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••••••••• W••••• M••••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Sep 26, 2023 · 10 filings
SEC status approved since Oct 25, 2023
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$251M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$83.8M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$251M as of Apr 7, 2026
Mar 8, 2024$117M then
HNW client RAUM$212M as of Apr 7, 2026
Mar 8, 2024$75.0M then
State-registered IARs (5.B.3)3 as of Apr 7, 2026
Mar 8, 20242 then
Employees (5.A)5 as of Apr 7, 2026
Mar 8, 20245 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 7, 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
- RAUM per advisor
- $83.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $439,633derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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$212M84%
- Individuals$39.6M16%
- Corporations and businesses$113,6790.0%
- Individual clients
- 78reported
- HNW clients
- 91reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 572reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• P••• K•••••••Certified Financial Planner | Flower Mound, Tx | May 25, 2011 | 29 y | 1 |
| A••••• E•••••• D•••Certified Financial Planner | Flower Mound, Tx | May 27, 2011 | 29 y | 2 |
| J••• J••••••Certified Financial Planner, Chartered Financial Consultant | Flower Mound, Tx | Apr 5, 2024 | 30 y | 4 |
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
- J••• J•••••• from O••• F•••••••• S•••••••• L••Apr 5, 2024 · RIA to RIA
- A••••• E•••••• D••• from A•••••• A••••••• S•••••••May 27, 2011 · Other
- S••• P••• K••••••• from A•••••• A••••••• S•••••••May 25, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• A•••••• E•••••• · Managercontrolsince 03/2011 · owns 50% to 75%
- K•••••••• S•••• P••• · Manager/Chief Compliance Officercontrolsince 03/2011 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Flower Mound, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 537 to 572Mar 29, 2025 to Mar 30, 2026
- HNW clients · 46 to 91Mar 29, 2025 to Mar 30, 2026
- Individual clients · 79 to 78Mar 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $212M to $251MMar 29, 2025 to Mar 30, 2026
- HNW RAUM · $164M to $212MMar 29, 2025 to Mar 30, 2026
- Individual RAUM · $48.1M to $39.6MMar 29, 2025 to Mar 30, 2026
- RAUM · $212M to $251MMar 29, 2025 to Mar 30, 2026
- Accounts · 381 to 537Jul 31, 2024 to Mar 29, 2025
- Employees · 6 to 5Jul 31, 2024 to Mar 29, 2025
- Financial planning clients · 101-250 to 101-250Jul 31, 2024 to Mar 29, 2025
- Discretionary RAUM · $117M to $212MJul 31, 2024 to Mar 29, 2025
- HNW RAUM · $75.0M to $164MJul 31, 2024 to Mar 29, 2025
- Individual RAUM · $41.9M to $48.1MJul 31, 2024 to Mar 29, 2025
- RAUM · $117M to $212MJul 31, 2024 to Mar 29, 2025
- Advisory activities · 3 to 4Apr 12, 2024 to Jul 31, 2024
- Insurance-licensed employees · 1 to 0Apr 12, 2024 to Jul 31, 2024
- Advisory employees · 2 to 3Mar 8, 2024 to Apr 12, 2024
- Employees · 5 to 6Mar 8, 2024 to Apr 12, 2024
- Insurance-licensed employees · 0 to 1Mar 8, 2024 to Apr 12, 2024
- State-registered IARs · 2 to 3Mar 8, 2024 to Apr 12, 2024
- Accounts · 364 to 381Mar 1, 2024 to Mar 8, 2024
- HNW clients · 42 to 46Mar 1, 2024 to Mar 8, 2024
- Individual clients · 82 to 79Mar 1, 2024 to Mar 8, 2024
- Discretionary RAUM · $106M to $117MMar 1, 2024 to Mar 8, 2024
- HNW RAUM · $64.2M to $75.0MMar 1, 2024 to Mar 8, 2024
- Individual RAUM · $41.2M to $41.9MMar 1, 2024 to Mar 8, 2024
- RAUM · $106M to $117MMar 1, 2024 to Mar 8, 2024
- Employees · 4 to 5Feb 23, 2024 to Mar 1, 2024
- Other offices · 0 to 1Feb 23, 2024 to Mar 1, 2024
Signals
1 dated events
- R••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 26, 2023 · 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 email
- info@riverchasewealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 412-852-4433reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 972-471-9013reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/25041560reportedpublic record, Form ADV, Sep 18, 2026
- Website
- riverchasewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (972) 471-9013reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- riverchasewealth.com/contact-usreportedpublished by the firm, firm site, Sep 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
- $83.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026