DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Latest filing Mar 12, 2026
First filing on the tape Mar 22, 2012 · 19 filings
SEC status approved since Dec 1, 2009
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$126M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$130M as of Mar 12, 2026
Mar 22, 2012$190M then
HNW client RAUM$118M as of Mar 12, 2026
Feb 27, 2018$180M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Mar 22, 20120 then
Employees (5.A)2 as of Mar 12, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +2.0% over the last fiscal year-4.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.8MderivedHNW RAUM over HNW clients
- Average account
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$118M91%
- Individuals$8.1M6.2%
- Corporations and businesses$3.6M2.8%
- Individual clients
- 19reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• D•••••• | San Antonio, Fl | Oct 30, 2025 | 23 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• A••• · Chief Compliance Officercontrolsince 04/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 33 to 31Mar 14, 2025 to Mar 12, 2026
- Corporate clients · 3 to 1Mar 14, 2025 to Mar 12, 2026
- Discretionary RAUM · $128M to $130MMar 14, 2025 to Mar 12, 2026
- HNW RAUM · $113M to $118MMar 14, 2025 to Mar 12, 2026
- Individual RAUM · $8.1M to $8.1MMar 14, 2025 to Mar 12, 2026
- RAUM · $128M to $130MMar 14, 2025 to Mar 12, 2026
- Accounts · 38 to 33Mar 6, 2024 to Mar 14, 2025
- Corporate clients · 2 to 3Mar 6, 2024 to Mar 14, 2025
- HNW clients · 12 to 11Mar 6, 2024 to Mar 14, 2025
- Individual clients · 24 to 19Mar 6, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Mar 6, 2024 to Mar 14, 2025
- HQ city · unset to Mar 6, 2024 to Mar 14, 2025
- HQ state · unset to Mar 6, 2024 to Mar 14, 2025
- Discretionary RAUM · $148M to $128MMar 6, 2024 to Mar 14, 2025
- HNW RAUM · $163M to $113MMar 6, 2024 to Mar 14, 2025
- Individual RAUM · $8.8M to $8.1MMar 6, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $39.3M to $0Mar 6, 2024 to Mar 14, 2025
- RAUM · $187M to $128MMar 6, 2024 to Mar 14, 2025
- HNW clients · 14 to 12Mar 1, 2023 to Mar 6, 2024
- Individual clients · 22 to 24Mar 1, 2023 to Mar 6, 2024
- Discretionary RAUM · $150M to $148MMar 1, 2023 to Mar 6, 2024
- HNW RAUM · $121M to $163MMar 1, 2023 to Mar 6, 2024
- Individual RAUM · $6.5M to $8.8MMar 1, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $0 to $39.3MMar 1, 2023 to Mar 6, 2024
- RAUM · $150M to $187MMar 1, 2023 to Mar 6, 2024
- Accounts · 41 to 38Feb 9, 2022 to Mar 1, 2023
- HNW clients · 15 to 14Feb 9, 2022 to Mar 1, 2023
- Individual clients · 24 to 22Feb 9, 2022 to Mar 1, 2023
- Discretionary RAUM · $252M to $150MFeb 9, 2022 to Mar 1, 2023
- HNW RAUM · $227M to $121MFeb 9, 2022 to Mar 1, 2023
- Individual RAUM · $8.6M to $6.5MFeb 9, 2022 to Mar 1, 2023
- RAUM · $252M to $150MFeb 9, 2022 to Mar 1, 2023
- Corporate clients · 3 to 2Feb 17, 2021 to Feb 9, 2022
- Individual clients · 23 to 24Feb 17, 2021 to Feb 9, 2022
- Financial planning clients · unset to 0Feb 17, 2021 to Feb 9, 2022
- Discretionary RAUM · $197M to $252MFeb 17, 2021 to Feb 9, 2022
- HNW RAUM · $175M to $227MFeb 17, 2021 to Feb 9, 2022
- Individual RAUM · $8.0M to $8.6MFeb 17, 2021 to Feb 9, 2022
- RAUM · $197M to $252MFeb 17, 2021 to Feb 9, 2022
- Accounts · 35 to 41Oct 19, 2020 to Feb 17, 2021
Signals
1 dated events
- ••• LockedMar 1, 2023 · RAUM change · derived
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
- Principal office phone
- 669-237-2787reportedpublic record, Form ADV, Mar 12, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026