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
P••••• A•••••••
Legal name P••••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 30, 2015 · 18 filings
SEC status approved since Feb 5, 2015
RAUM
$385M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$385M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$96.2M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$385M as of Mar 27, 2026
Mar 28, 2016$137M then
HNW client RAUM$384M as of Mar 27, 2026
Mar 30, 2018$185M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 28, 20162 then
Employees (5.A)6 as of Mar 27, 2026
Mar 28, 20162 then
Private funds1 as of Mar 30, 2022
Mar 31, 20171 then
RAUM -7.3% over the last fiscal year-2.6% a year over threeIARs 2 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 27, 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
- $96.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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$384M100%
- Individuals$900,9110.2%
- Individual clients
- 6reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 260reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• J•••• P•••••Certified Financial Planner | Dallas, Tx | Oct 1, 2015 | 19 y | 2 |
| N••••••• J••••• D•••• | Dallas, Tx | Jul 10, 2024 | 13 y | 0 |
| J••••• C•••••••• K•• G•••••••Chartered Financial Analyst | Dallas, Tx | Jul 10, 2024 | 12 y | 0 |
| S•••• A•••• U•••••Certified Financial Planner | Dallas, Tx | Feb 27, 2026 | 17 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••• C••••• to M••••• G••••• A••••••• I•••Aug 3, 2021 · RIA to RIA
Joined, latest
- S•••• A•••• U••••• from F•••• L••Feb 27, 2026 · RIA to RIA
- J••••• J•••• P••••• from A••••••••• L•••Oct 1, 2015 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• F••• I• L••no longer reported | Private Equity Fund | $1.4M | 12 | May 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• J•••••• J•••• · President/Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- S•••••• R•••••• D•••••• · Ceocontrolsince 12/2022 · owns less than 5%
- P•••• B••••••• K•••••• · Vc Of Board/Managersince 03/2011 · owns 10% to 25%
- P•••••• J•••••• J•••• · Shareholdersince 12/2022 · owns 50% to 75% of J• • K• P••••• F••••• I••••••••• L••
- P•••••• K••••••• L•• · Shareholdersince 12/2022 · owns 50% to 75% of J• • K• P••••• F••••• I••••••••• L••
- S•••••• R•••••• D•••••• · Shareholdersince 12/2022 · owns 25% to 50% of L•••• P••• C•••••• P••••••• I•••
Entity owners
- B••••••••• I••••••••• M••••••••• U•• I••• · Shareholderdirect · owns 75% or more
- J• • K• P••••• F••••• I••••••••• L•• · Shareholderdirect · owns 10% to 25%
- L•••• P••• C•••••• P••••••• I••• · Shareholderindirect · owns 75% or more of B••••••••• I••••••••• M••••••••• U•• I•••
Related persons
Schedule D 7.A
- B••••••••• I••••••••• M••••••••• I•••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 27, 2026HNW RAUM per HNW client of $8,720,985 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 4.3 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 271 to 260Mar 20, 2025 to Mar 27, 2026
- Advisory employees · 2 to 4Mar 20, 2025 to Mar 27, 2026
- HNW clients · 50 to 44Mar 20, 2025 to Mar 27, 2026
- Individual clients · unset to 6.0Mar 20, 2025 to Mar 27, 2026
- Employees · 4 to 6Mar 20, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 4Mar 20, 2025 to Mar 27, 2026
- Other offices · 0 to 1Mar 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $393M to $364MMar 20, 2025 to Mar 27, 2026
- HNW RAUM · $415M to $384MMar 20, 2025 to Mar 27, 2026
- Individual RAUM · unset to 900911.0Mar 20, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $22.0M to $21.1MMar 20, 2025 to Mar 27, 2026
- RAUM · $415M to $385MMar 20, 2025 to Mar 27, 2026
- Accounts · 249 to 271Mar 26, 2024 to Mar 20, 2025
- Advisory employees · 1 to 2Mar 26, 2024 to Mar 20, 2025
- HNW clients · 42 to 50Mar 26, 2024 to Mar 20, 2025
- Employees · 3 to 4Mar 26, 2024 to Mar 20, 2025
- Insurance-licensed employees · 0 to 1Mar 26, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 20, 2025
- State-registered IARs · 1 to 2Mar 26, 2024 to Mar 20, 2025
- Discretionary RAUM · $431M to $393MMar 26, 2024 to Mar 20, 2025
- HNW RAUM · $452M to $415MMar 26, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $21.0M to $22.0MMar 26, 2024 to Mar 20, 2025
- RAUM · $452M to $415MMar 26, 2024 to Mar 20, 2025
- Accounts · 233 to 249Mar 2, 2023 to Mar 26, 2024
- Business name · P••••• A•••• M••••••••• L•• to P••••• A•••••••Mar 2, 2023 to Mar 26, 2024
- HNW clients · 31 to 42Mar 2, 2023 to Mar 26, 2024
- Employees · 2 to 3Mar 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $394M to $431MMar 2, 2023 to Mar 26, 2024
- HNW RAUM · $416M to $452MMar 2, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $22.0M to $21.0MMar 2, 2023 to Mar 26, 2024
- RAUM · $416M to $452MMar 2, 2023 to Mar 26, 2024
- Accounts · 235 to 233Mar 30, 2022 to Mar 2, 2023
- HNW clients · 29 to 31Mar 30, 2022 to Mar 2, 2023
- Pooled vehicle clients · 1.0 to unsetMar 30, 2022 to Mar 2, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 2, 2023
- State-registered IARs · 2 to 1Mar 30, 2022 to Mar 2, 2023
- Private funds · 1 to unsetMar 30, 2022 to Mar 2, 2023
- Discretionary RAUM · $402M to $394MMar 30, 2022 to Mar 2, 2023
- HNW RAUM · $431M to $416MMar 30, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $30.0M to $22.0MMar 30, 2022 to Mar 2, 2023
Signals
6 dated events
- D•••••• R••••• S••••• (Ceo) appeared on Schedule A of P••••• A•••••••Mar 2, 2023 · Control person joined · fact
- P••••• A••••••• reported RAUM $413.0M, down 34% from $630.3M (2020-06-29 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- P••••• A••••••• reported RAUM $630.3M, up 50% from $421.4M (2019-03-29 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- P••••• A••••••• reported RAUM $421.4M, up 33% from $317.1M (2018-08-06 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- P••••• A••••••• reported RAUM $317.1M, up 66% from $190.4M (2018-03-30 to 2018-08-06)Aug 6, 2018 · RAUM change · derived
- P••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••• A••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@promusadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 214-594-0054reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 214-612-5750reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/promusadvisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-612-5750reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- promusadvisors.com/contactreportedpublished 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
- $96.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026