DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• C•••••• M•••••••••
Legal name S•••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 9, 2012 · 20 filings
SEC status approved since Aug 4, 2008
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
15%
$36.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$239M as of Mar 27, 2026
Mar 9, 2012$116M then
HNW client RAUM$28.4M as of Mar 27, 2026
Mar 27, 2018$69.1M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Feb 20, 20132 then
Employees (5.A)2 as of Mar 27, 2026
Feb 20, 20132 then
Private funds1 as of Mar 27, 2026
Mar 10, 20223 then
RAUM +8.2% over the last fiscal year+4.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $13.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $238M, 18 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$135M69%
- High-net-worth individuals$28.4M15%
- Charitable organizations$16.5M8.4%
- Individuals$8.3M4.3%
- Pooled investment vehicles$4.7M2.4%
- Other investment advisers$1.9M1.0%
- Individual clients
- 5reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $238M for 18 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.15 fund_share=0.03 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• E••••• B••••••••• | Dallas, Tx | Aug 13, 2008 | 28 y | 1 |
| W•••••• E••••• C••••••• | Dallas, Tx | Aug 19, 2008 | 23 y | 1 |
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
- W•••••• E••••• C••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 19, 2008 · Other
- P••••• E••••• B••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 13, 2008 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••• S•••• G•• L•• | Other Private Fund | $18.8M | 15 | Jul 28, 2021 |
| S•••••• O••••••••• F••• L• | Other Private Fund | $4.7M | 7 | Jul 28, 2021 |
| S•••••• T••••••••• M••• L•• | Other Private Fund | $0 | 7 | Jul 28, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• P•••••• E••••• · Elected Manager/Chief Compliance Officercontrolsince 03/2008 · owns less than 5%
- C•••••••• W••••••• E••••• · Managing Membercontrolsince 03/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 18Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $221M to $238MMar 26, 2025 to Mar 27, 2026
- Private funds · 2 to 1Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $221M to $239MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $27.0M to $28.4MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $7.7M to $8.3MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $4.4M to $4.7MMar 26, 2025 to Mar 27, 2026
- RAUM · $221M to $239MMar 26, 2025 to Mar 27, 2026
- HNW clients · 8 to 5Mar 29, 2024 to Mar 26, 2025
- Individual clients · 7 to 5Mar 29, 2024 to Mar 26, 2025
- Pooled vehicle clients · 2 to 1Mar 29, 2024 to Mar 26, 2025
- Assets in custody · $213M to $221MMar 29, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $213M to $221MMar 29, 2024 to Mar 26, 2025
- HNW RAUM · $31.4M to $27.0MMar 29, 2024 to Mar 26, 2025
- Individual RAUM · $1.7M to $7.7MMar 29, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $4.9M to $4.4MMar 29, 2024 to Mar 26, 2025
- RAUM · $213M to $221MMar 29, 2024 to Mar 26, 2025
- Assets in custody · $208M to $213MMar 27, 2023 to Mar 29, 2024
- Private funds · 3 to 2Mar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $208M to $213MMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $67.8M to $31.4MMar 27, 2023 to Mar 29, 2024
- Individual RAUM · $2.6M to $1.7MMar 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.5M to $4.9MMar 27, 2023 to Mar 29, 2024
- RAUM · $208M to $213MMar 27, 2023 to Mar 29, 2024
- Accounts · 22 to 20Mar 10, 2022 to Mar 24, 2023
- HNW clients · 10 to 8Mar 10, 2022 to Mar 24, 2023
- Pooled vehicle clients · 3 to 2Mar 10, 2022 to Mar 24, 2023
- Assets in custody · $214M to $208MMar 10, 2022 to Mar 24, 2023
- Financial planning clients · 0 to 1-10Mar 10, 2022 to Mar 24, 2023
- Discretionary RAUM · $214M to $208MMar 10, 2022 to Mar 24, 2023
- HNW RAUM · $44.6M to $67.8MMar 10, 2022 to Mar 24, 2023
- Individual RAUM · $3.2M to $2.6MMar 10, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $27.3M to $4.5MMar 10, 2022 to Mar 24, 2023
- RAUM · $214M to $208MMar 10, 2022 to Mar 24, 2023
- Accounts · 21 to 22Jul 28, 2021 to Mar 10, 2022
- HNW clients · 13 to 10Jul 28, 2021 to Mar 10, 2022
- Individual clients · 6 to 7Jul 28, 2021 to Mar 10, 2022
- Assets in custody · $194M to $214MJul 28, 2021 to Mar 10, 2022
- Discretionary RAUM · $168M to $214MJul 28, 2021 to Mar 10, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- S•••••• C•••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 214-739-2025reportedpublic 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026