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
C••••••• C••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jan 12, 2012 · 29 filings
SEC status approved since Jan 17, 2012
RAUM
$375M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$307M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$375M as of Mar 25, 2026
Mar 26, 2013$131M then
HNW client RAUM$266M as of Mar 25, 2026
Mar 19, 2018$125M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 26, 20131 then
Employees (5.A)3 as of Mar 25, 2026
Mar 26, 20131 then
Private funds: no history
RAUM +23% over the last fiscal year+9.6% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 173derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $380,051derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Custody
- $128M, 170 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)
- 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$266M71%
- Individuals$40.8M11%
- Investment companies$36.9M9.8%
- Charitable organizations$28.7M7.6%
- Pension and profit-sharing plans$2.5M0.7%
- Individual clients
- 203reported
- HNW clients
- 142reported
- Pension plan clients
- 6reported
- Charitable clients
- 20reported
- Accounts
- 987reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $128M for 170 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.82 fund_share=0.1 institutional_share=0.08 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 |
|---|---|---|---|---|
| T••••• E••• M•••Certified Financial Planner, Personal Financial Specialist | Denton, Tx | Feb 14, 2012 | 32 y | 1 |
| J•••••••• K•••• H••••••••Certified Financial Planner | Denton, Tx | Oct 10, 2015 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- P••• C••••••••• U•••••• to K•• I••••••••• M••••••••• L••Jan 26, 2026 · RIA to RIA
Joined, latest
- T••••• E••• M••• from R•••• • M••• F•••••••• A••••••• I••Feb 14, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• T•••••• E••• · President, 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 |
|---|---|---|---|---|---|
| Denton, Tx · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Pottsboro, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 907 to 987Mar 20, 2025 to Mar 25, 2026
- Advisory employees · 3 to 2Mar 20, 2025 to Mar 25, 2026
- Charity clients · 19 to 20Mar 20, 2025 to Mar 25, 2026
- HNW clients · 122 to 142Mar 20, 2025 to Mar 25, 2026
- Individual clients · 199 to 203Mar 20, 2025 to Mar 25, 2026
- Pension plan clients · 5 to 6Mar 20, 2025 to Mar 25, 2026
- Assets in custody · $117M to $128MMar 20, 2025 to Mar 25, 2026
- Employees · 4 to 3Mar 20, 2025 to Mar 25, 2026
- State-registered IARs · 3 to 2Mar 20, 2025 to Mar 25, 2026
- Discretionary RAUM · $304M to $375MMar 20, 2025 to Mar 25, 2026
- HNW RAUM · $210M to $266MMar 20, 2025 to Mar 25, 2026
- Individual RAUM · $38.8M to $40.8MMar 20, 2025 to Mar 25, 2026
- Pension RAUM · $1.2M to $2.5MMar 20, 2025 to Mar 25, 2026
- RAUM · $304M to $375MMar 20, 2025 to Mar 25, 2026
- Accounts · 854 to 907Mar 15, 2024 to Mar 20, 2025
- Charity clients · 15 to 19Mar 15, 2024 to Mar 20, 2025
- HNW clients · 110 to 122Mar 15, 2024 to Mar 20, 2025
- Individual clients · 194 to 199Mar 15, 2024 to Mar 20, 2025
- Assets in custody · $119M to $117MMar 15, 2024 to Mar 20, 2025
- Financial planning clients · 251-500 to 251-500Mar 15, 2024 to Mar 20, 2025
- Discretionary RAUM · $299M to $304MMar 15, 2024 to Mar 20, 2025
- HNW RAUM · $211M to $210MMar 15, 2024 to Mar 20, 2025
- Individual RAUM · $36.2M to $38.8MMar 15, 2024 to Mar 20, 2025
- Pension RAUM · $2.8M to $1.2MMar 15, 2024 to Mar 20, 2025
- RAUM · $299M to $304MMar 15, 2024 to Mar 20, 2025
- Accounts · 823 to 854Nov 27, 2023 to Mar 15, 2024
- Charity clients · 14 to 15Nov 27, 2023 to Mar 15, 2024
- HNW clients · 103 to 110Nov 27, 2023 to Mar 15, 2024
- Individual clients · 197 to 194Nov 27, 2023 to Mar 15, 2024
- Assets in custody · $93.7M to $119MNov 27, 2023 to Mar 15, 2024
- Discretionary RAUM · $285M to $299MNov 27, 2023 to Mar 15, 2024
- HNW RAUM · $210M to $211MNov 27, 2023 to Mar 15, 2024
- Individual RAUM · $33.2M to $36.2MNov 27, 2023 to Mar 15, 2024
- Pension RAUM · $2.7M to $2.8MNov 27, 2023 to Mar 15, 2024
- RAUM · $285M to $299MNov 27, 2023 to Mar 15, 2024
- Accounts · 796 to 823Mar 29, 2022 to Mar 24, 2023
- HNW clients · 108 to 103Mar 29, 2022 to Mar 24, 2023
- Individual clients · 177 to 197Mar 29, 2022 to Mar 24, 2023
- Assets in custody · $96.4M to $93.7MMar 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $319M to $285MMar 29, 2022 to Mar 24, 2023
Signals
1 dated events
- P••• C••••••••• U•••••• left C••••••• C••••••• I••• for K•• I••••••••• M••••••••• L•• (registered 2026-02-05)Jan 26, 2026 · Advisor changed firm · 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
- 833-930-2229reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- C•••••••FUNDS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 940-600-4553reportedpublic record, Form ADV, Mar 25, 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
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026