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
N•• D••••••••• W••••• M••••••••• L•••••
Latest filing Mar 31, 2026
First filing on the tape May 30, 2023 · 6 filings
SEC status approved since Jun 29, 2023
RAUM
$182M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.8M
derived; firm RAUM over IAPD count
Employees
3
2 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$182M as of Mar 31, 2026
Mar 8, 2024$130M then
HNW client RAUM$164M as of Mar 31, 2026
Mar 8, 2024$107M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 8, 20242 then
Employees (5.A)3 as of Mar 31, 2026
Mar 8, 20242 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $357,322derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $103M, 72 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$164M91%
- Individuals$17.2M9.5%
- Individual clients
- 39reported
- HNW clients
- 72reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 508reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 72 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• L•••• A•••••Certified Financial Planner | Allen, Tx | Jan 8, 2010 | 28 y | 2 |
| T•••••• N••••• F•••••••••Certified Financial Planner | Allen, Tx | Jan 4, 2013 | 19 y | 1 |
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
- T•••••• N••••• F••••••••• from J•• F•••••••• G••••• I•••Jan 4, 2013 · Other
- R•••••• L•••• A••••• from J•• F•••••••• G••••• I•••Jan 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• R••••••• L•••• · President And Chief Compliance Officercontrolsince 11/2009 · owns 75% or more
- F••••••••• T••••••• N••••• · Director Of Financial Planningcontrolsince 01/2013 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Allen, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 471 to 508Apr 29, 2025 to Mar 31, 2026
- HNW clients · 61 to 72Apr 29, 2025 to Mar 31, 2026
- Individual clients · 44 to 39Apr 29, 2025 to Mar 31, 2026
- Assets in custody · $79.3M to $103MApr 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $154M to $182MApr 29, 2025 to Mar 31, 2026
- HNW RAUM · $135M to $164MApr 29, 2025 to Mar 31, 2026
- Individual RAUM · $18.8M to $17.2MApr 29, 2025 to Mar 31, 2026
- RAUM · $154M to $182MApr 29, 2025 to Mar 31, 2026
- Accounts · 422 to 471Apr 15, 2024 to Apr 29, 2025
- HNW clients · 47 to 61Apr 15, 2024 to Apr 29, 2025
- Individual clients · 46 to 44Apr 15, 2024 to Apr 29, 2025
- Assets in custody · unset to 79280706.0Apr 15, 2024 to Apr 29, 2025
- Custody of client assets · false to trueApr 15, 2024 to Apr 29, 2025
- Employees · 2 to 3Apr 15, 2024 to Apr 29, 2025
- Financial planning clients · 101-250 to 101-250Apr 15, 2024 to Apr 29, 2025
- Discretionary RAUM · $130M to $154MApr 15, 2024 to Apr 29, 2025
- HNW RAUM · $107M to $135MApr 15, 2024 to Apr 29, 2025
- Individual RAUM · $22.9M to $18.8MApr 15, 2024 to Apr 29, 2025
- RAUM · $130M to $154MApr 15, 2024 to Apr 29, 2025
- Accounts · 413 to 422Jul 27, 2023 to Mar 8, 2024
- HNW clients · 46 to 47Jul 27, 2023 to Mar 8, 2024
- Individual clients · 45 to 46Jul 27, 2023 to Mar 8, 2024
- Financial planning clients · 51-100 to 101-250Jul 27, 2023 to Mar 8, 2024
- Discretionary RAUM · $115M to $130MJul 27, 2023 to Mar 8, 2024
- HNW RAUM · $93.6M to $107MJul 27, 2023 to Mar 8, 2024
- Individual RAUM · $20.9M to $22.9MJul 27, 2023 to Mar 8, 2024
- RAUM · $115M to $130MJul 27, 2023 to Mar 8, 2024
Signals
1 dated events
- N•• D••••••••• W••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)May 30, 2023 · First SEC registration · 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
- 972-972-8565reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3634756reportedpublic record, Form ADV, Sep 18, 2026
- Website
- NDWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-972-8565reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- ndwealth.com/contactreportedpublished 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
- $90.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026