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
C••••••• A••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Apr 14, 2015 · 20 filings
SEC status approved since Apr 21, 2015
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.4M
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
20 filings and snapshots on the tape
RAUM$137M as of Mar 3, 2026
Mar 28, 2016$125M then
HNW client RAUM$127M as of Mar 3, 2026
Mar 28, 2018$86.2M then
State-registered IARs (5.B.3)2 as of Mar 3, 2026
Mar 28, 20162 then
Employees (5.A)2 as of Mar 3, 2026
Mar 28, 20162 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $68.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $50.1M, 29 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M93%
- Individuals$9.9M7.2%
- Corporations and businesses$2,1810.0%
- Individual clients
- 31reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 119reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.1M for 29 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| T••••• E•••••• T••••• | Houston, Tx | Aug 3, 2015 | 34 y | 3 |
| B•••••• A•••••• W•••Certified Financial Planner | Houston, Tx | Aug 17, 2020 | 10 y | 0 |
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
- K•••••• R•• O•••• to O•••• W••••• M•••••••••Jul 13, 2016 · Other
Joined, latest
- T••••• E•••••• T••••• from C•••••• M••••••••• A••••••• L•Mar 26, 2009 · Other
- K•••••• R•• O•••• from C•••••• M••••••••• A••••••• L•Mar 26, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• T•••••• E•••••• · Managing Member And Chief Compliance Officercontrolsince 02/2009 · 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 |
|---|---|---|---|---|---|
| Houston, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 3, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-05-09, no on the filing of 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 127 to 119May 9, 2025 to Mar 3, 2026
- Advisory activities · 2 to 1May 9, 2025 to Mar 3, 2026
- HNW clients · 19 to 20May 9, 2025 to Mar 3, 2026
- Individual clients · 34 to 31May 9, 2025 to Mar 3, 2026
- Assets in custody · $29.1M to $50.1MMay 9, 2025 to Mar 3, 2026
- HQ city · HOUSTON to May 9, 2025 to Mar 3, 2026
- HQ state · TX to May 9, 2025 to Mar 3, 2026
- Discretionary RAUM · $116M to $137MMay 9, 2025 to Mar 3, 2026
- HNW RAUM · $108M to $127MMay 9, 2025 to Mar 3, 2026
- Individual RAUM · $7.8M to $9.9MMay 9, 2025 to Mar 3, 2026
- RAUM · $116M to $137MMay 9, 2025 to Mar 3, 2026
- Financial planning clients · unset to Mar 21, 2025 to May 9, 2025
- HNW clients · 20 to 19Mar 14, 2024 to Mar 21, 2025
- Individual clients · 33 to 34Mar 14, 2024 to Mar 21, 2025
- Assets in custody · $52.0M to $29.1MMar 14, 2024 to Mar 21, 2025
- Discretionary RAUM · $112M to $116MMar 14, 2024 to Mar 21, 2025
- HNW RAUM · $105M to $108MMar 14, 2024 to Mar 21, 2025
- Individual RAUM · $7.8M to $7.8MMar 14, 2024 to Mar 21, 2025
- RAUM · $112M to $116MMar 14, 2024 to Mar 21, 2025
- Accounts · 123 to 127Oct 30, 2023 to Mar 14, 2024
- Individual clients · 31 to 33Oct 30, 2023 to Mar 14, 2024
- Assets in custody · $22.2M to $52.0MOct 30, 2023 to Mar 14, 2024
- Discretionary RAUM · $97.4M to $112MOct 30, 2023 to Mar 14, 2024
- HNW RAUM · $88.4M to $105MOct 30, 2023 to Mar 14, 2024
- Individual RAUM · $9.1M to $7.8MOct 30, 2023 to Mar 14, 2024
- RAUM · $97.4M to $112MOct 30, 2023 to Mar 14, 2024
- Advisory activities · 3 to 2Mar 30, 2022 to Mar 13, 2023
- HNW clients · 19 to 20Mar 30, 2022 to Mar 13, 2023
- Individual clients · 26 to 31Mar 30, 2022 to Mar 13, 2023
- Assets in custody · $23.2M to $22.2MMar 30, 2022 to Mar 13, 2023
- Discretionary RAUM · $113M to $97.4MMar 30, 2022 to Mar 13, 2023
- HNW RAUM · $106M to $88.4MMar 30, 2022 to Mar 13, 2023
- Individual RAUM · $6.4M to $9.1MMar 30, 2022 to Mar 13, 2023
- RAUM · $113M to $97.4MMar 30, 2022 to Mar 13, 2023
- Accounts · 117 to 123Mar 23, 2021 to Mar 30, 2022
- Advisory employees · 3 to 2Mar 23, 2021 to Mar 30, 2022
- Individual clients · 27 to 26Mar 23, 2021 to Mar 30, 2022
- Assets in custody · $1.3M to $23.2MMar 23, 2021 to Mar 30, 2022
- Employees · 3 to 2Mar 23, 2021 to Mar 30, 2022
- State-registered IARs · 3 to 2Mar 23, 2021 to Mar 30, 2022
Signals
1 dated events
- C••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2015 · 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
- 281-822-0909reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••••ADV.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281.822.0909reportedpublic record, Form ADV, Mar 3, 2026
- Contact form
- c•••••••••.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
- $68.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026