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•••• A••••• F••••••••• L••

Former SEC-registered adviserDallas, TexasCRD 144386SEC 801-68157websiteIAPD
Latest filing May 1, 2025
First filing on the tape Dec 23, 2011 · 28 filings
SEC status approved since Aug 2, 2007
RAUM
$2.0B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$2.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.0B as of May 1, 2025
Mar 13, 2012$330M then
HNW client RAUM$1.7B as of May 1, 2025
Mar 9, 2018$554M then
State-registered IARs (5.B.3)16 as of May 1, 2025
Mar 13, 20120 then
Employees (5.A)16 as of May 1, 2025
Mar 26, 201315 then
Private funds: no history
RAUM +62% over the last fiscal year+26% a year over threeIARs 16 to 16
Practice profile
derived from the filing of May 1, 2025; every figure names its basis
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$526,078derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
16.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 5.G
Custody
$1.1B, 1,029 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$1.7B84%
  • Individuals$310M15%
  • Pension and profit-sharing plans$8.5M0.4%
  • Charitable organizations$7.1M0.4%
  • Corporations and businesses$5.9M0.3%
Individual clients
736reported
HNW clients
642reported
Pension plan clients
11reported
Charitable clients
9reported
Accounts
3,824reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.1B for 1,029 clientsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A•••••• S•••••• W•••• · Managing Member / Chief Compliance Officercontrol
      since 08/2007 · owns 25% to 50%
    • L•••• C••••••••• B•••• · Managing Membercontrol
      since 08/2007 · owns 25% to 50%
    • M•••••• R••••• S•••• · Managing Membercontrol
      since 08/2007 · owns 25% to 50%
    • P••••••• W•••••• A••• · Managing Membercontrol
      since 08/2007 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Dallas, Tx · principal000
    Mckinney, Tx000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 3,379 to 3,824
      Sep 23, 2024 to May 1, 2025
    • Charity clients · 8 to 9
      Sep 23, 2024 to May 1, 2025
    • Corporate clients · 5 to 2
      Sep 23, 2024 to May 1, 2025
    • HNW clients · 557 to 642
      Sep 23, 2024 to May 1, 2025
    • Individual clients · 675 to 736
      Sep 23, 2024 to May 1, 2025
    • Pension plan clients · 9 to 11
      Sep 23, 2024 to May 1, 2025
    • Assets in custody · $800M to $1.1B
      Sep 23, 2024 to May 1, 2025
    • Financial planning clients · 1-10 to 0
      Sep 23, 2024 to May 1, 2025
    • Discretionary RAUM · $1.5B to $1.9B
      Sep 23, 2024 to May 1, 2025
    • HNW RAUM · $1.3B to $1.7B
      Sep 23, 2024 to May 1, 2025
    • Individual RAUM · $249M to $310M
      Sep 23, 2024 to May 1, 2025
    • Non-discretionary RAUM · $70.3M to $76.0M
      Sep 23, 2024 to May 1, 2025
    • Pension RAUM · $3.0M to $8.5M
      Sep 23, 2024 to May 1, 2025
    • RAUM · $1.6B to $2.0B
      Sep 23, 2024 to May 1, 2025
    • Accounts · 3,198 to 3,379
      Mar 16, 2023 to Mar 6, 2024
    • Charity clients · 7 to 8
      Mar 16, 2023 to Mar 6, 2024
    • Corporate clients · 3 to 5
      Mar 16, 2023 to Mar 6, 2024
    • HNW clients · 503 to 557
      Mar 16, 2023 to Mar 6, 2024
    • Individual clients · 662 to 675
      Mar 16, 2023 to Mar 6, 2024
    • Pension plan clients · 7 to 9
      Mar 16, 2023 to Mar 6, 2024
    • Assets in custody · $530M to $800M
      Mar 16, 2023 to Mar 6, 2024
    • Financial planning clients · 0 to 1-10
      Mar 16, 2023 to Mar 6, 2024
    • Discretionary RAUM · $1.2B to $1.5B
      Mar 16, 2023 to Mar 6, 2024
    • HNW RAUM · $1.0B to $1.3B
      Mar 16, 2023 to Mar 6, 2024
    • Individual RAUM · $226M to $249M
      Mar 16, 2023 to Mar 6, 2024
    • Non-discretionary RAUM · $23.3M to $70.3M
      Mar 16, 2023 to Mar 6, 2024
    • Pension RAUM · $2.1M to $3.0M
      Mar 16, 2023 to Mar 6, 2024
    • RAUM · $1.2B to $1.6B
      Mar 16, 2023 to Mar 6, 2024
    • Accounts · 2,979 to 3,198
      Nov 29, 2022 to Mar 16, 2023
    • Advisory employees · 14 to 16
      Nov 29, 2022 to Mar 16, 2023
    • BD registered reps · 2 to 1
      Nov 29, 2022 to Mar 16, 2023
    • Corporate clients · unset to 3.0
      Nov 29, 2022 to Mar 16, 2023
    • HNW clients · 630 to 503
      Nov 29, 2022 to Mar 16, 2023
    • Individual clients · 470 to 662
      Nov 29, 2022 to Mar 16, 2023
    • Assets in custody · $654M to $530M
      Nov 29, 2022 to Mar 16, 2023
    • Employees · 15 to 16
      Nov 29, 2022 to Mar 16, 2023
    • State-registered IARs · 14 to 16
      Nov 29, 2022 to Mar 16, 2023
    • Discretionary RAUM · $1.3B to $1.2B
      Nov 29, 2022 to Mar 16, 2023
    • HNW RAUM · $243M to $1.0B
      Nov 29, 2022 to Mar 16, 2023
    • Individual RAUM · $1.0B to $226M
      Nov 29, 2022 to Mar 16, 2023
    Signals
    22 dated events
    • S•••• A••••• F••••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $2.0B)
      Sep 2, 2025 · Left the SEC roster · derived
    • C•••• J• V•••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
      Aug 8, 2025 · a•••••• firm change · fact
    • B•••• M•••••• B•••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-12)
      Aug 8, 2025 · a•••••• firm change · fact
    • J•••••• S•••• D••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-02)
      Aug 8, 2025 · a•••••• firm change · fact
    • E•••• B•••• D••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-02)
      Aug 8, 2025 · a•••••• firm change · fact
    • R•••• V•••••• M•••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-06-30)
      Jul 30, 2025 · a•••••• firm change · fact
    • W•••• W••••••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
      Jul 30, 2025 · a•••••• firm change · fact
    • J••• S• S••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-08)
      Jul 30, 2025 · a•••••• firm change · fact
    • T••• M•••• W••••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-03)
      Jul 30, 2025 · a•••••• firm change · fact
    • W••••• A••• P•••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-08)
      Jul 30, 2025 · a•••••• firm change · fact
    • C••••••••• L••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
      Jul 30, 2025 · a•••••• firm change · fact
    • S••••• W•••• A••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-08)
      Jul 30, 2025 · a•••••• firm change · fact
    • W•••••• P••••• G•••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-09)
      Jul 30, 2025 · a•••••• firm change · fact
    • D•• C• D••••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
      Jul 30, 2025 · a•••••• firm change · fact
    • D•••• C•••••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
      Jul 30, 2025 · a•••••• firm change · fact
    • D•••• F••• S••••••• left S•••• A••••• F••••••••• L•• for H•••••••• A•••••••• L•• (registered 2025-07-07)
      Jul 30, 2025 · a•••••• firm change · fact
    • S•••• A••••• F••••••••• L••'s advisors moved to H•••••••• A•••••••• L•• (Dallas, TX): 15 of 15 registered, within 9 days
      Jul 30, 2025 · Firm absorbed (people side) · derived
    • H••••••• S•••••• H••••••• left S•••• A••••• F••••••••• L•• for S•••••• S••••••••• (registered 2025-06-04)
      Jun 6, 2025 · a•••••• firm change · fact
    • S•••• A••••• F••••••••• L•• reported RAUM $2.0B, up 28% from $1.6B (2024-09-23 to 2025-05-01)
      May 1, 2025 · RAUM change · derived
    • S•••• A••••• F••••••••• L•• reported RAUM $1.6B, up 26% from $1.2B (2023-03-16 to 2024-03-06)
      Mar 6, 2024 · RAUM change · derived
    • J•••• W••••• F••• left S•••• A••••• F••••••••• L•• for A•••••• A••••••• S••••••• (registered 2022-10-27)
      Oct 27, 2022 · a•••••• firm change · fact
    • S•••• A••••• F••••••••• L•• reported RAUM $1.3B, up 30% from $1.0B (2021-03-19 to 2022-03-29)
      Mar 29, 2022 · RAUM change · derived
    Across DFX
    shared identifiers only, never a name match
    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