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•••• E•••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Apr 1, 2024 · 7 filings
SEC status approved since Jun 13, 2024
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$98.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$197M as of Mar 13, 2026
Apr 15, 2025$150M then
HNW client RAUM$132M as of Mar 13, 2026
Apr 15, 2025$105M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Apr 15, 20252 then
Employees (5.A)2 as of Mar 13, 2026
Apr 15, 20252 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 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
- $98.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $486,207derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $43.0M, 75 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$132M67%
- Individuals$65.0M33%
- Individual clients
- 85reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 406reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.0M for 75 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| G••• R••• P•••••• | Weatherford, Tx | Jan 11, 2016 | 21 y | 4 |
| C•••••• M•••••• R••••• | Dallas, Tx | Jul 1, 2022 | 16 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
- G••• R••• P•••••• from I••••••••• P••••••••• I•••Sep 21, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• G•••• R••• · Ceo/Ccocontrolsince 05/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Weatherford, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Midland, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 360 to 406Jul 25, 2025 to Mar 13, 2026
- HNW clients · 34 to 57Jul 25, 2025 to Mar 13, 2026
- Individual clients · 73 to 85Jul 25, 2025 to Mar 13, 2026
- Assets in custody · $143M to $43.0MJul 25, 2025 to Mar 13, 2026
- Discretionary RAUM · $150M to $197MJul 25, 2025 to Mar 13, 2026
- HNW RAUM · $105M to $132MJul 25, 2025 to Mar 13, 2026
- Individual RAUM · $45.0M to $65.0MJul 25, 2025 to Mar 13, 2026
- RAUM · $150M to $197MJul 25, 2025 to Mar 13, 2026
- Assets in custody · unset to 143000000.0Apr 15, 2025 to Jul 25, 2025
- Custody of client assets · false to trueApr 15, 2025 to Jul 25, 2025
- Financial planning clients · unset to Apr 15, 2025 to Jul 25, 2025
- Accounts · 291 to 360Jun 12, 2024 to Apr 15, 2025
- HNW clients · 28 to 34Jun 12, 2024 to Apr 15, 2025
- Individual clients · 74 to 73Jun 12, 2024 to Apr 15, 2025
- Discretionary RAUM · $112M to $150MJun 12, 2024 to Apr 15, 2025
- HNW RAUM · $85.0M to $105MJun 12, 2024 to Apr 15, 2025
- Individual RAUM · $27.0M to $45.0MJun 12, 2024 to Apr 15, 2025
- RAUM · $112M to $150MJun 12, 2024 to Apr 15, 2025
- HQ city · MIDLAND to WEATHERFORDApr 17, 2024 to Jun 12, 2024
Signals
1 dated events
- R•••• E•••••••• I••• filed its initial SEC registration (Form ADV)Apr 1, 2024 · 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
- 214-481-1727reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 432-634-8673reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••E•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 432-634-8673reportedpublic record, Form ADV, Mar 13, 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
- $98.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026