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
T•• W••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Nov 9, 2011 · 4 filings
SEC status approved since Jul 25, 2025
RAUM
$139M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
57%
$79.2M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$27.7M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$139M as of Mar 23, 2026
Jul 9, 2025$122M then
HNW client RAUM$71.3M as of Mar 23, 2026
Jul 9, 2025$61.0M then
State-registered IARs (5.B.3)6 as of Mar 23, 2026
Jul 9, 20255 then
Employees (5.A)6 as of Mar 23, 2026
Jul 9, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
- RAUM per advisor
- $27.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $369,374derivedHNW RAUM over HNW clients
- Average account
- $487,979derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
- 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$71.3M51%
- Corporations and businesses$45.2M33%
- Pension and profit-sharing plans$14.2M10%
- Individuals$7.9M5.7%
- Individual clients
- 66reported
- HNW clients
- 193reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 284reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.57 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• K•• C•••Certified Financial Planner | Dallas, Tx | Jan 19, 2012 | 33 y | 2 |
| W••• C•••• T••• | Dallas, Tx | Sep 7, 2017 | 10 y | 0 |
| T•••• J••• R••••••• | Dallas, Tx | Mar 21, 2019 | 12 y | 0 |
| A••••• P•••• T••• | Dallas, Tx | Jan 25, 2023 | 28 y | 0 |
| Y••••••• C••• •••••••• | Dallas, Tx | Sep 10, 2025 | 12 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 headcount1 left over 36 months
Left, latest
- J••••• Z••• to S•••••••• A••••••• L••Jan 21, 2025 · Other
Joined, latest
- T••• K•• C••• from C•••• I••••••••• S••••••• C••••Aug 15, 2011 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• E•• H•••••• F•••• L• | Liquidity Fund | $0 | 0 | Nov 9, 2011 |
Owners and control persons
Schedule A and B, latest filing
- H••••• D•••••• J••••• · Chief Executive Officercontrolsince 06/2011 · owns less than 5%
- S••••• N•••••••• R••••• · Senior Managing Director, Chief Compliance Officercontrolsince 06/2011 · owns less than 5%
- B•••••• J••••• T••••• · Shareholdercontrolsince 06/2011 · owns 25% to 50% of C•••••• G•••• H•••••••• L••
- H••••• D•••••• J••••• · Shareholdercontrolsince 07/2011 · owns 25% to 50% of C•••••• G•••• H•••••••• L••
Entity owners
- C•••••• H•••••••• L•• · Shareholderdirect · owns 75% or more
- C•••••• G•••• H•••••••• L•• · Shareholderindirect · owns 75% or more of C•••••• H•••••••• L••
Related persons
Schedule D 7.A
- C•••••• C•••••• M••••••••• L••pooled vehicle sponsorn
- C•••••• R••• A•••••••• L••real estaten
- C•••••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 264 to 284Sep 15, 2025 to Mar 23, 2026
- Corporate clients · 1 to 23Sep 15, 2025 to Mar 23, 2026
- HNW clients · 99 to 193Sep 15, 2025 to Mar 23, 2026
- Individual clients · 46 to 66Sep 15, 2025 to Mar 23, 2026
- Pension plan clients · 1 to 2Sep 15, 2025 to Mar 23, 2026
- Discretionary RAUM · $111M to $127MSep 15, 2025 to Mar 23, 2026
- HNW RAUM · $61.0M to $71.3MSep 15, 2025 to Mar 23, 2026
- Individual RAUM · $16.6M to $7.9MSep 15, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $10.3M to $11.5MSep 15, 2025 to Mar 23, 2026
- Pension RAUM · $2.4M to $14.2MSep 15, 2025 to Mar 23, 2026
- RAUM · $122M to $139MSep 15, 2025 to Mar 23, 2026
- Advisory employees · 5 to 6Jul 9, 2025 to Sep 15, 2025
- State-registered IARs · 5 to 6Jul 9, 2025 to Sep 15, 2025
- Accounts · 21 to 264Nov 9, 2011 to Jul 9, 2025
- Advisory employees · unset to 5.0Nov 9, 2011 to Jul 9, 2025
- Advisory activities · 6 to 5Nov 9, 2011 to Jul 9, 2025
- BD registered reps · 0 to 6Nov 9, 2011 to Jul 9, 2025
- Business name · C•••••• W••••• M••••••••• L•• to T•• W••••• M••••••••• L••Nov 9, 2011 to Jul 9, 2025
- Corporate clients · unset to 1.0Nov 9, 2011 to Jul 9, 2025
- HNW clients · unset to 99.0Nov 9, 2011 to Jul 9, 2025
- Individual clients · unset to 46.0Nov 9, 2011 to Jul 9, 2025
- Pension plan clients · unset to 1.0Nov 9, 2011 to Jul 9, 2025
- Employees · unset to 6.0Nov 9, 2011 to Jul 9, 2025
- Insurance-licensed employees · 0 to 1Nov 9, 2011 to Jul 9, 2025
- Financial planning clients · 11-25 to Nov 9, 2011 to Jul 9, 2025
- State-registered IARs · 0 to 5Nov 9, 2011 to Jul 9, 2025
- Legal name · C•••••• W••••• M••••••••• L•• to T•• W••••• M••••••••• L••Nov 9, 2011 to Jul 9, 2025
- Other offices · unset to 0.0Nov 9, 2011 to Jul 9, 2025
- Private funds · 1 to unsetNov 9, 2011 to Jul 9, 2025
- Discretionary RAUM · $8.0M to $111MNov 9, 2011 to Jul 9, 2025
- HNW RAUM · unset to 61049236.0Nov 9, 2011 to Jul 9, 2025
- Individual RAUM · unset to 16595103.0Nov 9, 2011 to Jul 9, 2025
- Non-discretionary RAUM · $8.0M to $10.3MNov 9, 2011 to Jul 9, 2025
- Pension RAUM · unset to 2447949.0Nov 9, 2011 to Jul 9, 2025
- RAUM · $16.0M to $122MNov 9, 2011 to Jul 9, 2025
Signals
1 dated events
- J••••• Z••• left T•• W••••• M••••••••• L•• for S•••••••• A••••••• L•• (registered 2025-11-10)Jan 21, 2025 · advisor firm c••••e · 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
- 214-389-2000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-389-2554reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-389-2559reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-389-2000reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $27.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026