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
M••••• I••••••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Feb 21, 2023 · 4 filings
SEC status approved since Mar 24, 2023
RAUM
$159M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$154M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$159M as of Mar 5, 2026
Feb 13, 2024$124M then
HNW client RAUM$150M as of Mar 5, 2026
Feb 13, 2024$114M then
State-registered IARs (5.B.3)1 as of Mar 5, 2026
Feb 13, 20241 then
Employees (5.A)2 as of Mar 5, 2026
Feb 13, 20242 then
Private funds: no history
RAUM +8.4% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $46,500, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M94%
- Corporations and businesses$5.1M3.2%
- Individuals$4.2M2.6%
- Individual clients
- 15reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 131reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46,500 for 2 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• T••••• M•••••Chartered Financial Analyst | Houston, Tx | May 5, 2008 | 20 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
- S••••• T••••• M••••• from I•••••• A•• P•••••• A•••• M••••••••• I•••May 5, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• S•••••• T••••• · Owner/Chief Compliance Officercontrolsince 04/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 139 to 131Mar 18, 2025 to Mar 5, 2026
- Individual clients · 16 to 15Mar 18, 2025 to Mar 5, 2026
- Discretionary RAUM · $144M to $156MMar 18, 2025 to Mar 5, 2026
- HNW RAUM · $137M to $150MMar 18, 2025 to Mar 5, 2026
- Individual RAUM · $4.5M to $4.2MMar 18, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $3.1M to $3.1MMar 18, 2025 to Mar 5, 2026
- RAUM · $147M to $159MMar 18, 2025 to Mar 5, 2026
- Accounts · 133 to 139Feb 13, 2024 to Mar 18, 2025
- Advisory activities · 4 to 3Feb 13, 2024 to Mar 18, 2025
- HNW clients · 24 to 28Feb 13, 2024 to Mar 18, 2025
- Individual clients · 17 to 16Feb 13, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 11-25Feb 13, 2024 to Mar 18, 2025
- Discretionary RAUM · $119M to $144MFeb 13, 2024 to Mar 18, 2025
- HNW RAUM · $114M to $137MFeb 13, 2024 to Mar 18, 2025
- Individual RAUM · $5.3M to $4.5MFeb 13, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $5.6M to $3.1MFeb 13, 2024 to Mar 18, 2025
- RAUM · $124M to $147MFeb 13, 2024 to Mar 18, 2025
- Accounts · 138 to 133Feb 21, 2023 to Feb 13, 2024
- HNW clients · 25 to 24Feb 21, 2023 to Feb 13, 2024
- Individual clients · 16 to 17Feb 21, 2023 to Feb 13, 2024
- Assets in custody · $34,500 to $46,500Feb 21, 2023 to Feb 13, 2024
- Discretionary RAUM · $110M to $119MFeb 21, 2023 to Feb 13, 2024
- HNW RAUM · $106M to $114MFeb 21, 2023 to Feb 13, 2024
- Individual RAUM · $4.1M to $5.3MFeb 21, 2023 to Feb 13, 2024
- Non-discretionary RAUM · $5.5M to $5.6MFeb 21, 2023 to Feb 13, 2024
- RAUM · $116M to $124MFeb 21, 2023 to Feb 13, 2024
Signals
1 dated events
- M••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 2023 · 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
- Business phone
- 281-520-4206reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 713-850-7444reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M•••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (713) 850-7444reportedpublic record, Form ADV, Mar 5, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026