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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Former SEC-registered adviser
A•••• C•••• W••••• M••••••••• L••
Latest filing Jun 8, 2026
First filing on the tape Jun 8, 2026 · 1 filings
RAUM
$38.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$38.4M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
- RAUM per advisor
- $3.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $349,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived11 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$29.2M76%
- Individuals$9.2M24%
- Corporations and businesses$57,5770.1%
- Individual clients
- 89reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 110reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• A••••• T••••Certified Financial Planner, Chartered Financial Consultant | Southlake, Tx | May 15, 2012 | 31 y | 3 |
| M•••••• D•• M••••• | Pittsburg, Tx | Jun 12, 2018 | 33 y | 6 |
| K•••• M•••• F••••••••• | Southlake, Tx | Jan 2, 2019 | 20 y | 1 |
| M•••••• W•••••• D•••• | Southlake, Tx | Oct 28, 2022 | 33 y | 0 |
| C••••• P••• J•••••• | Meridian, Id | Jun 20, 2023 | 11 y | 2 |
| R••••• Q•••• B••••••• | Colorado Springs, Co | Apr 24, 2025 | 19 y | 0 |
| R•••••• M••••••• | Southlake, Tx | Jun 19, 2025 | 14 y | 3 |
| J•••• D••••• U•••••••• | Pompano Beach, Fl | Aug 6, 2025 | 22 y | 5 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- B•••••• C•••••••• S••• to L•• E••••••••• L••May 4, 2026 · Other
- C••••• P••• J•••••• to D••••• R••• C•••••• M••••••••• I•••Dec 10, 2021 · Other
Joined, latest
- J•••• D••••• U•••••••• from V••••• C•••••• M••••••••• L••Aug 6, 2025 · RIA to a state-registered adviser
- C••••• P••• J•••••• from D••••• R••• C•••••• M••••••••• I•••Jun 20, 2023 · Other
- R•••••• M••••••• from P•••••••• A•••••••Feb 22, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- B•••••• C•••••••• S••• from U••• I••••••••• S••••••• C••••••Mar 27, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- K•••• M•••• F••••••••• from H••••• I••••••••• M••••••••• L••Jan 2, 2019 · RIA to a state-registered adviser
- M•••••• D•• M••••• from M••••• W••••• M••••••••• I••Jun 12, 2018 · Other
- W•••••• A••••• T•••• from I••••••••• P••••••••• I•••May 15, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Southlake, Tx · principal | 8 | 0 | 1 | ||
| Colorado Springs, Co | 2 | 0 | 0 |
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
1 dated events
- B•••••• C•••••••• S••• left A•••• C•••• W••••• M••••••••• L•• for L•• E••••••••• L•• (registered 2026-05-19)May 4, 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 817-400-9905reportedpublic record, Form ADV, Jun 8, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026