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
M•••••• G•••• A•••• M••••••••• I•••
Latest filing Sep 3, 2026
First filing on the tape Feb 6, 2012 · 36 filings
SEC status approved since Jul 14, 2010
RAUM
$1.1B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
96%
$1.0B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.1B as of May 20, 2026
Feb 6, 2012$108M then
HNW client RAUM$862M as of May 20, 2026
Mar 29, 2018$292M then
State-registered IARs (5.B.3)7 as of May 20, 2026
Feb 6, 20120 then
Employees (5.A)9 as of May 20, 2026
Mar 25, 20138 then
Private funds: no history
RAUM +8.7% over the last fiscal year+12% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Sep 3, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 679derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $774,773derivedHNW RAUM over HNW clients
- Average account
- $226,917derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +560%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $1.0BreportedItem 5.I
- Custody
- $9.0M, 9 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$862M80%
- Individuals$176M16%
- Charitable organizations$23.5M2.2%
- Corporations and businesses$14.8M1.4%
- Pension and profit-sharing plans$7.6M0.7%
- Individual clients
- 3,642reported
- HNW clients
- 1,112reported
- Pension plan clients
- 2reported
- Charitable clients
- 10reported
- Accounts
- 4,773reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $9.0M for 9 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• D••• M•••••• | Dallas, Tx | Aug 6, 2010 | 40 y | 2 |
| A••••• J••• O•••• | Dallas, Tx | Dec 1, 2010 | 30 y | 0 |
| A•••••••• G•••••• T••••• | Dallas, Tx | Oct 25, 2011 | 31 y | 1 |
| S•••••• M• N••••• | Dallas, Tx | Feb 22, 2018 | 19 y | 0 |
| H••••••• K•••• S•••• | Dallas, Tx | May 10, 2021 | 10 y | 0 |
| J•••• C•••• | Dallas, Tx | May 6, 2022 | 11 y | 0 |
| P•••••• S•••• L••• | Dallas, Tx | Jun 9, 2022 | 13 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 headcount1 left over 36 months
Left, latest
- V•••••• V••••• A•••• to S•••••••• A•••••••• L••Mar 7, 2025 · RIA to affiliated broker-dealer or bank
- E••• A••• E•••• to R••••••••• P••••••• O• A••••••Mar 18, 2022 · RIA to RIA
- D•••••••• J•••• H•••••••• to D•• C•••••• M••••••••• L•••Jun 28, 2016 · Other
- P•••••• C••• T••••••• to W•••• F•••• A•••••••Aug 22, 2011 · Other
Joined, latest
- E••• A••• E•••• from U••• I••••••••• S••••••• C••••••Jun 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••••••• G•••••• T••••• from E•• I••••••••• A•••••• C•••••••••Oct 25, 2011 · Other
- V•••••• V••••• A•••• from E•••••••• A•••••••• L••May 11, 2011 · Other
- S•••••• D••• M•••••• from W•••• F•••• A•••••••Aug 6, 2010 · Other
- D•••••••• J•••• H•••••••• from W•••• F•••• A•••••••Aug 5, 2010 · Other
- P•••••• C••• T••••••• from W•••• F•••• A•••••••Aug 3, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• S••••••• D••• · Presidentcontrolsince 06/2010 · owns less than 5%
- T•••••• A••••••••• G•••••• · Presidentcontrolsince 02/2026 · owns less than 5%
- M••••••• S••••••• D••• · Ownercontrolsince 07/2022 · owns 75% or more of M•••••• G•••• W••••• M••••••••• L••
- S••••••• I•••••• L•• · Chief Compliance Officersince 06/2014 · owns less than 5%
- W••••••• A•••••• S• · Chief Compliance Officersince 05/2026 · owns less than 5%
Entity owners
- M•••••• G•••• W••••• · Ownerdirect · owns 75% or more
- M•••••• G•••• W••••• M••••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- unusually high clients per a••••••Static outlier · filing Sep 3, 2026private clients per advisor of 679.1 against a peer median of 64.5 (1151 comparable advisers, 99.0th percentile, 15.0 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 99% percentile
- control person changedChange between filings · filing Sep 3, 2026T•••••• A••••••••• G•••••• (PRESIDENT) appeared on Schedule A between the filings of 2024-03-28 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
- client count surgeChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 720.0 to 4,754.0 (+560.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +5.0% (1132 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 100% percentile
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 2,050.0 to 4,773.0 (+133.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +6.0% (1206 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 97% percentile
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 30.0% to 80.0% between the annual amendments of 2025-03-26 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0May 20, 2026 to Sep 3, 2026
- Related adviser · false to unsetMay 20, 2026 to Sep 3, 2026
- Related bank · false to unsetMay 20, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetMay 20, 2026 to Sep 3, 2026
- Related insurance company · false to unsetMay 20, 2026 to Sep 3, 2026
- Succession · false to unsetMay 20, 2026 to Sep 3, 2026
- Accounts · 2,050 to 4,773Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 8 to 5Mar 26, 2025 to Mar 27, 2026
- Charity clients · 12 to 10Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 6 to 7Mar 26, 2025 to Mar 27, 2026
- HNW clients · 30 to 1,112Mar 26, 2025 to Mar 27, 2026
- Individual clients · 690 to 3,642Mar 26, 2025 to Mar 27, 2026
- Pension plan clients · 5 to 2Mar 26, 2025 to Mar 27, 2026
- Assets in custody · unset to 8988645.0Mar 26, 2025 to Mar 27, 2026
- Custody of client assets · false to trueMar 26, 2025 to Mar 27, 2026
- Employees · 10 to 9Mar 26, 2025 to Mar 27, 2026
- State-registered IARs · 8 to 7Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $916M to $1.0BMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $303M to $862MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $648M to $176MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $80.9M to $82.4MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $11.1M to $7.6MMar 26, 2025 to Mar 27, 2026
- RAUM · $997M to $1.1BMar 26, 2025 to Mar 27, 2026
- Accounts · 2,001 to 2,050Jun 26, 2024 to Mar 26, 2025
- Corporate clients · 5 to 6Jun 26, 2024 to Mar 26, 2025
- HNW clients · 22 to 30Jun 26, 2024 to Mar 26, 2025
- Individual clients · 674 to 690Jun 26, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Jun 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $779M to $916MJun 26, 2024 to Mar 26, 2025
- HNW RAUM · $222M to $303MJun 26, 2024 to Mar 26, 2025
- Individual RAUM · $571M to $648MJun 26, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $58.7M to $80.9MJun 26, 2024 to Mar 26, 2025
- Pension RAUM · $10.4M to $11.1MJun 26, 2024 to Mar 26, 2025
- RAUM · $838M to $997MJun 26, 2024 to Mar 26, 2025
- Accounts · 2,061 to 2,001Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 9 to 8Mar 30, 2023 to Mar 28, 2024
- Charity clients · 10 to 12Mar 30, 2023 to Mar 28, 2024
- Corporate clients · 3 to 5Mar 30, 2023 to Mar 28, 2024
- HNW clients · 20 to 22Mar 30, 2023 to Mar 28, 2024
- Individual clients · 680 to 674Mar 30, 2023 to Mar 28, 2024
Signals
2 dated events
- V•••••• V••••• A•••• left M•••••• G•••• A•••• M••••••••• I••• for S•••••••• A•••••••• L•• (registered 2025-04-03)Mar 7, 2025 · a•••••• firm change · fact
- E••• A••• E•••• left M•••••• G•••• A•••• M••••••••• I••• for R••••••••• P••••••• O• A•••••• (registered 2024-01-29)Mar 18, 2022 · a•••••• firm change · 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
- 214-720-4400reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-888-3241reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-888-3243reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- NETWORTHMEDIA.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-720-4400reportedpublic record, Form ADV, Sep 3, 2026
- Contact form
- themcgowangroup.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- themcgowangroup.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026