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
S••••• S••••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Feb 7, 2012 · 34 filings
SEC status approved since Nov 4, 2004
RAUM
$679M
reported, Item 5.F
Discretionary
6.8%
of RAUM
Private clients
100%
$679M individuals and HNW
Advisors
25
registered through the firm on IAPD
RAUM per advisor
$27.2M
derived; firm RAUM over IAPD count
Employees
35
23 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$679M as of Mar 4, 2026
Feb 7, 2012$153M then
HNW client RAUM$554M as of Mar 4, 2026
Mar 8, 2022$462M then
State-registered IARs (5.B.3)23 as of Mar 4, 2026
Feb 7, 20120 then
Employees (5.A)35 as of Mar 4, 2026
Feb 13, 201355 then
Private funds: no history
RAUM +13% over the last fiscal year+10.0% a year over threeIARs 24 to 23offices 9 to 8
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $27.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $353,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.8%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.8derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -4.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $214M, 488 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- 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$554M82%
- Individuals$125M18%
- Individual clients
- 811reported
- HNW clients
- 326reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,920reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $214M for 488 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=23.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••• J•••• S•••••••• | Granbury, Tx | Nov 30, 1988 | 41 y | 0 |
| R•• E••••• W••••• | Fort Worth, Tx | Sep 4, 1991 | 43 y | 0 |
| C••••••••• R•••••• S••• | Dallas, Tx | Oct 30, 1996 | 30 y | 0 |
| W•••••• B•••••• D••••••• | Irving, Tx | Jan 6, 2000 | 38 y | 0 |
| M•••••• C••••••••• M••••••• | Fort Worth, Tx | Mar 1, 2005 | 28 y | 0 |
| J•••• R••••• P••••••••• | Grapevine, Tx | Mar 1, 2005 | 36 y | 1 |
| E••• P•••••• C•••••••• | Plano, Tx | Sep 16, 2005 | 45 y | 1 |
| B•••• J••••• B••••• | Keller, Tx | Dec 11, 2006 | 41 y | 1 |
| D••••• W•••••• A••••• | Granbury, Tx | Jun 4, 2007 | 31 y | 0 |
| W•••••• P•••• S••••••••• | Ft Worth, Tx | Jan 23, 2008 | 24 y | 0 |
| J••••••• F•••••••• J•••••Certified Financial Planner | Tyler, Tx | May 13, 2008 | 25 y | 0 |
| J••• J••••• O•••••• | Lakeway, Tx | Oct 13, 2008 | 37 y | 0 |
| J•• M• W••••• | Dallas, Tx | Mar 21, 2013 | 23 y | 3 |
| K•••• A•••• B••••••• | Dallas, Tx | Jan 2, 2014 | 42 y | 1 |
| R•••••• E••••• F•••••• | Irving, Tx | Aug 8, 2014 | 34 y | 0 |
| J•••• L•• M••••• | Fort Worth, Tx | Jan 30, 2015 | 17 y | 0 |
| K•••••• S•••• M••••• | Fort Worth, Tx | Dec 1, 2017 | 21 y | 1 |
| M•••••• C•••• S•••••• | Fort Worth, Tx | Aug 27, 2020 | 20 y | 0 |
| J•••• W•••••• D•••••••• | Fort Worth, Tx | Sep 10, 2020 | 20 y | 0 |
| C•••• W•••• | Fort Worth, Tx | Jan 2, 2024 | 10 y | 0 |
| J••••• R•••••• D••• | Fort Worth, Tx | Jun 18, 2025 | 13 y | 2 |
| Z•••••• B•••••• B••••• | Keller, Tx | Nov 19, 2025 | 21 y | 0 |
| M•••• J•••• H••• | Tyler, Tx | Jan 9, 2026 | 24 y | 0 |
| J•••• S••••••••Personal Financial Specialist | Fort Worth, Tx | Jun 1, 2026 | 11 y | 2 |
| J•••••• C••••••• J•••••• | Lafayette , La | Jun 23, 2026 | 19 y | 5 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•• D••• J•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 8, 2019 · Affiliated broker-dealer or bank to another
- O••• B••••• R••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 1, 2019 · Affiliated broker-dealer or bank to another
- J•••• C••• G••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Dec 12, 2018 · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• G•••••• to U•• F•••••••• S••••••••• L••Jun 16, 2016 · Other
- C•••••• M•••• F••••• to W•••• F•••• A•••••••Jun 1, 2016 · Other
- M•••• W•••• T•••• to Q•••••• A•••• M••••••••• I•••Oct 20, 2014 · Other
- J••• R•••••• A•••••• to S•••••••• S•••••••••Aug 5, 2013 · Other
- S•••• B••••• G•••• to K•••••• H••••• A•• W•••••Mar 5, 2013 · Other
- O••• B••••• R••••••• to R••••• I••••••••• A•••••••• I•••Aug 21, 2012 · Other
- T•••• K•• E•••• to L•• F•••••••• L••Dec 6, 2011 · Other
- B•••• W•••• E••••••••• to L•• F•••••••• L••Dec 6, 2011 · Other
- D••••• K•••• S••••••••• to S••••••••• F•••••••• G••••• I•••May 6, 2011 · Other
- D•••• W•••• B•••••• to G•••• A•••• A•••••••Dec 31, 2008 · Other
- K•••• L•• D•••• to C•••••••• F••••••••• I•••Dec 31, 2008 · Other
- R•••••• T•••••• E•••• to T•••• A•••••••• L••Dec 31, 2006 · Other
Joined, latest
- J•••••• C••••••• J•••••• from C••••• I••••••••• A••••••• L••Jun 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• S•••••••• from C••••• I••••••••• A••••••• L••Jun 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• R•••••• D••• from S•••••••• A••••••• L••Jun 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• C••• G••••• from H•••••• S••••••••• I•••Oct 10, 2018 · Affiliated broker-dealer or bank to another
- K•••••• S•••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 1, 2017 · Other
- O••• B••••• R••••••• from R••••• I••••••••• A•••••••• I•••Aug 15, 2017 · Other
- C•••••• M•••• F••••• from T• A••••••••• I••••••••• M••••••••• L••Mar 24, 2015 · Other
- K•••• A•••• B••••••• from A•••••• A••••••• S•••••••Jan 2, 2014 · Other
- J••• R•••••• A•••••• from W•••• F•••• A•••••••Apr 9, 2013 · Other
- J•• M• W••••• from F•••• F•••••••• E••••• C•••••••••Mar 21, 2013 · Other
- T•••• K•• E•••• from L•• F•••••••• L••Jun 21, 2010 · Other
- R•••••• J•••• G•••••• from L•• F•••••••• L••Apr 20, 2010 · Other
- B•••• W•••• E••••••••• from L•• F•••••••• L••Apr 15, 2010 · Other
- J•• D••• J•••••• from W•••••• • R•••Mar 10, 2010 · Other
- M•••• W•••• T•••• from W•••••• • R•••Oct 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• C•••• M••••••• · Ccocontrolsince 03/2024 · owns less than 5%
- M•••••• J•••• L•• · Cfocontrolsince 01/2019 · owns less than 5%
- S••••••••• I••• J•••• · Exe Chrm, Treas, Dir: Jointly Owned W/C•••• W•••••controlsince 06/2011 · owns 75% or more
- S•••• C••••••••• R•••••• · Ceo, Rosfp, Dir, Mspcontrolsince 03/2011 · owns 10% to 25%
- W•••••• C•••• B••• · Dir, Corp Sec: Jointly Owned With J•••• S••••••••controlsince 03/2012 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• S••••••••• I•••broker-dealerinvestment adviserinsurancereal estateyRAUM $679M
Advisers that list S••••• S••••••••• I••• as a related person
- 15916 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Worth, Tx · principal | 15 | 2 | 0 | ||
| Dallas, Tx | 3 | 0 | 0 | ||
| Tyler, Tx | 3 | 1 | 0 | ||
| Gilmer, Tx | 2 | 0 | 0 | ||
| Granbury, Tx | 2 | 0 | 0 | ||
| Irving, Tx | 2 | 0 | 0 | ||
| Keller, Tx | 2 | 1 | 0 | ||
| Plano, Tx | 2 | 0 | 0 | ||
| Ft Worth, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- Irving, TX2 employees
- Grapevine, TX2 employees
- , 2 employees
- Dallas, TX2 employees
- Amarillo, TX1 employees
- , 1 employees
- Granbury, TX1 employees
- , 1 employees
- Tyler, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- State-registered IARs · 24 to 23Jul 30, 2025 to Mar 4, 2026
- Accounts · 1,832 to 1,920Jul 30, 2025 to Mar 4, 2026
- Advisory employees · 24 to 23Jul 30, 2025 to Mar 4, 2026
- BD registered reps · 37 to 23Jul 30, 2025 to Mar 4, 2026
- HNW clients · 345 to 326Jul 30, 2025 to Mar 4, 2026
- Individual clients · 745 to 811Jul 30, 2025 to Mar 4, 2026
- Assets in custody · $158M to $214MJul 30, 2025 to Mar 4, 2026
- Employees · 37 to 35Jul 30, 2025 to Mar 4, 2026
- Other offices · 9 to 8Jul 30, 2025 to Mar 4, 2026
- Discretionary RAUM · $41.6M to $46.4MJul 30, 2025 to Mar 4, 2026
- HNW RAUM · $481M to $554MJul 30, 2025 to Mar 4, 2026
- Individual RAUM · $118M to $125MJul 30, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $558M to $633MJul 30, 2025 to Mar 4, 2026
- RAUM · $599M to $679MJul 30, 2025 to Mar 4, 2026
- Financial planning clients · More than 500 to More than 500Mar 7, 2025 to Jul 30, 2025
- Accounts · 1,797 to 1,832Oct 23, 2024 to Mar 7, 2025
- HNW clients · 121 to 345Oct 23, 2024 to Mar 7, 2025
- Individual clients · 980 to 745Oct 23, 2024 to Mar 7, 2025
- Assets in custody · $162M to $158MOct 23, 2024 to Mar 7, 2025
- Other offices · 11 to 9Oct 23, 2024 to Mar 7, 2025
- Discretionary RAUM · $40.3M to $41.6MOct 23, 2024 to Mar 7, 2025
- HNW RAUM · $322M to $481MOct 23, 2024 to Mar 7, 2025
- Individual RAUM · $225M to $118MOct 23, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $507M to $558MOct 23, 2024 to Mar 7, 2025
- RAUM · $547M to $599MOct 23, 2024 to Mar 7, 2025
- Accounts · 1,848 to 1,797Jan 3, 2024 to Mar 19, 2024
- Advisory employees · 28 to 24Jan 3, 2024 to Mar 19, 2024
- BD registered reps · 42 to 37Jan 3, 2024 to Mar 19, 2024
- HNW clients · 310 to 121Jan 3, 2024 to Mar 19, 2024
- Individual clients · 810 to 980Jan 3, 2024 to Mar 19, 2024
- Employees · 42 to 37Jan 3, 2024 to Mar 19, 2024
- State-registered IARs · 28 to 24Jan 3, 2024 to Mar 19, 2024
- Other offices · 13 to 11Jan 3, 2024 to Mar 19, 2024
- Discretionary RAUM · $41.8M to $40.3MJan 3, 2024 to Mar 19, 2024
- HNW RAUM · $406M to $322MJan 3, 2024 to Mar 19, 2024
- Individual RAUM · $105M to $225MJan 3, 2024 to Mar 19, 2024
- Non-discretionary RAUM · $469M to $507MJan 3, 2024 to Mar 19, 2024
- RAUM · $511M to $547MJan 3, 2024 to Mar 19, 2024
- Accounts · 1,849 to 1,848Jan 26, 2023 to Mar 27, 2023
- Advisory activities · 4 to 3Jan 26, 2023 to Mar 27, 2023
Signals
7 dated events
- K•••••• S•••• M••••• added a AR registration at S••••• S••••••••• I•••Sep 16, 2026 · New state registration · fact
- Chase Marshall Korns (Cco) appeared on Schedule A of S••••• S••••••••• I•••Mar 19, 2024 · Control person joined · fact
- Jeffrey Howard Rothschild (Vp, Dir, Dir Of Insurance Operations) no longer on Schedule A of S••••• S••••••••• I••• (listed 2022-11-10, absent 2023-01-26)Jan 26, 2023 · Control person left · inference
- Samuel J••••• Scoggin (Cco) no longer on Schedule A of S••••• S••••••••• I••• (listed 2021-03-04, absent 2021-03-09)Mar 9, 2021 · Control person left · inference
- Samuel J••••• Scoggin (Cco) appeared on Schedule A of S••••• S••••••••• I•••Jul 13, 2020 · Control person joined · fact
- S••••• S••••••••• I••• reported 19 offices beyond its principal office, down from 32 (2018-01-25 to 2019-03-06)Mar 6, 2019 · Office count change · derived
- J•••• L•• M••••• (Cfo) appeared on Schedule A of S••••• S••••••••• I•••Mar 6, 2019 · Control person joined · 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
- 817-232-9797reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 817-820-1215reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 817-820-1280reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- jimsignalsecurities.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 817-877-4256reportedpublic record, Form ADV, Mar 4, 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
- $27.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026