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
W•••••••• C•••••• I••••••••• A••••••• S••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Dec 27, 2016 · 16 filings
SEC status approved since Jan 23, 2017
RAUM
$228M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$221M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$228M as of Mar 18, 2026
Mar 29, 2017$105M then
HNW client RAUM$197M as of Mar 18, 2026
Mar 29, 2018$77.5M then
State-registered IARs (5.B.3)0 as of Mar 18, 2026
Mar 29, 20170 then
Employees (5.A)3 as of Mar 18, 2026
Mar 29, 20171 then
Private funds: no history
RAUM +33% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.3MderivedHNW RAUM over HNW clients
- Average account
- $690,191derivedRAUM 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
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- is a broker-dealer (6.A.1)
- buys or sells securities as principal to or from clients (8.A.2)
- 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$197M86%
- Individuals$24.3M11%
- Banks and thrifts$7.2M3.2%
- Individual clients
- 82reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 331reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• P•••••• O•••••• | Addison, Tx | Jun 20, 2007 | 35 y | 0 |
| D•••• M•••••• P••••••••• | Addison, Tx | Aug 10, 2018 | 28 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• D••••• P•••••• · Managing Member, President And Chief Compliance Officercontrolsince 05/2007 · owns 75% or more
Related persons
Schedule D 7.A
- W•••••••• C••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Addison, 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
- unusually large average HNW clientStatic outlier · filing Mar 18, 2026HNW RAUM per HNW client of $7,292,859 against a peer median of $2,402,920 (4942 comparable advisers, 98.0th percentile, 3.3 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 98% percentile
- low discretionary shareStatic outlier · filing Mar 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 327 to 331Mar 18, 2025 to Mar 18, 2026
- HNW clients · 25 to 27Mar 18, 2025 to Mar 18, 2026
- Individual clients · 80 to 82Mar 18, 2025 to Mar 18, 2026
- HNW RAUM · $149M to $197MMar 18, 2025 to Mar 18, 2026
- Individual RAUM · $16.6M to $24.3MMar 18, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $171M to $228MMar 18, 2025 to Mar 18, 2026
- RAUM · $171M to $228MMar 18, 2025 to Mar 18, 2026
- Accounts · 324 to 327Mar 14, 2024 to Mar 18, 2025
- HNW clients · 12 to 25Mar 14, 2024 to Mar 18, 2025
- Individual clients · 81 to 80Mar 14, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 18, 2025
- HNW RAUM · $107M to $149MMar 14, 2024 to Mar 18, 2025
- Individual RAUM · $37.9M to $16.6MMar 14, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $150M to $171MMar 14, 2024 to Mar 18, 2025
- RAUM · $150M to $171MMar 14, 2024 to Mar 18, 2025
- Accounts · 315 to 324Mar 15, 2023 to Mar 14, 2024
- HNW RAUM · $94.7M to $107MMar 15, 2023 to Mar 14, 2024
- Individual RAUM · $31.6M to $37.9MMar 15, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $131M to $150MMar 15, 2023 to Mar 14, 2024
- RAUM · $131M to $150MMar 15, 2023 to Mar 14, 2024
- Accounts · 304 to 315Mar 6, 2023 to Mar 15, 2023
- Corporate clients · 1.0 to unsetMar 6, 2023 to Mar 15, 2023
- HNW clients · 10 to 12Mar 6, 2023 to Mar 15, 2023
- Individual clients · 78 to 81Mar 6, 2023 to Mar 15, 2023
- HNW RAUM · $107M to $94.7MMar 6, 2023 to Mar 15, 2023
- Individual RAUM · $30.1M to $31.6MMar 6, 2023 to Mar 15, 2023
- Non-discretionary RAUM · $144M to $131MMar 6, 2023 to Mar 15, 2023
- RAUM · $144M to $131MMar 6, 2023 to Mar 15, 2023
- Accounts · 90 to 304May 3, 2021 to Mar 30, 2022
- BD registered reps · 1 to 3May 3, 2021 to Mar 30, 2022
- Employees · 1 to 3May 3, 2021 to Mar 30, 2022
- HNW RAUM · $93.5M to $107MMay 3, 2021 to Mar 30, 2022
- Individual RAUM · $26.5M to $30.1MMay 3, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $126M to $144MMay 3, 2021 to Mar 30, 2022
- RAUM · $126M to $144MMay 3, 2021 to Mar 30, 2022
- Accounts · 228 to 90Jun 17, 2020 to Mar 31, 2021
- Advisory activities · 3 to 1Jun 17, 2020 to Mar 31, 2021
- Corporate clients · 5 to 1Jun 17, 2020 to Mar 31, 2021
- HNW clients · 30 to 10Jun 17, 2020 to Mar 31, 2021
- Individual clients · 70 to 78Jun 17, 2020 to Mar 31, 2021
Signals
1 dated events
- W•••••••• C•••••• I••••••••• A••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Dec 27, 2016 · 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
- W••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-363-6920reportedpublic record, Form ADV, Mar 18, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026