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.
SEC-registered adviser
Ria Advisors
Legal name Clarity Financial, LLC
Latest filing Jul 16, 2026
First filing on the tape Mar 22, 2013 · 72 filings
SEC status approved since Apr 16, 2013
RAUM
$1.8B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$1.8B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
17
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
72 filings and snapshots on the tape
RAUM$1.8B as of Jul 16, 2026
Jan 30, 2014$175M then
HNW client RAUM$1.4B as of Jul 16, 2026
Mar 14, 2018$156M then
State-registered IARs (5.B.3)12 as of Jul 16, 2026
Jan 30, 20142 then
Employees (5.A)17 as of Jul 16, 2026
Jan 30, 20144 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 9 to 12
Practice profile
derived from the filing of Jul 16, 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
- 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
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $463,737derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 7.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $1.2B, 1,323 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$1.4B77%
- Individuals$369M20%
- Other investment advisers$45.8M2.5%
- Pension and profit-sharing plans$11.6M0.6%
- Individual clients
- 801reported
- HNW clients
- 434reported
- Pension plan clients
- 18reported
- Charitable clients
- 0reported
- Accounts
- 3,969reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 1,323 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.02 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Connie Nmn Mack | Houston, Tx | Nov 6, 2009 | 26 y | 2 |
| Richard Michael RossoCertified Financial Planner | Houston, Tx | Nov 19, 2012 | 37 y | 1 |
| Lance Eric Roberts | Houston, Tx | Dec 22, 2015 | 27 y | 3 |
| James Daniel RatliffCertified Financial Planner, Chartered Financial Consultant | Houston, Tx | Jul 11, 2017 | 20 y | 4 |
| Frank Joseph MarroneCertified Financial Planner | Houston, Tx | Nov 20, 2018 | 21 y | 5 |
| Craig Alan SeverinCertified Financial Planner | Houston, Tx | Nov 20, 2018 | 36 y | 5 |
| Jonathan Lee PennCertified Financial Planner | Houston, Tx | Sep 25, 2020 | 26 y | 3 |
| Thomas George Allen | Houston, Tx | May 4, 2021 | 15 y | 2 |
| Christopher Behan | Houston, Tx | Jan 14, 2022 | 29 y | 5 |
| Jonathan Earle MccartyCertified Financial Planner, Chartered Financial Analyst | Houston, Tx | Feb 23, 2023 | 14 y | 2 |
| Sarah Darlene BuengerCertified Financial Planner | Houston, Tx | May 18, 2023 | 22 y | 5 |
| Devoda D OwensCertified Financial Planner | Houston, Tx | Jul 10, 2025 | 11 y | 4 |
| Daniel Patrick Whitty | Houston, Tx | Aug 26, 2025 | 12 y | 0 |
| Adam CervantesCertified Financial Planner | Houston, Tx | Jul 15, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Christopher Kingsley Larochelle to Ria Wealth Advisors, LLCJul 28, 2023 · RIA to RIA
- Derek Brandt Levee to Ria Wealth Advisors, LLCJul 20, 2023 · RIA to RIA
- John Edward Levee to Ria Wealth Advisors, LLCJul 20, 2023 · RIA to RIA
- Chris Edward Liebum to Ria Wealth Advisors, LLCOct 3, 2022 · RIA to RIA
- John Nicholas Coumarianos to Mindful Advisory, LLCJun 30, 2020 · RIA to a state-registered adviser
- Nancy A Hetrick to Better Money DecisionsJul 6, 2017 · Other
- Mark Layne Blom to Benefit Financial Services GroupJun 27, 2016 · Other
- Kyle Michael Koch to Shamrock Asset Management LLCNov 11, 2009 · Other
Joined, latest
- Adam Cervantes from Avior Wealth Management, LLCJul 15, 2026 · RIA to RIA
- Devoda D Owens from Prime Capital FinancialJul 10, 2025 · RIA to RIA
- Sarah Darlene Buenger from Traditions Wealth Advisors, LLC.May 18, 2023 · Other
- Jonathan Earle Mccarty from Fca CorpFeb 23, 2023 · RIA to RIA
- Christopher Behan from Haven Wealth GroupJan 14, 2022 · RIA to RIA
- Thomas George Allen from Mcmill Cpa And AdvisorsMay 4, 2021 · RIA to RIA
- Jonathan Lee Penn from Pin Oak Investment Advisors IncSep 25, 2020 · RIA to RIA
- Derek Brandt Levee from Integrated Advisors Network LLCJan 2, 2020 · RIA to RIA
- Christopher Kingsley Larochelle from Integrated Advisors Network LLCJan 2, 2020 · RIA to RIA
- John Edward Levee from Integrated Advisors Network LLCJan 2, 2020 · RIA to RIA
- Craig Alan Severin from LPL Financial LLCNov 20, 2018 · RIA to RIA
- Frank Joseph Marrone from Fieldstone Financial Management Group, LLCNov 20, 2018 · RIA to RIA
- John Nicholas Coumarianos from Hamilton Research And Management, LLCApr 23, 2018 · Other
- James Daniel Ratliff from J.P. Morgan Securities LLCJul 11, 2017 · Other
- Lance Eric Roberts from Avidian Wealth SolutionsDec 22, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ria Wealth Advisors, LLCJul 20, 2023 · Round Rock, Tx
- 3 joined from Integrated Advisors Network LLCJan 2, 2020 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michole Fields · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
- Nmn Connie Mack · Founder And Ceocontrolsince 11/2009 · owns less than 5%
- Daniel James Ratliff · Senior Financial Advisorcontrolsince 02/2020 · owns less than 5%
- Eric Lance Roberts · Chief Investment Strategistcontrolsince 05/2016 · owns less than 5%
- Michael Richard Rosso · Director Of Financial Planningcontrolsince 05/2016 · owns less than 5%
Entity owners
- Clarity Financial Holding Company, LLC · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Connie Mackreal estaten
- Ria Insurance Agency, LLCreal estatey
- Ria Wealth Advisors, LLCinvestment advisernRAUM $126M
Advisers that list Ria Advisors as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 14 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bethesda, MD1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 16, 2026FIELDS, MICHOLE (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-11-03 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Advisory employees · 16 to 17May 13, 2026 to Jul 16, 2026
- Employees · 16 to 17May 13, 2026 to Jul 16, 2026
- State-registered IARs · 11 to 12May 13, 2026 to Jul 16, 2026
- Accounts · 3,581 to 3,969Nov 25, 2025 to Mar 19, 2026
- Corporate clients · 1 to 0Nov 25, 2025 to Mar 19, 2026
- HNW clients · 364 to 434Nov 25, 2025 to Mar 19, 2026
- Individual clients · 806 to 801Nov 25, 2025 to Mar 19, 2026
- Pension plan clients · 21 to 18Nov 25, 2025 to Mar 19, 2026
- Assets in custody · unset to 1240451431.0Nov 25, 2025 to Mar 19, 2026
- Custody of client assets · false to trueNov 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.4B to $1.8BNov 25, 2025 to Mar 19, 2026
- HNW RAUM · $1.2B to $1.4BNov 25, 2025 to Mar 19, 2026
- Individual RAUM · $347M to $369MNov 25, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $92.8M to $76.2MNov 25, 2025 to Mar 19, 2026
- Pension RAUM · $11.6M to $11.6MNov 25, 2025 to Mar 19, 2026
- RAUM · $1.5B to $1.8BNov 25, 2025 to Mar 19, 2026
- Advisory employees · 15 to 16Jul 17, 2025 to Nov 25, 2025
- Employees · 15 to 16Jul 17, 2025 to Nov 25, 2025
- State-registered IARs · 10 to 11Jul 17, 2025 to Nov 25, 2025
- Advisory employees · 14 to 15May 5, 2025 to Jul 17, 2025
- Employees · 14 to 15May 5, 2025 to Jul 17, 2025
- Financial planning clients · 1-10 to 1-10May 5, 2025 to Jul 17, 2025
- State-registered IARs · 9 to 10May 5, 2025 to Jul 17, 2025
- Accounts · 3,166 to 3,581Jan 21, 2025 to Feb 6, 2025
- Corporate clients · 3 to 1Jan 21, 2025 to Feb 6, 2025
- HNW clients · 296 to 364Jan 21, 2025 to Feb 6, 2025
- Individual clients · 777 to 806Jan 21, 2025 to Feb 6, 2025
- Pension plan clients · 18 to 21Jan 21, 2025 to Feb 6, 2025
- Financial planning clients · 0 to 1-10Jan 21, 2025 to Feb 6, 2025
- Discretionary RAUM · $1.1B to $1.4BJan 21, 2025 to Feb 6, 2025
- HNW RAUM · $868M to $1.2BJan 21, 2025 to Feb 6, 2025
- Individual RAUM · $313M to $347MJan 21, 2025 to Feb 6, 2025
- Non-discretionary RAUM · $92.9M to $92.8MJan 21, 2025 to Feb 6, 2025
- Pension RAUM · $9.0M to $11.6MJan 21, 2025 to Feb 6, 2025
- RAUM · $1.2B to $1.5BJan 21, 2025 to Feb 6, 2025
- Advisory employees · 13 to 14Mar 26, 2024 to May 15, 2024
- Employees · 13 to 14Mar 26, 2024 to May 15, 2024
- State-registered IARs · 8 to 9Mar 26, 2024 to May 15, 2024
- Accounts · 3,066 to 3,166Sep 27, 2023 to Mar 26, 2024
- Charity clients · 1 to 0Sep 27, 2023 to Mar 26, 2024
Signals
9 dated events
- Christopher Kingsley Larochelle left Ria Advisors for Ria Wealth Advisors, Llc (registered 2023-02-22)Jul 28, 2023 · Advisor changed firm · fact
- Derek Brandt Levee left Ria Advisors for Ria Wealth Advisors, Llc (registered 2023-03-13)Jul 20, 2023 · Advisor changed firm · fact
- John Edward Levee left Ria Advisors for Ria Wealth Advisors, Llc (registered 2023-02-15)Jul 20, 2023 · Advisor changed firm · fact
- 2 advisors left RIA Advisors (Round Rock, TX) for RIA Wealth Advisors, LLC within 8 daysJul 20, 2023 · Team lift-out · derived
- Chris Edward Liebum left Ria Advisors for Ria Wealth Advisors, Llc (registered 2022-06-26)Oct 3, 2022 · Advisor changed firm · fact
- Ria Advisors reported RAUM $1.0B, up 29% from $788.3M (2021-02-17 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- Daniel James Ratliff (Senior Financial Advisor) appeared on Schedule A of Ria AdvisorsNov 3, 2020 · Control person joined · fact
- Ria Advisors reported RAUM $759.6M, up 119% from $346.8M (2018-03-14 to 2019-02-22)Feb 22, 2019 · RAUM change · derived
- Clarity Financial, Llc filed its initial SEC registration (Form ADV)Mar 22, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- RIA Advisors · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- riaadvisors.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 281-501-1791reportedpublic record, Form ADV, Jul 16, 2026
- Contact form
- riaadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- riaadvisors.com/teamreportedpublished 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026