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.
SEC-registered adviser
Integrated Wealth Strategies, LLC
Latest filing Mar 31, 2026
First filing on the tape May 3, 2019 · 21 filings
SEC status approved since Jun 3, 2019
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.8M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$152M as of Mar 31, 2026
Mar 23, 2020$162M then
HNW client RAUM$96.6M as of Mar 31, 2026
Mar 23, 2020$134M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 23, 20205 then
Employees (5.A)7 as of Mar 31, 2026
Mar 23, 20205 then
Private funds: no history
RAUM +8.0% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $277,827derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$96.6M64%
- Individuals$55.1M36%
- Charitable organizations$74,7690.0%
- Pension and profit-sharing plans$2810.0%
- Individual clients
- 203reported
- HNW clients
- 45reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 546reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| Daniel Clayton Caswell | Austin, Tx | Aug 30, 2013 | 24 y | 1 |
| Austin T Caswell | Austin, Tx | Oct 21, 2016 | 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 headcount0 left over 36 months
Left, latest
- Anita Lynne Wiggins to Rfg Advisory, LLCMar 21, 2023 · RIA to RIA
- Richard Aaron Lewins to Rfg Advisory, LLCMar 21, 2023 · RIA to RIA
- Kira Leigh Scott to Columbia Pacific Wealth ManagementAug 8, 2018 · RIA to RIA
- Eric Charles Boyce to Boyce & Associates Wealth Consulting, Inc.Jun 9, 2017 · RIA to RIA
Joined, latest
- Kira Leigh Scott from Dimensional Fund Advisors LPApr 15, 2017 · Other
- Eric Charles Boyce from Mcdonald Capital ManagementJul 28, 2016 · Other
- Daniel Clayton Caswell from Eagle Strategies LLCAug 30, 2013 · Other
- Anita Lynne Wiggins from Brookstone Capital Management LLCNov 1, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Rfg Advisory, LLCMar 21, 2023 · Austin, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Clayton Daniel Caswell · Managing Membercontrolsince 08/2013 · owns 50% to 75%
- T Austin Caswell · Chief Compliance Officersince 04/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 524 to 546Mar 31, 2025 to Mar 31, 2026
- HNW clients · 48 to 45Mar 31, 2025 to Mar 31, 2026
- Individual clients · 198 to 203Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $140M to $152MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $93.5M to $96.6MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $46.9M to $55.1MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $280 to $281Mar 31, 2025 to Mar 31, 2026
- RAUM · $140M to $152MMar 31, 2025 to Mar 31, 2026
- Accounts · 497 to 524Mar 13, 2024 to Mar 31, 2025
- Charity clients · unset to 2.0Mar 13, 2024 to Mar 31, 2025
- HNW clients · 41 to 48Mar 13, 2024 to Mar 31, 2025
- Individual clients · 184 to 198Mar 13, 2024 to Mar 31, 2025
- Pension plan clients · unset to 2.0Mar 13, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $104M to $140MMar 13, 2024 to Mar 31, 2025
- HNW RAUM · $66.9M to $93.5MMar 13, 2024 to Mar 31, 2025
- Individual RAUM · $35.4M to $46.9MMar 13, 2024 to Mar 31, 2025
- Pension RAUM · $426 to $280Mar 13, 2024 to Mar 31, 2025
- RAUM · $104M to $140MMar 13, 2024 to Mar 31, 2025
- Accounts · 424 to 497Mar 28, 2023 to Mar 13, 2024
- HNW clients · 43 to 41Mar 28, 2023 to Mar 13, 2024
- Individual clients · 159 to 184Mar 28, 2023 to Mar 13, 2024
- Employees · 5 to 7Mar 28, 2023 to Mar 13, 2024
- State-registered IARs · 3 to 2Mar 28, 2023 to Mar 13, 2024
- Discretionary RAUM · $90.7M to $104MMar 28, 2023 to Mar 13, 2024
- HNW RAUM · $61.2M to $66.9MMar 28, 2023 to Mar 13, 2024
- Individual RAUM · $24.9M to $35.4MMar 28, 2023 to Mar 13, 2024
- Pension RAUM · $3.9M to $426Mar 28, 2023 to Mar 13, 2024
- RAUM · $90.7M to $104MMar 28, 2023 to Mar 13, 2024
- Accounts · 324 to 424Mar 30, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Mar 30, 2022 to Mar 28, 2023
- Advisory activities · 4 to 3Mar 30, 2022 to Mar 28, 2023
- Charity clients · 0.0 to unsetMar 30, 2022 to Mar 28, 2023
- HNW clients · 41 to 43Mar 30, 2022 to Mar 28, 2023
- Individual clients · 109 to 159Mar 30, 2022 to Mar 28, 2023
- Employees · 2 to 5Mar 30, 2022 to Mar 28, 2023
- State-registered IARs · 2 to 3Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $119M to $90.7MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $93.4M to $61.2MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $21.4M to $24.9MMar 30, 2022 to Mar 28, 2023
Signals
5 dated events
- Anita Lynne Wiggins left Integrated Wealth Strategies, Llc for Rfg Advisory, Llc (registered 2021-11-01)Mar 21, 2023 · Advisor changed firm · fact
- Richard Aaron Lewins left Integrated Wealth Strategies, Llc for Rfg Advisory, Llc (registered 2021-11-02)Mar 21, 2023 · Advisor changed firm · fact
- 2 advisors left Integrated Wealth Strategies, LLC (Austin, TX) for Rfg Advisory, LLC on the same dayMar 21, 2023 · Team lift-out · derived
- Lynne Anita Wiggins (Managing Member) no longer on Schedule A of Integrated Wealth Strategies, Llc (listed 2021-08-25, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Integrated Wealth Strategies, Llc filed its initial SEC registration (Form ADV)May 3, 2019 · 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
- 512-291-6391reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-291-6408reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/iwsaustinreportedpublic record, Form ADV, Sep 17, 2026
- Website
- integratedwealthstrategies.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 512-291-6391reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- integratedwealthstrategies.com/our-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
- $75.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026