DFX Intelligence
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B••••••• A•••• M••••••••• L••
Independent wealth manager, based in B•••••••, Texas, reporting $365M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $365M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.4%
- Private clients
- 94% of RAUM, $345M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 3
Every filed figure, and the identifiersCRD 150407 · SEC 801-107451 · 28 filingsShowHide
CRD 150407SEC 801-107451Legal name B••••••• A•••• M••••••••• L•••••First filing on the tape Mar 6, 2012, latest Jun 26, 2026SEC status approved since Mar 18, 2016IAPD
RAUM
$365M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$345M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$365M as of Jun 26, 2026
Mar 6, 2012$54.2M then
HNW client RAUM$295M as of Jun 26, 2026
Feb 14, 2018$89.7M then
State-registered IARs (5.B.3)3 as of Jun 26, 2026
Mar 6, 20120 then
Employees (5.A)4 as of Jun 26, 2026
Mar 7, 20172 then
Private funds: no history
RAUM +4.4% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 26, 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
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $740,767derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%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 consultingreportedItem 5.G
- Custody
- $41.0M, 24 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$295M81%
- Individuals$49.8M14%
- Charitable organizations$9.4M2.6%
- Corporations and businesses$9.3M2.6%
- Pension and profit-sharing plans$1.9M0.5%
- Individual clients
- 130reported
- HNW clients
- 80reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 493reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.0M for 24 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• P••••• C•••• | B•••••••, Tx | Jun 16, 2009 | 26 y | 1 |
| M••••••• A•••••• M•••• | B•••••••, Tx | Nov 17, 2021 | 11 y | 1 |
| M•••• J••••• R••••••Certified Financial Planner, Chartered Financial Analyst | B•••••••, Tx | Jan 2, 2025 | 28 y | 1 |
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
none on the tape
Joined, latest
- M•••• J••••• R•••••• from C•• F••••••••Jan 2, 2025 · Other
- F•••••• P••••• C•••• from F•••••• C•••••• M••••••••• L••Jun 16, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• F••••••• P••••• · Managing Membercontrolsince 03/2009 · owns 50% to 75%
- O•••••••• J••••••• M•••••• · Membercontrolsince 03/2009 · owns 50% to 75%
- M••••• M•••••••• A•••••• · Chief Compliance Officersince 11/2023 · 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 |
|---|---|---|---|---|---|
| B•••••••, Tx · principal | 3 | 0 | 0 | ||
| Katy, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 448 to 493Mar 21, 2025 to Mar 5, 2026
- Corporate clients · 2 to 4Mar 21, 2025 to Mar 5, 2026
- HNW clients · 77 to 80Mar 21, 2025 to Mar 5, 2026
- Individual clients · 120 to 130Mar 21, 2025 to Mar 5, 2026
- Pension plan clients · 2 to 1Mar 21, 2025 to Mar 5, 2026
- Assets in custody · $33.3M to $41.0MMar 21, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 11-25Mar 21, 2025 to Mar 5, 2026
- Discretionary RAUM · $350M to $365MMar 21, 2025 to Mar 5, 2026
- HNW RAUM · $253M to $295MMar 21, 2025 to Mar 5, 2026
- Individual RAUM · $42.1M to $49.8MMar 21, 2025 to Mar 5, 2026
- Pension RAUM · $38.0M to $1.9MMar 21, 2025 to Mar 5, 2026
- RAUM · $350M to $365MMar 21, 2025 to Mar 5, 2026
- Accounts · 446 to 448Sep 17, 2024 to Mar 21, 2025
- Advisory employees · 2 to 3Sep 17, 2024 to Mar 21, 2025
- Advisory activities · 3 to 4Sep 17, 2024 to Mar 21, 2025
- Corporate clients · 1 to 2Sep 17, 2024 to Mar 21, 2025
- HNW clients · 69 to 77Sep 17, 2024 to Mar 21, 2025
- Individual clients · 131 to 120Sep 17, 2024 to Mar 21, 2025
- Assets in custody · $25.2M to $33.3MSep 17, 2024 to Mar 21, 2025
- Employees · 3 to 4Sep 17, 2024 to Mar 21, 2025
- Financial planning clients · unset to 0Sep 17, 2024 to Mar 21, 2025
- State-registered IARs · 2 to 3Sep 17, 2024 to Mar 21, 2025
- Other offices · 2 to 3Sep 17, 2024 to Mar 21, 2025
- Discretionary RAUM · $308M to $350MSep 17, 2024 to Mar 21, 2025
- HNW RAUM · $218M to $253MSep 17, 2024 to Mar 21, 2025
- Individual RAUM · $45.5M to $42.1MSep 17, 2024 to Mar 21, 2025
- Pension RAUM · $35.9M to $38.0MSep 17, 2024 to Mar 21, 2025
- RAUM · $308M to $350MSep 17, 2024 to Mar 21, 2025
- Other offices · 1 to 2Feb 22, 2024 to Jun 12, 2024
- Accounts · 437 to 446Nov 29, 2023 to Feb 22, 2024
- Individual clients · 127 to 131Nov 29, 2023 to Feb 22, 2024
- Assets in custody · $21.9M to $25.2MNov 29, 2023 to Feb 22, 2024
- Discretionary RAUM · $262M to $308MNov 29, 2023 to Feb 22, 2024
- HNW RAUM · $187M to $218MNov 29, 2023 to Feb 22, 2024
- Individual RAUM · $35.5M to $45.5MNov 29, 2023 to Feb 22, 2024
- Pension RAUM · $31.2M to $35.9MNov 29, 2023 to Feb 22, 2024
- RAUM · $262M to $308MNov 29, 2023 to Feb 22, 2024
- Accounts · 418 to 437Mar 7, 2022 to Feb 17, 2023
- Individual clients · 124 to 127Mar 7, 2022 to Feb 17, 2023
- Assets in custody · $22.2M to $21.9MMar 7, 2022 to Feb 17, 2023
Signals
1 dated events
- ••• LockedMar 14, 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.
How to reach
public business contact points only, each with its source
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 26, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026