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

E••••••• W••••• M••••••••• L••

Former SEC-registered adviserAustin, TexasCRD 148445SEC 801-107279IAPD
Latest filing Feb 21, 2024
First filing on the tape Feb 9, 2016 · 13 filings
RAUM
$166M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$166M as of Feb 21, 2024
Mar 23, 2017$107M then
HNW client RAUM$108M as of Feb 21, 2024
Jan 19, 2018$134M then
State-registered IARs (5.B.3)2 as of Feb 21, 2024
Mar 23, 20172 then
Employees (5.A)2 as of Feb 21, 2024
Mar 23, 20172 then
Private funds: no history
RAUM +13% over the last fiscal year-2.2% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Feb 21, 2024; every figure names its basis
RAUM per advisor
$82.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$21.5MderivedHNW RAUM over HNW clients
Average account
$997,430derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$108M65%
  • Individuals$58.0M35%
Individual clients
43reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
166reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • F••••••• J••••• G••••• · Managing Member/Ccocontrol
      since 09/2008 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    A•••••, Tx · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 154 to 166
      Feb 16, 2023 to Feb 21, 2024
    • Advisory employees · 1 to 2
      Feb 16, 2023 to Feb 21, 2024
    • Individual clients · 39 to 43
      Feb 16, 2023 to Feb 21, 2024
    • State-registered IARs · 1 to 2
      Feb 16, 2023 to Feb 21, 2024
    • Discretionary RAUM · $144M to $163M
      Feb 16, 2023 to Feb 21, 2024
    • HNW RAUM · $97.2M to $108M
      Feb 16, 2023 to Feb 21, 2024
    • Individual RAUM · $48.7M to $58.0M
      Feb 16, 2023 to Feb 21, 2024
    • Non-discretionary RAUM · $2.0M to $2.3M
      Feb 16, 2023 to Feb 21, 2024
    • RAUM · $146M to $166M
      Feb 16, 2023 to Feb 21, 2024
    • Accounts · 297 to 154
      Oct 18, 2022 to Feb 16, 2023
    • HNW clients · 3 to 5
      Oct 18, 2022 to Feb 16, 2023
    • Individual clients · 80 to 39
      Oct 18, 2022 to Feb 16, 2023
    • Financial planning clients · 51-100 to 26-50
      Oct 18, 2022 to Feb 16, 2023
    • Discretionary RAUM · $203M to $144M
      Oct 18, 2022 to Feb 16, 2023
    • HNW RAUM · $103M to $97.2M
      Oct 18, 2022 to Feb 16, 2023
    • Individual RAUM · $102M to $48.7M
      Oct 18, 2022 to Feb 16, 2023
    • Non-discretionary RAUM · $2.5M to $2.0M
      Oct 18, 2022 to Feb 16, 2023
    • RAUM · $205M to $146M
      Oct 18, 2022 to Feb 16, 2023
    • Advisory employees · 2 to 1
      Mar 10, 2022 to Oct 18, 2022
    • Employees · 3 to 2
      Mar 10, 2022 to Oct 18, 2022
    • State-registered IARs · 2 to 1
      Mar 10, 2022 to Oct 18, 2022
    • Accounts · 279 to 297
      Mar 25, 2021 to Mar 10, 2022
    • Individual clients · 72 to 80
      Mar 25, 2021 to Mar 10, 2022
    • Discretionary RAUM · $175M to $203M
      Mar 25, 2021 to Mar 10, 2022
    • HNW RAUM · $93.6M to $103M
      Mar 25, 2021 to Mar 10, 2022
    • Individual RAUM · $83.7M to $102M
      Mar 25, 2021 to Mar 10, 2022
    • Non-discretionary RAUM · $2.3M to $2.5M
      Mar 25, 2021 to Mar 10, 2022
    • RAUM · $177M to $205M
      Mar 25, 2021 to Mar 10, 2022
    • Accounts · 262 to 279
      Jun 2, 2020 to Mar 25, 2021
    • Individual clients · 67 to 72
      Jun 2, 2020 to Mar 25, 2021
    • Discretionary RAUM · $158M to $175M
      Jun 2, 2020 to Mar 25, 2021
    • HNW RAUM · $93.7M to $93.6M
      Jun 2, 2020 to Mar 25, 2021
    • Individual RAUM · $64.4M to $83.7M
      Jun 2, 2020 to Mar 25, 2021
    • Non-discretionary RAUM · $0 to $2.3M
      Jun 2, 2020 to Mar 25, 2021
    • RAUM · $158M to $177M
      Jun 2, 2020 to Mar 25, 2021
    • Accounts · 245 to 262
      Feb 20, 2019 to Feb 25, 2020
    • Individual clients · 63 to 67
      Feb 20, 2019 to Feb 25, 2020
    • Discretionary RAUM · $137M to $158M
      Feb 20, 2019 to Feb 25, 2020
    • HNW RAUM · $89.4M to $93.7M
      Feb 20, 2019 to Feb 25, 2020
    • Individual RAUM · $47.7M to $64.4M
      Feb 20, 2019 to Feb 25, 2020
    Signals
    6 dated events
    • J•••• G••••• F•••••• left E••••••• W••••• M••••••••• L•• for A•••••• W••••• S•••••••• (registered 2024-05-21)
      May 24, 2024 · Advisor changed firm · fact
    • L•••• B••• V••••••• left E••••••• W••••• M••••••••• L•• for A•••••• W••••• S•••••••• (registered 2024-05-21)
      May 21, 2024 · Advisor changed firm · fact
    • 2 advisors left E••••••• W••••• M••••••••• L•• (Austin, TX) for A•••••• W••••• S•••••••• within 3 days
      May 21, 2024 · Team lift-out · derived
    • Leigh Sara Seely (Member) no longer on Schedule A of E••••••• W••••• M••••••••• L•• (listed 2022-03-10, absent 2022-10-18)
      Oct 18, 2022 · Control person left · inference
    • S••• L•••• S•••• left E••••••• W••••• M••••••••• L•• for W••••••• C•••••• (registered 2022-10-03)
      Sep 30, 2022 · Advisor changed firm · fact
    • E••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 9, 2016 · 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.
    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