DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•• I••••••••• L••

Independent wealth managerDallas, TexasCRD 157966SEC 801-136167websiteIAPD
Latest filing May 7, 2026
First filing on the tape May 7, 2026 · 1 filings
SEC status approved since May 13, 2026
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$160M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $171M
HNW client RAUM: $160M
State-registered IARs (5.B.3): 1
Employees (5.A): 4
Private funds: 1
Practice profile
derived from the filing of May 7, 2026; every figure names its basis
Archetypes, each a printed rule
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$171MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$20.0MderivedHNW RAUM over HNW clients
Average account
$19.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$53.3M, 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$160M94%
  • Pooled investment vehicles$10.6M6.2%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$53.3M for 18 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.94 fund_share=0.06 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• W•••••• R•••Dallas, TxJan 9, 201915 y1
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• P•••• · Chief Compliance Officercontrol
        since 02/2025 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/90697262/admin/dashboardreportedpublic record, Form ADV, May 7, 2026
      Website
      w••.r•••••••••.comreportedpublic record, Form ADV, May 7, 2026
      Principal office phone
      214.308.1970reportedpublic record, Form ADV, May 7, 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
      $171Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026