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

R•••• W••••• A•••••••• L••

Former SEC-registered adviserSouthlake, TexasCRD 145734SEC 801-68657IAPD
Latest filing Mar 15, 2021
First filing on the tape Mar 23, 2012 · 24 filings
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$126M as of Mar 15, 2021
Mar 23, 2012$106M then
HNW client RAUM$81.0M as of Mar 15, 2021
Mar 30, 2018$76.0M then
State-registered IARs (5.B.3)1 as of Mar 15, 2021
Mar 21, 20132 then
Employees (5.A)1 as of Mar 15, 2021
Mar 21, 20133 then
Private funds: no history
RAUM -24% over the last fiscal year-3.8% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 15, 2021; every figure names its basis
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
240derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$151,325derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-24%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.0%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program
$42.0MreportedItem 5.I
Custody
$52.0M, 24 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
  • is an insurance broker or agent (6.A.6)
  • 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$81.0M64%
  • Individuals$44.6M36%
Individual clients
200reported
HNW clients
40reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
830reported
Financial planning clients
101-250reported
Wrap fee programs
$42.0M sponsored, $0 managedreported
Custody of client assets
$52.0M for 24 clientsreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••• W••••••• E••••• · Member/Chief Compliance Officercontrol
    since 11/2007 · owns 75% or more
  • H•••• C••••••• H••••••• · Executive Vice President
    since 12/2020 · owns less than 5%
Related persons
Schedule D 7.A
  • R•••• P•••••• C••••• L••
    investment advisern
Offices
Schedule D 1.F, the 25 largest
  • Graham, TX1 employees
What changed
consecutive filings, newest first
  • Accounts · 749 to 830
    Jun 19, 2020 to Mar 15, 2021
  • Advisory employees · 2 to 1
    Jun 19, 2020 to Mar 15, 2021
  • HNW clients · 45 to 40
    Jun 19, 2020 to Mar 15, 2021
  • Assets in custody · unset to 52000000.0
    Jun 19, 2020 to Mar 15, 2021
  • Custody of client assets · false to true
    Jun 19, 2020 to Mar 15, 2021
  • Employees · 3 to 1
    Jun 19, 2020 to Mar 15, 2021
  • Financial planning clients · 51-100 to 101-250
    Jun 19, 2020 to Mar 15, 2021
  • State-registered IARs · 3 to 1
    Jun 19, 2020 to Mar 15, 2021
  • Other offices · 2 to 1
    Jun 19, 2020 to Mar 15, 2021
  • Discretionary RAUM · $166M to $126M
    Jun 19, 2020 to Mar 15, 2021
  • HNW RAUM · $50.0M to $81.0M
    Jun 19, 2020 to Mar 15, 2021
  • Individual RAUM · $116M to $44.6M
    Jun 19, 2020 to Mar 15, 2021
  • RAUM · $166M to $126M
    Jun 19, 2020 to Mar 15, 2021
  • Wrap assets (sponsor) · $0 to $42.0M
    Jun 19, 2020 to Mar 15, 2021
  • Employees · 2 to 3
    Mar 12, 2020 to Apr 7, 2020
  • Insurance-licensed employees · 0 to 1
    Mar 12, 2020 to Apr 7, 2020
  • State-registered IARs · 2 to 3
    Mar 12, 2020 to Apr 7, 2020
  • Other offices · 1 to 2
    Mar 12, 2020 to Apr 7, 2020
  • Related adviser · false to true
    Mar 12, 2020 to Apr 7, 2020
  • Accounts · 618 to 749
    Jun 5, 2019 to Mar 12, 2020
  • Individual clients · 573 to 200
    Jun 5, 2019 to Mar 12, 2020
  • Financial planning clients · 101-250 to 51-100
    Jun 5, 2019 to Mar 12, 2020
  • Other offices · 2 to 1
    Jun 5, 2019 to Mar 12, 2020
  • Discretionary RAUM · $110M to $166M
    Jun 5, 2019 to Mar 12, 2020
  • HNW RAUM · $35.0M to $50.0M
    Jun 5, 2019 to Mar 12, 2020
  • Individual RAUM · $75.0M to $116M
    Jun 5, 2019 to Mar 12, 2020
  • RAUM · $110M to $166M
    Jun 5, 2019 to Mar 12, 2020
  • Wrap assets (manager) · $10.0M to $0
    Jun 5, 2019 to Mar 12, 2020
  • Wrap assets (sponsor) · $10.0M to $0
    Jun 5, 2019 to Mar 12, 2020
  • HQ city · FORT WORTH to SOUTHLAKE
    Mar 28, 2019 to Jun 5, 2019
  • Wrap assets (manager) · $14.0M to $10.0M
    Mar 28, 2019 to Jun 5, 2019
  • Wrap assets (sponsor) · $34.0M to $10.0M
    Mar 28, 2019 to Jun 5, 2019
  • Accounts · 655 to 618
    Mar 30, 2018 to Mar 28, 2019
  • Advisory employees · 3 to 2
    Mar 30, 2018 to Mar 28, 2019
  • BD registered reps · 2 to 0
    Mar 30, 2018 to Mar 28, 2019
  • Individual clients · 655 to 573
    Mar 30, 2018 to Mar 28, 2019
  • Pension plan clients · 3 to 0
    Mar 30, 2018 to Mar 28, 2019
  • Employees · 3 to 2
    Mar 30, 2018 to Mar 28, 2019
  • Financial planning clients · 251-500 to 101-250
    Mar 30, 2018 to Mar 28, 2019
  • State-registered IARs · 3 to 2
    Mar 30, 2018 to Mar 28, 2019
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.
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