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
Awm Financial Services Inc.
Latest filing Mar 20, 2026
First filing on the tape Mar 25, 2021 · 24 filings
SEC status approved since Apr 23, 2021
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$314M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$45.8M
derived; firm RAUM over IAPD count
Employees
19
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$321M as of Mar 20, 2026
Jan 25, 2022$180M then
HNW client RAUM$74.1M as of Mar 20, 2026
Jan 25, 2022$37.1M then
State-registered IARs (5.B.3)7 as of Mar 20, 2026
Jan 25, 20226 then
Employees (5.A)19 as of Mar 20, 2026
Jan 25, 202211 then
Private funds: no history
RAUM +37% over the last fiscal year+23% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Mar 20, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $45.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $118,733derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -85%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$240M75%
- High-net-worth individuals$74.1M23%
- Other investment advisers$3.5M1.1%
- Corporations and businesses$3.2M1.0%
- Individual clients
- 158reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,700reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Ryan Wheless | The Woodlands, Tx | Jan 13, 2025 | 26 y | 5 |
| Justin W Napoleon | The Woodlands, Tx | Jan 8, 2026 | 20 y | 1 |
| Colton John Miller | The Woodlands, Tx | Jan 8, 2026 | 12 y | 1 |
| Ashton Colby Edwards | The Woodlands, Tx | Jan 8, 2026 | 12 y | 1 |
| Matthew Ian Stevenson | The Woodlands, Tx | Mar 2, 2026 | 10 y | 1 |
| Andrew Nicholas King | The Woodlands, Tx | Mar 9, 2026 | 10 y | 0 |
| Joel Dalton Davis | The Woodlands, Tx | Jul 16, 2026 | 10 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 43% of current headcount6 left over 36 months
Left, latest
- Matthew Austin Williams to Cresset Asset Management, LLCAug 4, 2026 · RIA to RIA
- Daniel Ryan Wheless to Brookstone Wealth Advisors, LLCDec 31, 2025 · Other
- Travis Mcfarland to J.P. Morgan Securities LLCSep 30, 2025 · RIA to wirehouse
- Raymond Benjamin Knezek to Sequent Planning, LLCJun 13, 2025 · RIA to RIA
- Matthew Howie to Farmers Asset Management, LLCFeb 6, 2025 · RIA to a state-registered adviser
- Parker Josiah Troutner to Woodstock Wealth Management, Inc.Oct 25, 2023 · RIA to RIA
- Jonathan P English to Foundations Investment Advisors LLCMay 1, 2023 · RIA to RIA
- Nicholas Ray Casatelli to Woodstock Wealth Management, Inc.May 12, 2021 · RIA to RIA
- Carlos Javier Tovar to Gwn Securities Inc.May 12, 2021 · RIA to affiliated broker-dealer or bank
- Zachary N Threadgill to Threadgill Financial, LLCMar 20, 2015 · RIA to RIA
Joined, latest
- Raymond Benjamin Knezek from J.P. Morgan Securities LLCFeb 7, 2024 · Wirehouse to independent RIA
- Matthew Howie from Corda Investment Management, LLCSep 29, 2023 · RIA to RIA
- Jonathan P English from Portfolio DynamixJan 9, 2023 · Other
- Zachary N Threadgill from Retirement Planners Of AmericaSep 24, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ian Matthew Stevenson · Presidentcontrolsince 06/2016 · owns less than 5%
- Ryan Daniel Wheless · Founder/Ceo/Ccocontrolsince 01/2008 · owns 75% or more
Related persons
Schedule D 7.A
- Portfolio Dynamixinvestment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 7 | 7 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 20, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $233,714,026 to $320,578,704, advisors 6 to 7, private clients 1344 to 200, offices 0 to 0 (2025-03-21 to 2026-03-20)peers: independent wealth managers, $100M to $500M (5,676)
- account count surgeChange between filings · filing Mar 20, 2026accounts (Item 5.F.2.f) moved from 1,345.0 to 2,700.0 (+101.0%) between the annual amendments of 2025-03-21 and 2026-03-20; the peer median change was +5.0% (3688 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 98% percentile
- business activity changedChange between filings · filing Mar 20, 2026pension consulting (Item 5.G.6): yes on the filing of 2026-01-05, no on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 20, 2026individual and HNW clients (Item 5.D) moved from 1,344.0 to 200.0 (-85.0%) between the annual amendments of 2025-03-21 and 2026-03-20; the peer median change was +3.0% (3310 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,310) · 0.2% percentile
- RAUM up 25 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $233,714,026 to $320,578,704 (+37.0%) between the annual amendments of 2025-03-21 and 2026-03-20; the peer median change was +15.0% (4551 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,551) · 91% percentile
What changed
consecutive filings, newest first
- Accounts · 1,345 to 2,700Jan 5, 2026 to Mar 20, 2026
- Advisory employees · 6 to 7Jan 5, 2026 to Mar 20, 2026
- Corporate clients · 1 to 5Jan 5, 2026 to Mar 20, 2026
- HNW clients · 29 to 42Jan 5, 2026 to Mar 20, 2026
- Individual clients · 1,315 to 158Jan 5, 2026 to Mar 20, 2026
- Employees · 15 to 19Jan 5, 2026 to Mar 20, 2026
- Financial planning clients · 251-500 to 101-250Jan 5, 2026 to Mar 20, 2026
- State-registered IARs · 6 to 7Jan 5, 2026 to Mar 20, 2026
- Discretionary RAUM · $234M to $321MJan 5, 2026 to Mar 20, 2026
- HNW RAUM · $49.6M to $74.1MJan 5, 2026 to Mar 20, 2026
- Individual RAUM · $182M to $240MJan 5, 2026 to Mar 20, 2026
- RAUM · $234M to $321MJan 5, 2026 to Mar 20, 2026
- Financial planning clients · 251-500 to 251-500Mar 21, 2025 to Jun 13, 2025
- Accounts · 2,013 to 1,345May 16, 2024 to Mar 21, 2025
- Advisory employees · 11 to 6May 16, 2024 to Mar 21, 2025
- Corporate clients · 0 to 1May 16, 2024 to Mar 21, 2025
- HNW clients · 24 to 29May 16, 2024 to Mar 21, 2025
- Individual clients · 592 to 1,315May 16, 2024 to Mar 21, 2025
- Employees · 13 to 15May 16, 2024 to Mar 21, 2025
- State-registered IARs · 8 to 6May 16, 2024 to Mar 21, 2025
- Discretionary RAUM · $198M to $234MMay 16, 2024 to Mar 21, 2025
- HNW RAUM · $41.5M to $49.6MMay 16, 2024 to Mar 21, 2025
- Individual RAUM · $157M to $182MMay 16, 2024 to Mar 21, 2025
- RAUM · $198M to $234MMay 16, 2024 to Mar 21, 2025
- Advisory employees · 10 to 11Mar 23, 2024 to May 16, 2024
- Employees · 12 to 13Mar 23, 2024 to May 16, 2024
- State-registered IARs · 7 to 8Mar 23, 2024 to May 16, 2024
- Accounts · 1,722 to 2,013Feb 15, 2024 to Mar 23, 2024
- HNW clients · 954 to 24Feb 15, 2024 to Mar 23, 2024
- Individual clients · 18 to 592Feb 15, 2024 to Mar 23, 2024
- Discretionary RAUM · $172M to $198MFeb 15, 2024 to Mar 23, 2024
- HNW RAUM · $29.2M to $41.5MFeb 15, 2024 to Mar 23, 2024
- Individual RAUM · $143M to $157MFeb 15, 2024 to Mar 23, 2024
- RAUM · $172M to $198MFeb 15, 2024 to Mar 23, 2024
- Advisory employees · 9 to 10Dec 14, 2023 to Feb 15, 2024
- Employees · 11 to 12Dec 14, 2023 to Feb 15, 2024
- State-registered IARs · 6 to 7Dec 14, 2023 to Feb 15, 2024
- Advisory employees · 10 to 9Oct 10, 2023 to Oct 25, 2023
- Employees · 12 to 11Oct 10, 2023 to Oct 25, 2023
- State-registered IARs · 7 to 6Oct 10, 2023 to Oct 25, 2023
Signals
8 dated events
- Matthew Austin Williams left Awm Financial Services Inc. for Cresset Asset Management, Llc (registered 2026-09-11)Aug 4, 2026 · Advisor changed firm · fact
- Daniel Ryan Wheless left Awm Financial Services Inc. for Brookstone Wealth Advisors, Llc (registered 2016-07-19)Dec 31, 2025 · Advisor changed firm · fact
- Travis Mcfarland left Awm Financial Services Inc. for J.P. Morgan Securities Llc (registered 2026-06-15)Sep 30, 2025 · Advisor changed firm · fact
- Raymond Benjamin Knezek left Awm Financial Services Inc. for Sequent Planning, Llc (registered 2025-08-08)Jun 13, 2025 · Advisor changed firm · fact
- Matthew Howie left Awm Financial Services Inc. for Farmers Asset Management, Llc (registered 2026-08-05)Feb 6, 2025 · Advisor changed firm · fact
- Parker Josiah Troutner left Awm Financial Services Inc. for Woodstock Wealth Management, Inc. (registered 2023-08-23)Oct 25, 2023 · Advisor changed firm · fact
- Jonathan P English left Awm Financial Services Inc. for Foundations Investment Advisors Llc (registered 2023-06-28)May 1, 2023 · Advisor changed firm · fact
- Awm Financial Services Inc. Dba Allied Wealth Management filed its initial SEC registration (Form ADV)Mar 25, 2021 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/ALLIED-WEALTHreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ALLIEDWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 281-444-7555reportedpublic record, Form ADV, Mar 20, 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
- $45.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026