Partnercontrolsince 07/2007 · owns 25% to 50%
- S••••• A•••• E•••••••• · Vice President And Chief Compliance Officercontrolsince 09/2007 · owns 50% to 75% of H••••••• A•••••••• I•••
- S••••• P••••••• F• · President And Partnercontrolsince 07/2007 · owns 50% to 75% of H••••••• A•••••••• I•••
- S••••• L••••• A••• · Partnersince 05/2007 · owns 5% to 10%
- T••••••• K••••• E•••••••• · Partnersince 05/2007 · owns 5% to 10%
Entity owners
- H••••••• A•••••••• I••• · General Partnerdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Houston, Tx | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 790 to 759Mar 26, 2025 to Mar 30, 2026
- HNW clients · 82 to 93Mar 26, 2025 to Mar 30, 2026
- Individual clients · 312 to 298Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $114M to $117MMar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $249M to $294MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $172M to $223MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $84.3M to $82.9MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $7.2M to $12.4MMar 26, 2025 to Mar 30, 2026
- RAUM · $256M to $307MMar 26, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $487,870 to $532,419Mar 26, 2025 to Mar 30, 2026
- Accounts · 742 to 790Sep 10, 2024 to Mar 26, 2025
- HNW clients · 72 to 82Sep 10, 2024 to Mar 26, 2025
- Individual clients · 309 to 312Sep 10, 2024 to Mar 26, 2025
- Assets in custody · $99.5M to $114MSep 10, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Sep 10, 2024 to Mar 26, 2025
- HQ city · unset to Sep 10, 2024 to Mar 26, 2025
- HQ state · unset to Sep 10, 2024 to Mar 26, 2025
- Discretionary RAUM · $240M to $249MSep 10, 2024 to Mar 26, 2025
- HNW RAUM · $159M to $172MSep 10, 2024 to Mar 26, 2025
- Individual RAUM · $86.4M to $84.3MSep 10, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $5.8M to $7.2MSep 10, 2024 to Mar 26, 2025
- RAUM · $246M to $256MSep 10, 2024 to Mar 26, 2025
- Wrap assets (sponsor) · $413,167 to $487,870Sep 10, 2024 to Mar 26, 2025
- Accounts · 754 to 742Nov 9, 2023 to Mar 28, 2024
- HNW clients · 58 to 72Nov 9, 2023 to Mar 28, 2024
- Individual clients · 328 to 309Nov 9, 2023 to Mar 28, 2024
- Assets in custody · $90.1M to $99.5MNov 9, 2023 to Mar 28, 2024
- Discretionary RAUM · $210M to $240MNov 9, 2023 to Mar 28, 2024
- HNW RAUM · $128M to $159MNov 9, 2023 to Mar 28, 2024
- Individual RAUM · $86.8M to $86.4MNov 9, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $5.0M to $5.8MNov 9, 2023 to Mar 28, 2024
- RAUM · $215M to $246MNov 9, 2023 to Mar 28, 2024
- Wrap assets (sponsor) · $409,751 to $413,167Nov 9, 2023 to Mar 28, 2024
- Accounts · 813 to 754Mar 30, 2022 to Mar 28, 2023
- HNW clients · 78 to 58Mar 30, 2022 to Mar 28, 2023
- Individual clients · 342 to 328Mar 30, 2022 to Mar 28, 2023
- Assets in custody · $86.6M to $90.1MMar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $246M to $210MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $161M to $128MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $85.7M to $86.8MMar 30, 2022 to Mar 28, 2023
Signals
No event on the tape.
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
- H•••••••ASSETADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 281.966.3370reportedpublic 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
- $76.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026