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
R•• A•••••••
Legal name C•••••• F••••••••• L••
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 |
|---|---|---|---|---|
| C••••• N•• M••• | Houston, Tx | Nov 6, 2009 | 26 y | 2 |
| R•••••• M•••••• R••••Certified Financial Planner | Houston, Tx | Nov 19, 2012 | 37 y | 1 |
| L•••• E••• R•••••• | Houston, Tx | Dec 22, 2015 | 27 y | 3 |
| J•••• D••••• R••••••Certified Financial Planner, Chartered Financial Consultant | Houston, Tx | Jul 11, 2017 | 20 y | 4 |
| F•••• J••••• M••••••Certified Financial Planner | Houston, Tx | Nov 20, 2018 | 21 y | 5 |
| C•••• A••• S••••••Certified Financial Planner | Houston, Tx | Nov 20, 2018 | 36 y | 5 |
| J••••••• L•• P•••Certified Financial Planner | Houston, Tx | Sep 25, 2020 | 26 y | 3 |
| T••••• G••••• A•••• | Houston, Tx | May 4, 2021 | 15 y | 2 |
| C••••••••• B•••• | Houston, Tx | Jan 14, 2022 | 29 y | 5 |
| J••••••• E•••• M••••••Certified Financial Planner, Chartered Financial Analyst | Houston, Tx | Feb 23, 2023 | 14 y | 2 |
| S•••• D•••••• B••••••Certified Financial Planner | Houston, Tx | May 18, 2023 | 22 y | 5 |
| D••••• D• O••••Certified Financial Planner | Houston, Tx | Jul 10, 2025 | 11 y | 4 |
| D••••• P•••••• W••••• | Houston, Tx | Aug 26, 2025 | 12 y | 0 |
| A••• C••••••••Certified 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
- C••••••••• K••••••• L••••••••• to R•• W••••• A•••••••• L••Jul 28, 2023 · RIA to RIA
- D•••• B••••• L•••• to R•• W••••• A•••••••• L••Jul 20, 2023 · RIA to RIA
- J••• E••••• L•••• to R•• W••••• A•••••••• L••Jul 20, 2023 · RIA to RIA
- C•••• E••••• L••••• to R•• W••••• A•••••••• L••Oct 3, 2022 · RIA to RIA
- J••• N••••••• C••••••••• to M•••••• A•••••••• L••Jun 30, 2020 · RIA to a state-registered adviser
- N•••• A• H•••••• to B••••• M•••• D••••••••Jul 6, 2017 · Other
- M••• L•••• B••• to B•••••• F•••••••• S••••••• G••••Jun 27, 2016 · Other
- K••• M•••••• K••• to S••••••• A•••• M••••••••• L••Nov 11, 2009 · Other
Joined, latest
- A••• C•••••••• from A•••• W••••• M••••••••• L••Jul 15, 2026 · RIA to RIA
- D••••• D• O•••• from P•••• C•••••• F••••••••Jul 10, 2025 · RIA to RIA
- S•••• D•••••• B•••••• from T••••••••• W••••• A•••••••• L•••May 18, 2023 · Other
- J••••••• E•••• M•••••• from F•• C•••Feb 23, 2023 · RIA to RIA
- C••••••••• B•••• from H•••• W••••• G••••Jan 14, 2022 · RIA to RIA
- T••••• G••••• A•••• from M••••• C•• A•• A•••••••May 4, 2021 · RIA to RIA
- J••••••• L•• P••• from P•• O•• I••••••••• A••••••• I••Sep 25, 2020 · RIA to RIA
- D•••• B••••• L•••• from I••••••••• A••••••• N•••••• L••Jan 2, 2020 · RIA to RIA
- C••••••••• K••••••• L••••••••• from I••••••••• A••••••• N•••••• L••Jan 2, 2020 · RIA to RIA
- J••• E••••• L•••• from I••••••••• A••••••• N•••••• L••Jan 2, 2020 · RIA to RIA
- C•••• A••• S•••••• from L•• F•••••••• L••Nov 20, 2018 · RIA to RIA
- F•••• J••••• M•••••• from F••••••••• F•••••••• M••••••••• G••••• L••Nov 20, 2018 · RIA to RIA
- J••• N••••••• C••••••••• from H••••••• R••••••• A•• M••••••••• L••Apr 23, 2018 · Other
- J•••• D••••• R•••••• from J••• M••••• S••••••••• L••Jul 11, 2017 · Other
- L•••• E••• R•••••• from A•••••• W••••• S••••••••Dec 22, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•• W••••• A•••••••• L••Jul 20, 2023 · Round Rock, Tx
- 3 joined from I••••••••• A••••••• N•••••• L••Jan 2, 2020 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• M•••••• · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
- M•••• C•••••• N•• · Founder And Ceocontrolsince 11/2009 · owns less than 5%
- R••••••• J••••• D••••• · Senior Financial Advisorcontrolsince 02/2020 · owns less than 5%
- R••••••• L••••• E••• · Chief Investment Strategistcontrolsince 05/2016 · owns less than 5%
- R••••• R••••••• M•••••• · Director Of Financial Planningcontrolsince 05/2016 · owns less than 5%
Entity owners
- C•••••• F•••••••• H•••••• C••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• M•••real estaten
- R•• I•••••••• A•••••• L••real estatey
- R•• W••••• A•••••••• L••investment advisernRAUM $126M
Advisers that list R•• A••••••• 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, 2026F•••••• M•••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2020-11-03 and 2026-07-16peers: independent wealth managers, $1B to $5B (1,362)
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
- C••••••••• K••••••• L••••••••• left R•• A••••••• for R•• W••••• A•••••••• L•• (registered 2023-02-22)Jul 28, 2023 · Advisor changed firm · fact
- D•••• B••••• L•••• left R•• A••••••• for R•• W••••• A•••••••• L•• (registered 2023-03-13)Jul 20, 2023 · Advisor changed firm · fact
- J••• E••••• L•••• left R•• A••••••• for R•• W••••• A•••••••• L•• (registered 2023-02-15)Jul 20, 2023 · Advisor changed firm · fact
- 2 advisors left R•• A••••••• (Round Rock, TX) for R•• W••••• A•••••••• L•• within 8 daysJul 20, 2023 · Team lift-out · derived
- C•••• E••••• L••••• left R•• A••••••• for R•• W••••• A•••••••• L•• (registered 2022-06-26)Oct 3, 2022 · Advisor changed firm · fact
- R•• A••••••• reported RAUM $1.0B, up 29% from $788.3M (2021-02-17 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- D••••• James Ratliff (Senior Financial Advisor) appeared on Schedule A of R•• A•••••••Nov 3, 2020 · Control person joined · fact
- R•• A••••••• reported RAUM $759.6M, up 119% from $346.8M (2018-03-14 to 2019-02-22)Feb 22, 2019 · RAUM change · derived
- C•••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- riaadvisors.comreportedpublic record, Form ADV, Sep 18, 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