DFX Intelligence
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SEC-registered adviser
W••••••••• W••••• M•••••••••
Legal name W••••••••• W••••• M••••••••• L••
Latest filing Jul 24, 2026
First filing on the tape Mar 2, 2021 · 17 filings
SEC status approved since Apr 1, 2021
RAUM
$266M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$266M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$266M as of Jul 24, 2026
Mar 21, 2022$153M then
HNW client RAUM$182M as of Jul 24, 2026
Mar 21, 2022$68.1M then
State-registered IARs (5.B.3)2 as of Jul 24, 2026
Mar 21, 20222 then
Employees (5.A)5 as of Jul 24, 2026
Mar 21, 20225 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Jul 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 137derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $132,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $77.5M, 352 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M68%
- Individuals$84.1M32%
- Individual clients
- 195reported
- HNW clients
- 78reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,011reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.5M for 352 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| S•••• D• W••••••••• | Dallas, Tx | Oct 6, 2009 | 17 y | 0 |
| E•••• Z••••• W••••••••• | Dallas, Tx | Feb 20, 2025 | 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
- J••••••• T••• M••••••• to T•• W••••• O•••••••••Oct 1, 2019 · RIA TO ST••• RIA
- J••••••• T••• M••••••• to S•••• W•••••May 6, 2016 · Other
Joined, latest
- J••••••• T••• M••••••• from F••••••• S••••••••• L••Jun 13, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• S••••• D• · Managing Member & Chief Compliance Officercontrolsince 04/2009 · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• I•••••••• A•••••••• L••real estaten
- A•••••• T•• A••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,936 to 2,011Sep 24, 2025 to Mar 23, 2026
- Advisory employees · 1 to 2Sep 24, 2025 to Mar 23, 2026
- HNW clients · 65 to 78Sep 24, 2025 to Mar 23, 2026
- Individual clients · 201 to 195Sep 24, 2025 to Mar 23, 2026
- Assets in custody · $131M to $77.5MSep 24, 2025 to Mar 23, 2026
- State-registered IARs · 1 to 2Sep 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $190M to $225MSep 24, 2025 to Mar 23, 2026
- HNW RAUM · $139M to $182MSep 24, 2025 to Mar 23, 2026
- Individual RAUM · $98.4M to $84.1MSep 24, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $46.7M to $40.8MSep 24, 2025 to Mar 23, 2026
- RAUM · $237M to $266MSep 24, 2025 to Mar 23, 2026
- Financial planning clients · 251-500 to 251-500Mar 31, 2025 to Jun 23, 2025
- Accounts · 2,167 to 1,936Jan 7, 2025 to Mar 31, 2025
- HNW clients · 58 to 65Jan 7, 2025 to Mar 31, 2025
- Individual clients · 212 to 201Jan 7, 2025 to Mar 31, 2025
- Assets in custody · $160M to $131MJan 7, 2025 to Mar 31, 2025
- Discretionary RAUM · $106M to $190MJan 7, 2025 to Mar 31, 2025
- HNW RAUM · $95.6M to $139MJan 7, 2025 to Mar 31, 2025
- Individual RAUM · $63.9M to $98.4MJan 7, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $54.0M to $46.7MJan 7, 2025 to Mar 31, 2025
- RAUM · $160M to $237MJan 7, 2025 to Mar 31, 2025
- Advisory employees · 2 to 1Sep 20, 2024 to Jan 7, 2025
- Employees · 6 to 5Sep 20, 2024 to Jan 7, 2025
- Insurance-licensed employees · 1 to 0Sep 20, 2024 to Jan 7, 2025
- State-registered IARs · 2 to 1Sep 20, 2024 to Jan 7, 2025
- Accounts · 1,449 to 2,167Sep 5, 2023 to Feb 29, 2024
- HNW clients · 42 to 58Sep 5, 2023 to Feb 29, 2024
- Individual clients · 211 to 212Sep 5, 2023 to Feb 29, 2024
- Assets in custody · unset to 159567130.0Sep 5, 2023 to Feb 29, 2024
- Custody of client assets · false to trueSep 5, 2023 to Feb 29, 2024
- Financial planning clients · 101-250 to 251-500Sep 5, 2023 to Feb 29, 2024
- Discretionary RAUM · $129M to $106MSep 5, 2023 to Feb 29, 2024
- HNW RAUM · $84.1M to $95.6MSep 5, 2023 to Feb 29, 2024
- Individual RAUM · $84.3M to $63.9MSep 5, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $39.3M to $54.0MSep 5, 2023 to Feb 29, 2024
- RAUM · $168M to $160MSep 5, 2023 to Feb 29, 2024
- Accounts · 1,744 to 1,449Mar 21, 2022 to Mar 22, 2023
- HNW clients · 32 to 42Mar 21, 2022 to Mar 22, 2023
- Individual clients · 188 to 211Mar 21, 2022 to Mar 22, 2023
- Employees · 5 to 6Mar 21, 2022 to Mar 22, 2023
Signals
2 dated events
- ••• LockedJan 7, 2025 · Advisor departure · fact
- ••• LockedMar 2, 2021 · 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
- 972-965-8261reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••••.comreportedpublic record, Form ADV, Jul 24, 2026
- Principal office phone
- (972) 965-8261reportedpublic record, Form ADV, Jul 24, 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026