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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•• W••••• M••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Nov 11, 2011 · 29 filings
SEC status approved since Oct 22, 2010
RAUM
$569M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$569M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$569M as of Feb 17, 2026
Feb 28, 2012$139M then
HNW client RAUM$556M as of Feb 17, 2026
Feb 14, 2018$90.3M then
State-registered IARs (5.B.3)5 as of Feb 17, 2026
Feb 28, 20120 then
Employees (5.A)5 as of Feb 17, 2026
Feb 20, 20134 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 17, 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $923,376derivedRAUM 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
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$556M98%
- Individuals$12.6M2.2%
- Individual clients
- 38reported
- HNW clients
- 226reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 616reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• B•••••• T••••• | Allen, Tx | Dec 8, 2010 | 32 y | 3 |
| B•••••• G••• C•••• | Allen, Tx | Dec 8, 2010 | 31 y | 5 |
| D••••• E•••••••• A•••••Certified Financial Planner | Allen, Tx | Dec 8, 2010 | 30 y | 4 |
| K•••• J• A•••••Certified Financial Planner | Allen, Tx | Nov 16, 2016 | 12 y | 0 |
| E•••• K••• S•••••• | Allen, Tx | Dec 18, 2024 | 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 headcount0 left over 36 months
Left, latest
- S••••• W••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 19, 2022 · RIA to wirehouse
- G••••• M•••••• B•••••• to F••••• I•••••••••Jan 3, 2022 · RIA to RIA
- M•••••• J••• A••••••• to P••••••• C•••••• A••••••• C•••••••••Feb 23, 2021 · RIA to RIA
- S•••• K••••••• M••••••• to M••••• G••••• A••••••• I•••Jan 16, 2018 · Other
- M••••• M•••• S•••• to E••••••• W••••• A•••••••Apr 6, 2015 · Other
Joined, latest
- G••••• M•••••• B•••••• from F••••• I•••••••••Jul 14, 2021 · RIA to RIA
- M••••• M•••• S•••• from U•• F•••••••• S••••••• I•••Apr 28, 2014 · Other
- R••••• B•••••• T••••• from A••••••• S••••••••• G••••• I•••Dec 8, 2010 · Other
- B•••••• G••• C•••• from A••••••• S••••••••• G••••• I•••Dec 8, 2010 · Other
- D••••• E•••••••• A••••• from A••••••• S••••••••• G••••• I•••Dec 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• D•••••• E•••••••• · Managing Membercontrolsince 12/2010 · owns 25% to 50%
- C••••• B••••••• G••• · Managing Membercontrolsince 12/2010 · owns 25% to 50%
- T•••••• R•••••• B•••••• · Managing Member/Chief Compliance Officercontrolsince 12/2010 · owns 25% to 50%
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 | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Raleigh, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 564 to 616Feb 26, 2025 to Feb 17, 2026
- HNW clients · 199 to 226Feb 26, 2025 to Feb 17, 2026
- Individual clients · 48 to 38Feb 26, 2025 to Feb 17, 2026
- Discretionary RAUM · $460M to $569MFeb 26, 2025 to Feb 17, 2026
- HNW RAUM · $443M to $556MFeb 26, 2025 to Feb 17, 2026
- Individual RAUM · $18.3M to $12.6MFeb 26, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $901,453 to $0Feb 26, 2025 to Feb 17, 2026
- RAUM · $461M to $569MFeb 26, 2025 to Feb 17, 2026
- Accounts · 487 to 564Feb 28, 2024 to Feb 26, 2025
- Advisory employees · 4 to 5Feb 28, 2024 to Feb 26, 2025
- HNW clients · 181 to 199Feb 28, 2024 to Feb 26, 2025
- Individual clients · 47 to 48Feb 28, 2024 to Feb 26, 2025
- Employees · 4 to 5Feb 28, 2024 to Feb 26, 2025
- Financial planning clients · unset to Feb 28, 2024 to Feb 26, 2025
- State-registered IARs · 4 to 5Feb 28, 2024 to Feb 26, 2025
- Discretionary RAUM · $395M to $460MFeb 28, 2024 to Feb 26, 2025
- HNW RAUM · $377M to $443MFeb 28, 2024 to Feb 26, 2025
- Individual RAUM · $17.8M to $18.3MFeb 28, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $0 to $901,453Feb 28, 2024 to Feb 26, 2025
- RAUM · $395M to $461MFeb 28, 2024 to Feb 26, 2025
- Accounts · 445 to 487Jan 12, 2024 to Feb 28, 2024
- Advisory activities · 1 to 2Jan 12, 2024 to Feb 28, 2024
- HNW clients · 162 to 181Jan 12, 2024 to Feb 28, 2024
- Individual clients · 51 to 47Jan 12, 2024 to Feb 28, 2024
- Discretionary RAUM · $332M to $395MJan 12, 2024 to Feb 28, 2024
- HNW RAUM · $312M to $377MJan 12, 2024 to Feb 28, 2024
- Individual RAUM · $19.9M to $17.8MJan 12, 2024 to Feb 28, 2024
- RAUM · $332M to $395MJan 12, 2024 to Feb 28, 2024
- Accounts · 425 to 445Mar 1, 2022 to Feb 16, 2023
- HNW clients · 158 to 162Mar 1, 2022 to Feb 16, 2023
- Individual clients · 37 to 51Mar 1, 2022 to Feb 16, 2023
- Employees · 7 to 4Mar 1, 2022 to Feb 16, 2023
- Discretionary RAUM · $378M to $332MMar 1, 2022 to Feb 16, 2023
- HNW RAUM · $363M to $312MMar 1, 2022 to Feb 16, 2023
- Individual RAUM · $15.3M to $19.9MMar 1, 2022 to Feb 16, 2023
- RAUM · $378M to $332MMar 1, 2022 to Feb 16, 2023
- Accounts · 382 to 425Jun 29, 2021 to Mar 1, 2022
- Advisory employees · 5 to 4Jun 29, 2021 to Mar 1, 2022
- Individual clients · 36 to 37Jun 29, 2021 to Mar 1, 2022
- Employees · 6 to 7Jun 29, 2021 to Mar 1, 2022
Signals
2 dated events
- S••••• W••• left A•• W••••• M••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-06-21)May 19, 2022 · Advisor changed firm · fact
- G••••• M•••••• B•••••• left A•• W••••• M••••••••• L•• for F••••• I••••••••• (registered 2022-01-27)Jan 3, 2022 · 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
- 214-618-2022reportedpublic record, Form ADV, Feb 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026