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
S•••••••• W••••• P•••••••
Legal name B••• F••••••••• L•
Latest filing Mar 10, 2026
First filing on the tape Apr 11, 2012 · 20 filings
SEC status approved since Jan 8, 2009
RAUM
$209M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$207M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$209M
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$209M as of Mar 10, 2026
Apr 11, 2012$96.3M then
HNW client RAUM$193M as of Mar 10, 2026
Mar 22, 2018$89.5M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Apr 11, 20120 then
Employees (5.A)6 as of Mar 10, 2026
Mar 19, 20134 then
Private funds: no history
RAUM +4.0% over the last fiscal year+11% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 10, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $209MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 196derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $267,093derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%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, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $341MreportedItem 5.I
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$193M93%
- Individuals$14.1M6.8%
- Pension and profit-sharing plans$1.3M0.6%
- Individual clients
- 96reported
- HNW clients
- 100reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 781reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $171M sponsored, $171M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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•••••• J•••• B•••Certified Financial Planner, Chartered Financial Consultant | Richardson, Tx | Jan 8, 2009 | 23 y | 2 |
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 headcount1 left over 36 months
Left, latest
- C•••••• K•• to N•••• B••••••• W••••• M••••••••• L••Jun 6, 2025 · RIA to RIA
- B•••• B••••••• to F••••• I•••••••••Jul 15, 2021 · RIA to RIA
- C••••••••• L••••• S••••• to S••••• C•••••• L••Feb 1, 2019 · RIA to a state-registered adviser
- M••••• W•••••• M••••• to P•••••• A•••••••• I•••Mar 19, 2012 · Other
Joined, latest
- C••••••••• L••••• S••••• from W•••••• • R•••Dec 22, 2016 · Other
- M••••• W•••••• M••••• from V••• F•••••••• A•••••••• I•••Jan 8, 2009 · Other
- S•••••• J•••• B••• from V••• F•••••••• A•••••••• I•••Jan 8, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• S••••••• J•••• · Limited Partnercontrolsince 01/2006 · owns 75% or more
- B•••• S••••••• J•••• · President/Secretary/Treasurercontrolsince 01/2006 · owns 75% or more of B••• M••••••••• G••••• I•••
- B•••• J••••••• S• · Chief Compliance Officersince 01/2013 · owns less than 5%
Entity owners
- B••• M••••••••• G••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- S•••••• J• B•••investment adviserinsuranceLP sponsorreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Richardson, Tx · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 640 to 781Mar 10, 2025 to Mar 10, 2026
- Advisory employees · 2 to 1Mar 10, 2025 to Mar 10, 2026
- HNW clients · 85 to 100Mar 10, 2025 to Mar 10, 2026
- Individual clients · 111 to 96Mar 10, 2025 to Mar 10, 2026
- Employees · 8 to 6Mar 10, 2025 to Mar 10, 2026
- State-registered IARs · 2 to 1Mar 10, 2025 to Mar 10, 2026
- Discretionary RAUM · $169M to $183MMar 10, 2025 to Mar 10, 2026
- HNW RAUM · $186M to $193MMar 10, 2025 to Mar 10, 2026
- Individual RAUM · $13.3M to $14.1MMar 10, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $31.5M to $25.7MMar 10, 2025 to Mar 10, 2026
- Pension RAUM · $1.1M to $1.3MMar 10, 2025 to Mar 10, 2026
- RAUM · $201M to $209MMar 10, 2025 to Mar 10, 2026
- Wrap assets (manager) · $158M to $171MMar 10, 2025 to Mar 10, 2026
- Wrap assets (sponsor) · $158M to $171MMar 10, 2025 to Mar 10, 2026
- BD registered reps · 1 to 0Mar 12, 2024 to Mar 10, 2025
- HNW clients · 73 to 85Mar 12, 2024 to Mar 10, 2025
- Individual clients · 107 to 111Mar 12, 2024 to Mar 10, 2025
- Employees · 7 to 8Mar 12, 2024 to Mar 10, 2025
- Financial planning clients · 26-50 to 26-50Mar 12, 2024 to Mar 10, 2025
- State-registered IARs · 1 to 2Mar 12, 2024 to Mar 10, 2025
- Discretionary RAUM · $133M to $169MMar 12, 2024 to Mar 10, 2025
- HNW RAUM · $151M to $186MMar 12, 2024 to Mar 10, 2025
- Individual RAUM · $13.0M to $13.3MMar 12, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $31.4M to $31.5MMar 12, 2024 to Mar 10, 2025
- Pension RAUM · $940,000 to $1.1MMar 12, 2024 to Mar 10, 2025
- RAUM · $164M to $201MMar 12, 2024 to Mar 10, 2025
- Wrap assets (manager) · $117M to $158MMar 12, 2024 to Mar 10, 2025
- Wrap assets (sponsor) · $117M to $158MMar 12, 2024 to Mar 10, 2025
- Accounts · 512 to 640Mar 15, 2023 to Mar 12, 2024
- HNW clients · 64 to 73Mar 15, 2023 to Mar 12, 2024
- Individual clients · 113 to 107Mar 15, 2023 to Mar 12, 2024
- HQ city · DALLAS to RICHARDSONMar 15, 2023 to Mar 12, 2024
- Discretionary RAUM · $117M to $133MMar 15, 2023 to Mar 12, 2024
- HNW RAUM · $136M to $151MMar 15, 2023 to Mar 12, 2024
- Individual RAUM · $14.0M to $13.0MMar 15, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $34.1M to $31.4MMar 15, 2023 to Mar 12, 2024
- Pension RAUM · $780,000 to $940,000Mar 15, 2023 to Mar 12, 2024
- RAUM · $151M to $164MMar 15, 2023 to Mar 12, 2024
- Wrap assets (manager) · $98.4M to $117MMar 15, 2023 to Mar 12, 2024
- Wrap assets (sponsor) · $98.4M to $117MMar 15, 2023 to Mar 12, 2024
Signals
1 dated events
- C•••••• K•• left S•••••••• W••••• P••••••• for N•••• B••••••• W••••• M••••••••• L•• (registered 2026-01-20)Jun 6, 2025 · Advisor changed firm · 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 214-727-6000reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-451-6352reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-913-8315reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-727-6000reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $209Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026