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
C•• W••••• M•••••••••
Legal name C••••••• H••••••••• A•• J•••• W••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 21, 2012 · 34 filings
SEC status approved since Jul 28, 2010
RAUM
$600M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$600M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$600M as of Mar 24, 2026
Mar 21, 2012$145M then
HNW client RAUM$568M as of Mar 24, 2026
Mar 20, 2018$236M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Mar 21, 20120 then
Employees (5.A)6 as of Mar 24, 2026
Mar 8, 20135 then
Private funds: no history
RAUM +11% over the last fiscal year+9.4% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $862,372derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $94.0M, 18 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$568M95%
- Individuals$32.4M5.4%
- Individual clients
- 185reported
- HNW clients
- 124reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 696reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $94.0M for 18 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=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C•••• C•••••• | The Woodlands, Tx | Aug 20, 2010 | 31 y | 2 |
| H••••• A• H••••••••Certified Financial Planner | The Woodlands, Tx | Jun 7, 2022 | 18 y | 1 |
| M•••••• L• C•••• | The Woodlands, Tx | May 13, 2025 | 11 y | 2 |
| M•••••• W••• S•••• | The Woodlands, Tx | Jul 31, 2025 | 10 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
- S•••• M•••••• H••••••••• to 7••••••••• L••Nov 27, 2024 · RIA to a state-registered adviser
Joined, latest
- M•••••• L• C•••• from B••••••••• S•••••••• W•••••• L••May 13, 2025 · RIA to RIA
- H••••• A• H•••••••• from L•• F•••••••• L••Jun 7, 2022 · Other
- S•••• M•••••• H••••••••• from L•• F•••••••• L••Aug 20, 2010 · Other
- J•••• C•••• C•••••• from L•• F•••••••• L••Aug 20, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J••••• C•••• · Managing Directorcontrolsince 08/2010 · owns 25% to 50%
- B••••• E••••• E• · Ownersince 06/2021 · owns 10% to 25%
- S••••••••• J•••• E••••• · Chief Compliance Officersince 11/2018 · owns less than 5%
- T••••• P••••••• · Ownersince 06/2021 · owns 10% to 25%
- Y••••• C•••••• C• · Ownersince 04/2024 · owns 5% to 10%
- E••••••• D•••• · Ownersince 06/2021 · owns 25% to 50% of E•••••• E••••• P••••••••• L•
- E••••••• R•••• · Ownersince 06/2021 · owns 25% to 50% of E•••••• E••••• P••••••••• L•
- T••••• P••••••• · Trusteesince 06/2021 · owns 75% or more of C•••••• B• T•••• M•••••• T••••
Entity owners
- C•••••• B• T•••• M•••••• T•••• · Ownerdirect · owns 10% to 25%
- E•••••• E••••• P••••••••• L• · Ownerdirect · owns 5% to 10%
- T•• H•••• F••••• L•• · Ownerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 4 | 0 | 0 | ||
| San Antonio, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 681 to 696Sep 24, 2025 to Mar 24, 2026
- HNW clients · 107 to 124Sep 24, 2025 to Mar 24, 2026
- Individual clients · 179 to 185Sep 24, 2025 to Mar 24, 2026
- Assets in custody · $39.2M to $94.0MSep 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $540M to $600MSep 24, 2025 to Mar 24, 2026
- HNW RAUM · $496M to $568MSep 24, 2025 to Mar 24, 2026
- Individual RAUM · $44.8M to $32.4MSep 24, 2025 to Mar 24, 2026
- RAUM · $540M to $600MSep 24, 2025 to Mar 24, 2026
- Advisory employees · 4 to 5Jul 21, 2025 to Aug 6, 2025
- Employees · 5 to 6Jul 21, 2025 to Aug 6, 2025
- State-registered IARs · 3 to 4Jul 21, 2025 to Aug 6, 2025
- Advisory employees · 3 to 4May 2, 2025 to Jul 21, 2025
- Business name · C••••••• H••••••••• A•• J•••• W••••• M••••••••• L•• to C•• W••••• M•••••••••May 2, 2025 to Jul 21, 2025
- Employees · 4 to 5May 2, 2025 to Jul 21, 2025
- Financial planning clients · unset to May 2, 2025 to Jul 21, 2025
- State-registered IARs · 2 to 3May 2, 2025 to Jul 21, 2025
- Accounts · 675 to 681Dec 19, 2024 to Mar 11, 2025
- HNW clients · 110 to 107Dec 19, 2024 to Mar 11, 2025
- Individual clients · 185 to 179Dec 19, 2024 to Mar 11, 2025
- Assets in custody · $12.4M to $39.2MDec 19, 2024 to Mar 11, 2025
- Discretionary RAUM · $502M to $540MDec 19, 2024 to Mar 11, 2025
- HNW RAUM · $455M to $496MDec 19, 2024 to Mar 11, 2025
- Individual RAUM · $46.9M to $44.8MDec 19, 2024 to Mar 11, 2025
- RAUM · $502M to $540MDec 19, 2024 to Mar 11, 2025
- Advisory employees · 4 to 3May 22, 2024 to Nov 27, 2024
- Employees · 5 to 4May 22, 2024 to Nov 27, 2024
- State-registered IARs · 3 to 2May 22, 2024 to Nov 27, 2024
- Accounts · 656 to 675Mar 3, 2023 to Mar 4, 2024
- BD registered reps · 3 to 2Mar 3, 2023 to Mar 4, 2024
- HNW clients · 106 to 110Mar 3, 2023 to Mar 4, 2024
- Individual clients · 180 to 185Mar 3, 2023 to Mar 4, 2024
- Assets in custody · $29.5M to $12.4MMar 3, 2023 to Mar 4, 2024
- Discretionary RAUM · $459M to $502MMar 3, 2023 to Mar 4, 2024
- HNW RAUM · $403M to $455MMar 3, 2023 to Mar 4, 2024
- Individual RAUM · $55.5M to $46.9MMar 3, 2023 to Mar 4, 2024
- RAUM · $459M to $502MMar 3, 2023 to Mar 4, 2024
- Accounts · 632 to 656Jun 14, 2022 to Mar 2, 2023
- HNW clients · 90 to 106Jun 14, 2022 to Mar 2, 2023
- Individual clients · 196 to 180Jun 14, 2022 to Mar 2, 2023
- Assets in custody · $23.9M to $29.5MJun 14, 2022 to Mar 2, 2023
Signals
1 dated events
- S•••• M•••••• H••••••••• left C•• W••••• M••••••••• for 7••••••••• L•• (registered 2025-07-09)Nov 27, 2024 · Advisor changed firm · 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
- Principal office phone
- 281-298-2700reportedpublic record, Form ADV, Mar 24, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026