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
A•••••• W••••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 53 filings
SEC status approved since Feb 23, 2010
RAUM
$1.4B
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
71%
$989M individuals and HNW
Advisors
28
registered through the firm on IAPD
RAUM per advisor
$50.0M
derived; firm RAUM over IAPD count
Employees
55
28 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$1.4B as of Mar 27, 2026
Mar 29, 2012$109M then
HNW client RAUM$809M as of Mar 27, 2026
Mar 27, 2019$319M then
State-registered IARs (5.B.3)28 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)55 as of Mar 27, 2026
Mar 28, 201311 then
Private funds1 as of Mar 31, 2021
Mar 27, 20153 then
RAUM +14% over the last fiscal year+28% a year over threeIARs 24 to 28
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $48.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 14.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$809M58%
- Corporations and businesses$413M29%
- Individuals$179M13%
- Individual clients
- 518reported
- HNW clients
- 633reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,316reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=35.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• X••••• M•••Chartered Financial Analyst | Houston, Tx | Apr 10, 2008 | 29 y | 4 |
| E••••• M•••• | Houston, Tx | Sep 9, 2008 | 25 y | 1 |
| K••• L••••• J••••• | San A••••••, Tx | Sep 25, 2009 | 27 y | 1 |
| B••••••• J•••• L•••• | San A••••••, Tx | Apr 23, 2014 | 26 y | 2 |
| J••• P•••• A•••••• F•••• | San A••••••, Tx | Sep 30, 2014 | 12 y | 0 |
| A•••• D•••• | San A••••••, Tx | Nov 22, 2016 | 11 y | 0 |
| A••••• M•••••• G••••••• V••••••••• | Houston, Tx | May 21, 2021 | 14 y | 2 |
| I•••••• J••• S••••••••• P••••••• | Houston, Tx | Jul 26, 2021 | 13 y | 0 |
| S••••••• P•••••• | Houston, Tx | Aug 26, 2021 | 12 y | 1 |
| A•••••••• M••••• G••••••• | Houston, Tx | Nov 4, 2021 | 21 y | 0 |
| R••• C•••• U••••• | Houston, Tx | Mar 9, 2022 | 10 y | 0 |
| R•••••• F••••• F••••• | San Antonio, Tx | Apr 10, 2022 | 11 y | 0 |
| M•••• R••• T••••• | Houston, Tx | May 16, 2022 | 13 y | 0 |
| J••• M•••• C•••••• A•••••• | Houston, Tx | Jun 29, 2022 | 10 y | 0 |
| P••••••• G•••• | Houston, Tx | Aug 30, 2022 | 14 y | 0 |
| R•••••• C••• | San A••••••, Tx | Jun 23, 2023 | 11 y | 0 |
| R•••••• R••••• B••• | Houston, Tx | Aug 30, 2023 | 11 y | 0 |
| E•••••• G••••• C•••••• | Houston, Tx | May 15, 2024 | 21 y | 0 |
| F••••• S•••••• A•••••• | Houston, Tx | Jun 1, 2024 | 19 y | 0 |
| M•••••• G•••••• | Houston, Tx | Jul 15, 2024 | 17 y | 1 |
| C•••• A•••••• Z••••••••• | Houston, Tx | Jan 1, 2025 | 10 y | 0 |
| L•••• S••••• L••• | Houston, Tx | May 10, 2025 | 10 y | 0 |
| J••••• N•••••• A•••• | Madrid | May 14, 2025 | 10 y | 0 |
| S••••••• M••••• G•••• | Houston, Tx | Nov 20, 2025 | 10 y | 0 |
| G•••••• R•••••• | Houston, Tx | Nov 24, 2025 | 11 y | 0 |
| F•••••••• J••• R••••• C••••• | Houston, Tx | Dec 19, 2025 | 11 y | 0 |
| C•••• P••••••• | Houston, Tx | Feb 22, 2026 | 10 y | 1 |
| P••••••• E••••••• | Houston, Tx | May 22, 2026 | 13 y | 0 |
| R•••••• O•••• R••• | Houston, Tx | Sep 17, 2026 | 24 y | 0 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.6% of current headcount3 left over 36 months
Left, latest
- N•• O•••• H•••••••• to B••• G••••• W••••• A•••••••• I•••Oct 22, 2025 · RIA to RIA
- A•••••• V••••• to V••••••••• I••• I•••Feb 11, 2025 · RIA to RIA
- M••••• H••••••••• to B••• G••••• W••••• A•••••••• I•••Nov 7, 2023 · RIA to RIA
- A••••• S•••••• C••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 8, 2023 · RIA to wirehouse
- R•••••• C••••••••• to C•••••••• G••••• M•••••• I•••Oct 31, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• A••••• G•••• to T••••• A••••••• S•••••••• I•••Sep 30, 2022 · RIA to affiliated broker-dealer or bank
- J••• P•••• B••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 9, 2022 · RIA to wirehouse
- V•••••• H••••••• V•••• P•••••• to M••••• S••••••Oct 7, 2021 · RIA to wirehouse
- R•••••• M••••••• to J••• M••••• S••••••••• L••Aug 19, 2021 · RIA to wirehouse
- A•••••• P••••••••• to M••••• S••••••Jul 14, 2021 · RIA to wirehouse
- P•••••• M••••• to V••••••••• I••• I•••Apr 20, 2021 · RIA to RIA
- L••• F••••• C•••• to M••••• S••••••Mar 4, 2021 · RIA to wirehouse
- W•••••• W••••• C•••••••• to B•••••• A•••• M••••••••• I•••Dec 19, 2019 · RIA to RIA
- A•••••• D••••• R•••••• to M••••• S••••••Mar 11, 2019 · RIA to wirehouse
- A•••••• R•••• A••••••• to M••••• S••••••May 1, 2018 · RIA to wirehouse
Joined, latest
- C•••• P••••••• from R•••••• J•••• • A••••••••• I•••Feb 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• G•••••• from C•••••••• G••••• M•••••• I•••Jul 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••••• H••••••••• from C•••••••• G••••• M•••••• I•••Jul 7, 2023 · Affiliated broker-dealer or bank to independent RIA
- S••••••• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 26, 2021 · Wirehouse to independent RIA
- A••••• M•••••• G••••••• V••••••••• from M••••• S••••••May 21, 2021 · Wirehouse to independent RIA
- A•••••• V••••• from P•• M•••••• A•••••• S••••••••• I•••Feb 25, 2021 · Affiliated broker-dealer or bank to independent RIA
- W•••••• W••••• C•••••••• from S•••••• C•••••• A•••••••• L••Feb 17, 2017 · Other
- B••••••• J•••• L•••• from O••••• C•••••• M••••••••• I•••Apr 23, 2014 · Other
- A•••••• R•••• A••••••• from O••••• C•••••• M••••••••• I•••Apr 23, 2014 · Other
- S••• J••••• C•••• from F••••• I•••••••••Mar 25, 2014 · Other
- V•••••• H••••••• V•••• P•••••• from M•••••• C•••••• M••••••••• L••Feb 26, 2013 · Other
- A•••••• A•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 2, 2011 · Other
- K••• L••••• J••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 25, 2009 · Other
- E••••• M•••• from S••••••• G•••• C••••••Sep 9, 2008 · Other
- F•••••••• X••••• M••• from G•••••••• F••••••••• I••Apr 10, 2008 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• M••••••• P•••••••• F••• L••••••no longer reported | Other Private Fund | $44.8M | 613 | Apr 29, 2014 |
| A••••••• C••••••••• P•••••••• F••• L••••••no longer reported | Other Private Fund | $37.7M | 249 | Apr 29, 2014 |
| A••••••• G••••• H••• Y•••• F••• S•••• D••••••• F••• L••••••no longer reported | Other Private Fund | $20.7M | 53 | Apr 29, 2014 |
Owners and control persons
Schedule A and B, latest filing
- D• L•••• P••••••• · Compliance Officercontrolsince 08/2019 · owns less than 5%
- L••••• B•••••••• J•••• · Director Of Wealth Managementcontrolsince 01/2016 · owns less than 5%
- M•••• F••••••••• X••••• · Chief Executive Officercontrolsince 05/2021 · owns less than 5%
- W••••• T••••••• P•••••• · Chief Operating Officercontrolsince 06/2024 · owns less than 5%
- W••••• J•••••••• M•••••• · Chief Compliance Officersince 02/2024 · owns less than 5%
Entity owners
- A•••••• H•••••••• I••• · Ownerdirect · owns 75% or more
- A•••••• A••••••• I••••••••• S••••• D• C••• · Shareholderindirect · owns 75% or more of A•••••• H•••••••• I•••
Related persons
Schedule D 7.A
- A•••••• I•••••••• S•••••••• I•••real estaten
- A•••••• S••••••••• I•••broker-dealern
Advisers that list A•••••• W••••• M••••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 28 | 6 | 1 | ||
| San A••••••, Tx | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San A••••••, TX8 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026W••••• T••••••• P•••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-03-29 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,285 to 1,316Aug 21, 2025 to Mar 27, 2026
- Advisory employees · 40 to 28Aug 21, 2025 to Mar 27, 2026
- BD registered reps · 27 to 35Aug 21, 2025 to Mar 27, 2026
- Corporate clients · 169 to 165Aug 21, 2025 to Mar 27, 2026
- HNW clients · 524 to 633Aug 21, 2025 to Mar 27, 2026
- Individual clients · 592 to 518Aug 21, 2025 to Mar 27, 2026
- Employees · 51 to 55Aug 21, 2025 to Mar 27, 2026
- State-registered IARs · 24 to 28Aug 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $800M to $861MAug 21, 2025 to Mar 27, 2026
- HNW RAUM · $625M to $809MAug 21, 2025 to Mar 27, 2026
- Individual RAUM · $194M to $179MAug 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $432M to $540MAug 21, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.4BAug 21, 2025 to Mar 27, 2026
- Accounts · 1,019 to 1,285Jan 22, 2025 to Apr 17, 2025
- Advisory employees · 14 to 40Jan 22, 2025 to Apr 17, 2025
- BD registered reps · 24 to 27Jan 22, 2025 to Apr 17, 2025
- Corporate clients · 158 to 169Jan 22, 2025 to Apr 17, 2025
- HNW clients · 641 to 524Jan 22, 2025 to Apr 17, 2025
- Individual clients · 235 to 592Jan 22, 2025 to Apr 17, 2025
- Employees · 36 to 51Jan 22, 2025 to Apr 17, 2025
- Financial planning clients · unset to Jan 22, 2025 to Apr 17, 2025
- State-registered IARs · 21 to 24Jan 22, 2025 to Apr 17, 2025
- Discretionary RAUM · $542M to $800MJan 22, 2025 to Apr 17, 2025
- HNW RAUM · $496M to $625MJan 22, 2025 to Apr 17, 2025
- Individual RAUM · $72.3M to $194MJan 22, 2025 to Apr 17, 2025
- Non-discretionary RAUM · $319M to $432MJan 22, 2025 to Apr 17, 2025
- RAUM · $861M to $1.2BJan 22, 2025 to Apr 17, 2025
- Accounts · 791 to 1,019Dec 12, 2023 to Mar 29, 2024
- Advisory employees · 15 to 14Dec 12, 2023 to Mar 29, 2024
- Advisory activities · 2 to 1Dec 12, 2023 to Mar 29, 2024
- BD registered reps · 21 to 24Dec 12, 2023 to Mar 29, 2024
- Corporate clients · unset to 158.0Dec 12, 2023 to Mar 29, 2024
- HNW clients · 162 to 641Dec 12, 2023 to Mar 29, 2024
- Individual clients · 629 to 235Dec 12, 2023 to Mar 29, 2024
- State-registered IARs · 19 to 21Dec 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $474M to $542MDec 12, 2023 to Mar 29, 2024
- HNW RAUM · $435M to $496MDec 12, 2023 to Mar 29, 2024
- Individual RAUM · $231M to $72.3MDec 12, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $192M to $319MDec 12, 2023 to Mar 29, 2024
- RAUM · $666M to $861MDec 12, 2023 to Mar 29, 2024
Signals
14 dated events
- R•••••• O•••• R••• registered as an investment adviser representative at A•••••• W••••• M••••••••• I•••Sep 17, 2026 · Advisor registered · fact
- N•• O•••• H•••••••• left A•••••• W••••• M••••••••• I••• for B••• G••••• W••••• A•••••••• I••• (registered 2025-11-04)Oct 22, 2025 · Advisor changed firm · fact
- A•••••• W••••• M••••••••• I••• reported RAUM $1.2B, up 43% from $861.0M (2025-01-22 to 2025-04-17)Apr 17, 2025 · RAUM change · derived
- A•••••• V••••• left A•••••• W••••• M••••••••• I••• for V••••••••• I••• I••• (registered 2025-02-12)Feb 11, 2025 · Advisor changed firm · fact
- A•••••• W••••• M••••••••• I••• reported RAUM $861.0M, up 29% from $666.2M (2023-12-12 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- M••••• H••••••••• left A•••••• W••••• M••••••••• I••• for B••• G••••• W••••• A•••••••• I••• (registered 2024-08-19)Nov 7, 2023 · Advisor changed firm · fact
- Julian J•••ph Scavetti (Chief Compliance Officer) no longer on Schedule A of A•••••• W••••• M••••••••• I••• (listed 2023-02-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A••••• S•••••• C••••• left A•••••• W••••• M••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-04-06)Mar 8, 2023 · Advisor changed firm · fact
- R•••••• C••••••••• left A•••••• W••••• M••••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-11-02)Oct 31, 2022 · Advisor changed firm · fact
- M•••••• A••••• G•••• left A•••••• W••••• M••••••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2022-09-30)Sep 30, 2022 · Advisor changed firm · fact
- J••• P•••• B••••••••• left A•••••• W••••• M••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-06-10)Jun 9, 2022 · Advisor changed firm · fact
- A•••••• W••••• M••••••••• I••• reported RAUM $788.8M, up 33% from $591.6M (2021-06-21 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Walter William Cathriner (Chief Compliance Officer) no longer on Schedule A of A•••••• W••••• M••••••••• I••• (listed 2019-06-12, absent 2019-10-20)Oct 20, 2019 · Control person left · inference
- Julian J•••ph Scavetti (Chief Compliance Officer) appeared on Schedule A of A•••••• W••••• M••••••••• I•••Oct 20, 2019 · Control person joined · 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/alternawealthmanagementreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-885-9843reportedpublic record, Form ADV, Mar 27, 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
- $50.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026