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
G••••••••• S•••• C•••••• M••••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Jan 18, 2012 · 21 filings
SEC status approved since Jun 26, 2009
RAUM
$363M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$363M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$90.8M
derived; firm RAUM over IAPD count
Employees
4
4 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$363M as of Jan 30, 2026
Jan 18, 2012$308M then
HNW client RAUM$330M as of Jan 30, 2026
Feb 14, 2018$277M then
State-registered IARs (5.B.3)4 as of Jan 30, 2026
Jan 18, 20120 then
Employees (5.A)4 as of Jan 30, 2026
Mar 1, 20134 then
Private funds: no history
RAUM +14% over the last fiscal year+3.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 30, 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
- RAUM per advisor
- $90.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $793,368derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$330M91%
- Individuals$32.9M9.1%
- Individual clients
- 113reported
- HNW clients
- 75reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 458reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y••••• T•••• S•••• | Dallas, Tx | Nov 9, 2009 | 39 y | 2 |
| E••• J••• M•••• | Dallas, Tx | Nov 9, 2009 | 30 y | 1 |
| S••••• E•••••• G••••••••• | Dallas, Tx | Nov 9, 2009 | 26 y | 2 |
| K•••••• E•••••••• T••• | Dallas, Tx | Jan 19, 2010 | 28 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K•••••• E•••••••• T••• from R•••••• J•••• • A••••••••• I•••Jan 19, 2010 · Other
- E••• J••• M•••• from R•••••• J•••• • A••••••••• I•••Nov 9, 2009 · Other
- Y••••• T•••• S•••• from R•••••• J•••• • A••••••••• I•••Nov 9, 2009 · Other
- S••••• E•••••• G••••••••• from R•••••• J•••• • A••••••••• I•••Nov 9, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S•••••• E•••••• · Managing Membercontrolsince 05/2009 · owns 50% to 75%
- M••••• E•••• J••• · Chief Compliance Officercontrolsince 09/2009 · owns less than 5%
- S••••• Y•••••• T•••• · Managing Membercontrolsince 05/2009 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 444 to 458Jan 31, 2025 to Jan 30, 2026
- HNW clients · 63 to 75Jan 31, 2025 to Jan 30, 2026
- Individual clients · 117 to 113Jan 31, 2025 to Jan 30, 2026
- Discretionary RAUM · $319M to $363MJan 31, 2025 to Jan 30, 2026
- HNW RAUM · $280M to $330MJan 31, 2025 to Jan 30, 2026
- Individual RAUM · $39.3M to $32.9MJan 31, 2025 to Jan 30, 2026
- RAUM · $319M to $363MJan 31, 2025 to Jan 30, 2026
- Accounts · 436 to 444Jan 16, 2024 to Jan 31, 2025
- Individual clients · 113 to 117Jan 16, 2024 to Jan 31, 2025
- Financial planning clients · unset to Jan 16, 2024 to Jan 31, 2025
- Discretionary RAUM · $322M to $319MJan 16, 2024 to Jan 31, 2025
- HNW RAUM · $274M to $280MJan 16, 2024 to Jan 31, 2025
- Individual RAUM · $48.4M to $39.3MJan 16, 2024 to Jan 31, 2025
- RAUM · $322M to $319MJan 16, 2024 to Jan 31, 2025
- Accounts · 426 to 436Oct 27, 2023 to Jan 16, 2024
- HNW clients · 66 to 63Oct 27, 2023 to Jan 16, 2024
- Individual clients · 104 to 113Oct 27, 2023 to Jan 16, 2024
- Discretionary RAUM · $324M to $322MOct 27, 2023 to Jan 16, 2024
- HNW RAUM · $286M to $274MOct 27, 2023 to Jan 16, 2024
- Individual RAUM · $37.2M to $48.4MOct 27, 2023 to Jan 16, 2024
- RAUM · $324M to $322MOct 27, 2023 to Jan 16, 2024
- Accounts · 437 to 426Feb 11, 2022 to Feb 22, 2023
- HNW clients · 169 to 66Feb 11, 2022 to Feb 22, 2023
- Individual clients · 0 to 104Feb 11, 2022 to Feb 22, 2023
- Discretionary RAUM · $362M to $324MFeb 11, 2022 to Feb 22, 2023
- HNW RAUM · $362M to $286MFeb 11, 2022 to Feb 22, 2023
- Individual RAUM · $0 to $37.2MFeb 11, 2022 to Feb 22, 2023
- RAUM · $362M to $324MFeb 11, 2022 to Feb 22, 2023
- Accounts · 415 to 437Nov 16, 2021 to Feb 11, 2022
- HNW clients · 160 to 169Nov 16, 2021 to Feb 11, 2022
- Discretionary RAUM · $307M to $362MNov 16, 2021 to Feb 11, 2022
- HNW RAUM · $307M to $362MNov 16, 2021 to Feb 11, 2022
- RAUM · $307M to $362MNov 16, 2021 to Feb 11, 2022
- Accounts · 410 to 415Jun 8, 2020 to Feb 8, 2021
- HNW clients · 165 to 160Jun 8, 2020 to Feb 8, 2021
- Discretionary RAUM · $292M to $307MJun 8, 2020 to Feb 8, 2021
- HNW RAUM · $292M to $307MJun 8, 2020 to Feb 8, 2021
- RAUM · $292M to $307MJun 8, 2020 to Feb 8, 2021
- Accounts · 405 to 410Jan 31, 2019 to Mar 2, 2020
- HNW clients · 163 to 165Jan 31, 2019 to Mar 2, 2020
Signals
No event on the tape.
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
- 214-367-6170reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-367-6180reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-301-8849reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.g••••••••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (214) 367-6170reportedpublic record, Form ADV, Jan 30, 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
- $90.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026