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.
SEC-registered adviser
Erben Associates, LLC
Latest filing Mar 25, 2026
First filing on the tape Dec 14, 2018 · 21 filings
SEC status approved since Jan 28, 2019
RAUM
$402M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
31%
$125M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$50.3M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$402M as of Mar 25, 2026
Mar 29, 2019$131M then
HNW client RAUM$105M as of Mar 25, 2026
Mar 29, 2019$113M then
State-registered IARs (5.B.3)9 as of Mar 25, 2026
Mar 29, 20196 then
Employees (5.A)10 as of Mar 25, 2026
Mar 29, 201913 then
Private funds: no history
RAUM +20% over the last fiscal year+18% a year over threeIARs 3 to 9
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $50.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $420,551derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, pension consulting, selection of other advisers, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- is a trust company (6.A.8)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$278M69%
- High-net-worth individuals$105M26%
- Individuals$20.1M5.0%
- Individual clients
- 21reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 957reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.31 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Beaton Erben | Austin, Tx | Feb 25, 2011 | 33 y | 2 |
| Brittany Martin Worrell | Austin, Tx | May 2, 2013 | 13 y | 0 |
| Danny James Mcgovern | Austin, Tx | Feb 16, 2018 | 30 y | 1 |
| Casey Lee Fox | Austin, Tx | Aug 16, 2022 | 20 y | 3 |
| Paul Teneyck Elmendorf | Austin, Tx | Jul 6, 2023 | 10 y | 0 |
| John Mccarthy Collins | Austin, Tx | Jul 18, 2023 | 13 y | 0 |
| Zac Douglas Robinson | Austin, Tx | Jan 7, 2026 | 10 y | 0 |
| Qudasia Maxwell | Austin, Tx | Jan 7, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- Noah Barry Remmert to Fieldstone Advisory LLCMay 6, 2026 · RIA to a state-registered adviser
- Jared Scott Neven to Baker Tilly Wealth Management, LLCOct 2, 2020 · RIA to RIA
- Korbett Lane Roberts to M Holdings Securities, Inc.Jul 6, 2020 · RIA to affiliated broker-dealer or bank
- Mark J Mcadams to Ironclad Strategies LLCJul 2, 2018 · Other
- Nicholas Alexander Munoz to Stonewater Wealth Management, Inc.Jan 3, 2018 · Other
- Tracey Kulpa Brenneise to Stonewater Wealth Management, Inc.Jan 3, 2018 · Other
- Kelly Ann Mcgrath to Stonewater Wealth Management, Inc.Jan 3, 2018 · Other
- Laurie Ann Ross to Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2, 2017 · RIA to wirehouse
- Barbara Nicole Flanagan to Dimensional Fund Advisors LPSep 19, 2016 · Other
Joined, latest
- Casey Lee Fox from MML Investors Services, LLCAug 16, 2022 · Affiliated broker-dealer or bank to independent RIA
- Danny James Mcgovern from Brinker Capital IncFeb 16, 2018 · Other
- Tracey Kulpa Brenneise from LPL Financial LLCNov 3, 2017 · Other
- Nicholas Alexander Munoz from OnedigitalNov 2, 2017 · Other
- Laurie Ann Ross from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 7, 2017 · Wirehouse to independent RIA
- Korbett Lane Roberts from Northwestern Mutual Investment Services,LLCSep 2, 2016 · Other
- Mark J Mcadams from Eagle Strategies LLCApr 3, 2013 · Other
- James Beaton Erben from Eagle Strategies LLCFeb 11, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Stonewater Wealth Management, Inc.Jan 3, 2018 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Beaton James Erben · Managing Membercontrolsince 03/2006 · owns 75% or more
- Kathrine Brittany Worrell · Chief Compliance Officer & Client Services Managersince 11/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 8 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 122 to 957Jul 7, 2025 to Mar 25, 2026
- Advisory employees · 4 to 10Jul 7, 2025 to Mar 25, 2026
- BD registered reps · 5 to 9Jul 7, 2025 to Mar 25, 2026
- Corporate clients · 51 to 55Jul 7, 2025 to Mar 25, 2026
- HNW clients · 50 to 52Jul 7, 2025 to Mar 25, 2026
- Insurance-licensed employees · 4 to 0Jul 7, 2025 to Mar 25, 2026
- State-registered IARs · 3 to 9Jul 7, 2025 to Mar 25, 2026
- Discretionary RAUM · $335M to $402MJul 7, 2025 to Mar 25, 2026
- HNW RAUM · $87.2M to $105MJul 7, 2025 to Mar 25, 2026
- Individual RAUM · $16.8M to $20.1MJul 7, 2025 to Mar 25, 2026
- RAUM · $335M to $402MJul 7, 2025 to Mar 25, 2026
- Financial planning clients · 26-50 to 26-50Apr 1, 2025 to Jul 7, 2025
- Accounts · 715 to 122Apr 4, 2024 to Apr 1, 2025
- Corporate clients · 45 to 51Apr 4, 2024 to Apr 1, 2025
- HNW clients · 44 to 50Apr 4, 2024 to Apr 1, 2025
- Individual clients · 18 to 21Apr 4, 2024 to Apr 1, 2025
- Discretionary RAUM · $22.4M to $335MApr 4, 2024 to Apr 1, 2025
- HNW RAUM · $77.2M to $87.2MApr 4, 2024 to Apr 1, 2025
- Individual RAUM · $14.9M to $16.8MApr 4, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $275M to $0Apr 4, 2024 to Apr 1, 2025
- RAUM · $297M to $335MApr 4, 2024 to Apr 1, 2025
- Accounts · 687 to 715Sep 27, 2023 to Mar 29, 2024
- Corporate clients · 35 to 45Sep 27, 2023 to Mar 29, 2024
- HNW clients · 34 to 44Sep 27, 2023 to Mar 29, 2024
- Individual clients · 14 to 18Sep 27, 2023 to Mar 29, 2024
- Financial planning clients · 11-25 to 26-50Sep 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $18.4M to $22.4MSep 27, 2023 to Mar 29, 2024
- HNW RAUM · $61.0M to $77.2MSep 27, 2023 to Mar 29, 2024
- Individual RAUM · $7.3M to $14.9MSep 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $226M to $275MSep 27, 2023 to Mar 29, 2024
- RAUM · $244M to $297MSep 27, 2023 to Mar 29, 2024
- Advisory employees · 5 to 4Jul 5, 2023 to Sep 27, 2023
- Employees · 11 to 10Jul 5, 2023 to Sep 27, 2023
- State-registered IARs · 4 to 3Jul 5, 2023 to Sep 27, 2023
- Advisory employees · 4 to 5Mar 23, 2023 to Jul 5, 2023
- BD registered reps · 4 to 5Mar 23, 2023 to Jul 5, 2023
- Employees · 10 to 11Mar 23, 2023 to Jul 5, 2023
- Insurance-licensed employees · 3 to 4Mar 23, 2023 to Jul 5, 2023
- State-registered IARs · 3 to 4Mar 23, 2023 to Jul 5, 2023
- Accounts · 422 to 687Dec 6, 2022 to Mar 23, 2023
Signals
2 dated events
- Noah Barry Remmert left Erben Associates, Llc for Fieldstone Advisory Llc (registered 2026-09-10)May 6, 2026 · Advisor changed firm · fact
- Erben Associates, Llc filed its initial SEC registration (Form ADV)Dec 14, 2018 · 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
- 512-402-0250reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/erben-associatesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ERBENASSOCIATES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-402-0250reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- erbenassociates.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- erbenassociates.com/about/teamreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $50.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026