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

S• H••••• F•••••••• G••••• L••

Independent wealth managerSan Antonio, TexasCRD 151899SEC 801-131466websiteIAPD
Latest filing Aug 18, 2026
First filing on the tape Oct 15, 2024 · 6 filings
SEC status approved since Nov 18, 2024
RAUM
$404M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$404M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$67.4M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$404M as of Aug 18, 2026
Mar 24, 2025$352M then
HNW client RAUM$378M as of Aug 18, 2026
Mar 24, 2025$303M then
State-registered IARs (5.B.3)6 as of Aug 18, 2026
Mar 24, 20256 then
Employees (5.A)7 as of Aug 18, 2026
Mar 24, 20258 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Aug 18, 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
$67.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$390,338derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$118M, 88 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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$378M94%
  • Individuals$26.2M6.5%
Individual clients
139reported
HNW clients
108reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,036reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$118M for 88 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
6 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••••• A•••••• H•••••Certified Financial PlannerSan Antonio, TxJan 15, 201024 y2
G••• S•••• H•••••San Antonio, TxAug 9, 201611 y1
M••••••• A•••• B••••Certified Financial PlannerSan Antonio, TxMar 30, 201813 y1
D••••• P• K•••Certified Financial PlannerSan Antonio, TxMay 31, 202310 y1
S••••• J•••• H•••••Certified Financial PlannerSan Antonio, TxSep 9, 202411 y1
G••••••• S•••••San Antonio, TxJan 13, 202610 y0
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• G•••• S•••• · Member And Chief Compliance Officercontrol
      since 10/2016 · owns 25% to 50%
    • H•••••• S••••••••• A•••••• · Membercontrol
      since 09/2009 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    San Antonio, Tx · principal610
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 889 to 1,036
      Jul 15, 2025 to Mar 18, 2026
    • Advisory employees · 5 to 6
      Jul 15, 2025 to Mar 18, 2026
    • Advisory activities · 5 to 4
      Jul 15, 2025 to Mar 18, 2026
    • HNW clients · 96 to 108
      Jul 15, 2025 to Mar 18, 2026
    • Individual clients · 144 to 139
      Jul 15, 2025 to Mar 18, 2026
    • Assets in custody · $113M to $118M
      Jul 15, 2025 to Mar 18, 2026
    • State-registered IARs · 5 to 6
      Jul 15, 2025 to Mar 18, 2026
    • Discretionary RAUM · $349M to $404M
      Jul 15, 2025 to Mar 18, 2026
    • HNW RAUM · $303M to $378M
      Jul 15, 2025 to Mar 18, 2026
    • Individual RAUM · $45.3M to $26.2M
      Jul 15, 2025 to Mar 18, 2026
    • Non-discretionary RAUM · $3.2M to $0
      Jul 15, 2025 to Mar 18, 2026
    • Pension RAUM · 3243420.0 to unset
      Jul 15, 2025 to Mar 18, 2026
    • RAUM · $352M to $404M
      Jul 15, 2025 to Mar 18, 2026
    • Advisory employees · 6 to 5
      Jun 3, 2025 to Jul 15, 2025
    • Employees · 8 to 7
      Jun 3, 2025 to Jul 15, 2025
    • Financial planning clients · 1-10 to 1-10
      Jun 3, 2025 to Jul 15, 2025
    • State-registered IARs · 6 to 5
      Jun 3, 2025 to Jul 15, 2025
    • Accounts · 763 to 889
      Oct 15, 2024 to Mar 24, 2025
    • Advisory employees · 7 to 6
      Oct 15, 2024 to Mar 24, 2025
    • HNW clients · 63 to 96
      Oct 15, 2024 to Mar 24, 2025
    • Individual clients · 125 to 144
      Oct 15, 2024 to Mar 24, 2025
    • Assets in custody · unset to 112747988.0
      Oct 15, 2024 to Mar 24, 2025
    • Custody of client assets · false to true
      Oct 15, 2024 to Mar 24, 2025
    • Employees · 7 to 8
      Oct 15, 2024 to Mar 24, 2025
    • Financial planning clients · 101-250 to 1-10
      Oct 15, 2024 to Mar 24, 2025
    • Discretionary RAUM · $219M to $349M
      Oct 15, 2024 to Mar 24, 2025
    • HNW RAUM · $174M to $303M
      Oct 15, 2024 to Mar 24, 2025
    • Individual RAUM · $44.4M to $45.3M
      Oct 15, 2024 to Mar 24, 2025
    • Non-discretionary RAUM · $0 to $3.2M
      Oct 15, 2024 to Mar 24, 2025
    • Pension RAUM · unset to 3243420.0
      Oct 15, 2024 to Mar 24, 2025
    • RAUM · $219M to $352M
      Oct 15, 2024 to Mar 24, 2025
    Signals
    4 dated events
    • S• H••••• F•••••••• G••••• L•• reported RAUM $351.9M, up 61% from $218.7M (2024-10-15 to 2025-03-24)
      Mar 24, 2025 · RAUM change · derived
    • S• H••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Oct 15, 2024 · First SEC registration · fact
    • 2 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (San Antonio, TX) for S• H••••• F•••••••• G••••• L•• within 8 days
      Oct 7, 2024 · Team lift-out · derived
    • P••• E••••• S•••••• left S• H••••• F•••••••• G••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2020-09-11)
      Nov 30, 2022 · Advisor changed firm · 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
    210-547-3451reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    210-547-3450reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/SHarrisFinancialreportedpublic record, Form ADV, Sep 18, 2026
    Website
    SH•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    210-547-3450reportedpublic record, Form ADV, Aug 18, 2026
    Contact form
    sharrisfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    sharrisfinancial.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
    $67.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026