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
I••••••• W••••• M••••••••• L••
Latest filing Feb 6, 2026
First filing on the tape Nov 11, 2011 · 28 filings
SEC status approved since Apr 18, 2018
RAUM
$265M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$254M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$265M as of Feb 6, 2026
Mar 27, 2012$46.3M then
HNW client RAUM$216M as of Feb 6, 2026
Mar 15, 2019$80.6M then
State-registered IARs (5.B.3)2 as of Feb 6, 2026
Mar 15, 20193 then
Employees (5.A)6 as of Feb 6, 2026
Mar 15, 20195 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 6, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $332,793derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $459MreportedItem 5.I
- Custody
- $86.3M, 95 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$216M81%
- Individuals$38.2M14%
- Pension and profit-sharing plans$9.8M3.7%
- Corporations and businesses$952,3530.4%
- Individual clients
- 105reported
- HNW clients
- 72reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 795reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $229M sponsored, $229M managedreported
- Custody of client assets
- $86.3M for 95 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| C••••••••• J••• P••• H••••• | San Antonio, Tx | Dec 16, 2011 | 22 y | 4 |
| H•••••• H•••Certified Financial Planner | San Antonio, Tx | May 5, 2016 | 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 headcount0 left over 36 months
Left, latest
- M••• A•••• L•• E•••• to C••••••••• W••••• M•••••••••Dec 24, 2020 · RIA to a state-registered adviser
- R••• H••••• Y••••• to T••••••••• F•••••••• P•••••••May 12, 2016 · Other
Joined, latest
- M••• A•••• L•• E•••• from S•••••••• F•••••••• C•••••••• L••Aug 25, 2020 · RIA to RIA
- C••••••••• J••• P••• H••••• from S••••• W••••• M•••••••••Dec 16, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C••••••••• J••• P••• · Managing Member/Chief Compliance Officercontrolsince 12/2011 · owns 75% or more
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 |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 737 to 795Mar 26, 2025 to Feb 6, 2026
- Corporate clients · 0 to 1Mar 26, 2025 to Feb 6, 2026
- HNW clients · 70 to 72Mar 26, 2025 to Feb 6, 2026
- Individual clients · 98 to 105Mar 26, 2025 to Feb 6, 2026
- Assets in custody · $8.9M to $86.3MMar 26, 2025 to Feb 6, 2026
- Employees · 8 to 6Mar 26, 2025 to Feb 6, 2026
- Discretionary RAUM · $211M to $255MMar 26, 2025 to Feb 6, 2026
- HNW RAUM · $174M to $216MMar 26, 2025 to Feb 6, 2026
- Individual RAUM · $37.1M to $38.2MMar 26, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $7.1M to $9.8MMar 26, 2025 to Feb 6, 2026
- Pension RAUM · $7.1M to $9.8MMar 26, 2025 to Feb 6, 2026
- RAUM · $218M to $265MMar 26, 2025 to Feb 6, 2026
- Wrap assets (manager) · $189M to $229MMar 26, 2025 to Feb 6, 2026
- Wrap assets (sponsor) · $189M to $229MMar 26, 2025 to Feb 6, 2026
- Accounts · 724 to 737Nov 19, 2024 to Mar 26, 2025
- Corporate clients · 3 to 0Nov 19, 2024 to Mar 26, 2025
- HNW clients · 55 to 70Nov 19, 2024 to Mar 26, 2025
- Individual clients · 106 to 98Nov 19, 2024 to Mar 26, 2025
- Assets in custody · $7.7M to $8.9MNov 19, 2024 to Mar 26, 2025
- Employees · 5 to 8Nov 19, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Nov 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $175M to $211MNov 19, 2024 to Mar 26, 2025
- HNW RAUM · $126M to $174MNov 19, 2024 to Mar 26, 2025
- Individual RAUM · $39.0M to $37.1MNov 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $5.9M to $7.1MNov 19, 2024 to Mar 26, 2025
- Pension RAUM · $5.9M to $7.1MNov 19, 2024 to Mar 26, 2025
- RAUM · $181M to $218MNov 19, 2024 to Mar 26, 2025
- Wrap assets (manager) · $154M to $189MNov 19, 2024 to Mar 26, 2025
- Wrap assets (sponsor) · $154M to $189MNov 19, 2024 to Mar 26, 2025
- Corporate clients · 0 to 3Mar 13, 2024 to Apr 3, 2024
- HNW RAUM · $136M to $126MMar 13, 2024 to Apr 3, 2024
- Accounts · 663 to 724Sep 6, 2023 to Mar 13, 2024
- HNW clients · 51 to 55Sep 6, 2023 to Mar 13, 2024
- Individual clients · 103 to 106Sep 6, 2023 to Mar 13, 2024
- Pension plan clients · 7 to 8Sep 6, 2023 to Mar 13, 2024
- Assets in custody · $6.7M to $7.7MSep 6, 2023 to Mar 13, 2024
- Financial planning clients · 101-250 to 51-100Sep 6, 2023 to Mar 13, 2024
- Discretionary RAUM · $150M to $175MSep 6, 2023 to Mar 13, 2024
- HNW RAUM · $114M to $136MSep 6, 2023 to Mar 13, 2024
- Individual RAUM · $37.4M to $39.0MSep 6, 2023 to Mar 13, 2024
Signals
1 dated events
- I••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 21, 2018 · 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
- acorpuz@imperiumwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- dmartinez@imperiumwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 210-332-9533reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 210-332-9544reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-332-9533reportedpublic record, Form ADV, Feb 6, 2026
- Contact form
- imperiumwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- imperiumwealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026