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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Former SEC-registered adviser

O•••• W••••• P•••••••• I•••

Former SEC-registered adviserFort Worth, TexasCRD 152919SEC 801-71846IAPD
Latest filing Apr 24, 2023
First filing on the tape Nov 29, 2011 · 29 filings
RAUM
$621M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$600M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$621M as of Mar 30, 2023
Mar 31, 2012$134M then
HNW client RAUM$297M as of Mar 30, 2023
Mar 31, 2018$97.3M then
State-registered IARs (5.B.3)4 as of Mar 30, 2023
Mar 31, 20120 then
Employees (5.A)4 as of Mar 30, 2023
Mar 28, 20135 then
Private funds: no history
RAUM -15% over the last fiscal year+5.7% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Apr 24, 2023; every figure names its basis
RAUM per advisor
$155MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
161derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$959,005derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.9%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$304M49%
  • High-net-worth individuals$297M48%
  • Charitable organizations$10.9M1.7%
  • Corporations and businesses$5.5M0.9%
  • Pension and profit-sharing plans$4.9M0.8%
Individual clients
392reported
HNW clients
251reported
Pension plan clients
4reported
Charitable clients
4reported
Accounts
648reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
    • B•••••• T•••••• A•• · Chief Compliance Officer And Managing Directorcontrol
      since 02/2012 · owns 25% to 50%
    • D••••••• J•••• M••••••• · Managing Directorcontrol
      since 02/2012 · owns 25% to 50%
    • H••••••••• T•••••• S•••••• · Managing Directorcontrol
      since 02/2012 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Fort Worth, Tx · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Mar 30, 2023 to Apr 24, 2023
    • Accounts · 639 to 648
      Mar 31, 2022 to Mar 30, 2023
    • Advisory employees · 4 to 3
      Mar 31, 2022 to Mar 30, 2023
    • BD registered reps · 5 to 4
      Mar 31, 2022 to Mar 30, 2023
    • Charity clients · 2 to 4
      Mar 31, 2022 to Mar 30, 2023
    • Corporate clients · 2 to 1
      Mar 31, 2022 to Mar 30, 2023
    • HNW clients · 257 to 251
      Mar 31, 2022 to Mar 30, 2023
    • Individual clients · 374 to 392
      Mar 31, 2022 to Mar 30, 2023
    • Employees · 5 to 4
      Mar 31, 2022 to Mar 30, 2023
    • State-registered IARs · 5 to 4
      Mar 31, 2022 to Mar 30, 2023
    • Discretionary RAUM · $732M to $617M
      Mar 31, 2022 to Mar 30, 2023
    • HNW RAUM · $564M to $297M
      Mar 31, 2022 to Mar 30, 2023
    • Individual RAUM · $150M to $304M
      Mar 31, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · $0 to $4.9M
      Mar 31, 2022 to Mar 30, 2023
    • Pension RAUM · $5.6M to $4.9M
      Mar 31, 2022 to Mar 30, 2023
    • RAUM · $732M to $621M
      Mar 31, 2022 to Mar 30, 2023
    • Accounts · 584 to 639
      Mar 30, 2021 to Mar 31, 2022
    • Advisory employees · 3 to 4
      Mar 30, 2021 to Mar 31, 2022
    • BD registered reps · 4 to 5
      Mar 30, 2021 to Mar 31, 2022
    • Corporate clients · 0 to 2
      Mar 30, 2021 to Mar 31, 2022
    • HNW clients · 217 to 257
      Mar 30, 2021 to Mar 31, 2022
    • Individual clients · 365 to 374
      Mar 30, 2021 to Mar 31, 2022
    • Pension plan clients · 0 to 4
      Mar 30, 2021 to Mar 31, 2022
    • Employees · 4 to 5
      Mar 30, 2021 to Mar 31, 2022
    • State-registered IARs · 4 to 5
      Mar 30, 2021 to Mar 31, 2022
    • Discretionary RAUM · $617M to $732M
      Mar 30, 2021 to Mar 31, 2022
    • HNW RAUM · $258M to $564M
      Mar 30, 2021 to Mar 31, 2022
    • Individual RAUM · $349M to $150M
      Mar 30, 2021 to Mar 31, 2022
    • Pension RAUM · $0 to $5.6M
      Mar 30, 2021 to Mar 31, 2022
    • RAUM · $617M to $732M
      Mar 30, 2021 to Mar 31, 2022
    • Accounts · 530 to 584
      Jun 30, 2020 to Mar 30, 2021
    • HNW clients · 189 to 217
      Jun 30, 2020 to Mar 30, 2021
    • Individual clients · 339 to 365
      Jun 30, 2020 to Mar 30, 2021
    • Employees · 8 to 4
      Jun 30, 2020 to Mar 30, 2021
    • Discretionary RAUM · $526M to $617M
      Jun 30, 2020 to Mar 30, 2021
    • HNW RAUM · $403M to $258M
      Jun 30, 2020 to Mar 30, 2021
    • Individual RAUM · $110M to $349M
      Jun 30, 2020 to Mar 30, 2021
    • RAUM · $526M to $617M
      Jun 30, 2020 to Mar 30, 2021
    • Accounts · 1,545 to 530
      Mar 30, 2019 to Apr 30, 2020
    • Advisory activities · 1 to 2
      Mar 30, 2019 to Apr 30, 2020
    Signals
    5 dated events
    • T••••• S•••••• H•••••••• left O•••• W••••• P•••••••• I••• for C••••••• (registered 2023-04-26)
      Oct 27, 2023 · Advisor changed firm · fact
    • C••••• A• V•••••• left O•••• W••••• P•••••••• I••• for C••••••• (registered 2023-04-25)
      Oct 27, 2023 · Advisor changed firm · fact
    • J••• M••••••• D•••••• left O•••• W••••• P•••••••• I••• for C••••••• (registered 2023-04-25)
      Oct 27, 2023 · Advisor changed firm · fact
    • O•••• W••••• P•••••••• I•••'s advisors moved to C••••••• (Fort Worth, TX): 3 of 3 registered, on the same day
      Oct 27, 2023 · Firm absorbed (people side) · derived
    • O•••• W••••• P•••••••• I••• reported RAUM $381.8M, up 46% from $261.8M (2018-03-27 to 2018-03-31)
      Mar 31, 2018 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026