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
R••••••••• P••• F••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 24, 2016 · 13 filings
SEC status approved since Apr 15, 2016
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$34.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$193M as of Mar 2, 2026
Mar 27, 2017$311M then
HNW client RAUM$29.2M as of Mar 2, 2026
Mar 20, 2018$52.8M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Mar 27, 20174 then
Employees (5.A)2 as of Mar 2, 2026
Mar 27, 20175 then
Private funds: no history
RAUM +7.8% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $96.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 82%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$141M73%
- High-net-worth individuals$29.2M15%
- State and municipal entities$17.7M9.1%
- Individuals$5.1M2.7%
- Individual clients
- 15reported
- HNW clients
- 16reported
- Pension plan clients
- 18reported
- Charitable clients
- 0reported
- Accounts
- 51reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.18 fund_share=0.0 institutional_share=0.82 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••••• C••••• C••••• | Austin, Tx | Feb 29, 2012 | 26 y | 2 |
| R•••• N••••• T•••••Certified Financial Planner | Austin, Tx | May 18, 2015 | 16 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
- P••••• A••••••• W•••• to M•••••••••Oct 2, 2020 · Other
Joined, latest
- P••••• A••••••• W•••• from D• A•••••••• L••Feb 12, 2015 · Other
- T••••• C••••• C••••• from M••• W••••• M••••••••• L••Feb 29, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• T•••••• C••••• · Managing Member/Chief Compliance Officercontrolsince 01/2012 · owns 50% to 75%
- W••••• P•••••• A••••••• · Membercontrolsince 01/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Austin, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 50 to 51Mar 1, 2025 to Mar 2, 2026
- HNW clients · 15 to 16Mar 1, 2025 to Mar 2, 2026
- Discretionary RAUM · $179M to $193MMar 1, 2025 to Mar 2, 2026
- HNW RAUM · $23.2M to $29.2MMar 1, 2025 to Mar 2, 2026
- Individual RAUM · $4.5M to $5.1MMar 1, 2025 to Mar 2, 2026
- Pension RAUM · $135M to $141MMar 1, 2025 to Mar 2, 2026
- RAUM · $179M to $193MMar 1, 2025 to Mar 2, 2026
- Accounts · 49 to 50Mar 25, 2024 to Mar 1, 2025
- HNW clients · 16 to 15Mar 25, 2024 to Mar 1, 2025
- Individual clients · 13 to 15Mar 25, 2024 to Mar 1, 2025
- Pension plan clients · 20 to 18Mar 25, 2024 to Mar 1, 2025
- Employees · 3 to 2Mar 25, 2024 to Mar 1, 2025
- Financial planning clients · 26-50 to 26-50Mar 25, 2024 to Mar 1, 2025
- HQ city · unset to Mar 25, 2024 to Mar 1, 2025
- HQ state · unset to Mar 25, 2024 to Mar 1, 2025
- Discretionary RAUM · $161M to $179MMar 25, 2024 to Mar 1, 2025
- HNW RAUM · $21.6M to $23.2MMar 25, 2024 to Mar 1, 2025
- Individual RAUM · $3.9M to $4.5MMar 25, 2024 to Mar 1, 2025
- Pension RAUM · $135M to $135MMar 25, 2024 to Mar 1, 2025
- RAUM · $161M to $179MMar 25, 2024 to Mar 1, 2025
- Accounts · 50 to 49Mar 24, 2023 to Mar 25, 2024
- HNW clients · 14 to 16Mar 24, 2023 to Mar 25, 2024
- Individual clients · 15 to 13Mar 24, 2023 to Mar 25, 2024
- Pension plan clients · 21 to 20Mar 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $143M to $161MMar 24, 2023 to Mar 25, 2024
- HNW RAUM · $17.7M to $21.6MMar 24, 2023 to Mar 25, 2024
- Individual RAUM · $4.2M to $3.9MMar 24, 2023 to Mar 25, 2024
- Pension RAUM · $121M to $135MMar 24, 2023 to Mar 25, 2024
- RAUM · $143M to $161MMar 24, 2023 to Mar 25, 2024
- Charity clients · unset to 0.0Mar 2, 2022 to Mar 24, 2023
- Corporate clients · unset to 0.0Mar 2, 2022 to Mar 24, 2023
- HNW clients · 13 to 14Mar 2, 2022 to Mar 24, 2023
- Pooled vehicle clients · unset to 0.0Mar 2, 2022 to Mar 24, 2023
- Employees · 2 to 3Mar 2, 2022 to Mar 24, 2023
- Discretionary RAUM · $131M to $143MMar 2, 2022 to Mar 24, 2023
- HNW RAUM · $21.4M to $17.7MMar 2, 2022 to Mar 24, 2023
- Individual RAUM · $5.9M to $4.2MMar 2, 2022 to Mar 24, 2023
- Pension RAUM · $103M to $121MMar 2, 2022 to Mar 24, 2023
- RAUM · $131M to $143MMar 2, 2022 to Mar 24, 2023
- Individual clients · 14 to 15Mar 30, 2021 to Mar 2, 2022
Signals
3 dated events
- R••••••••• P••• F••••••••• L•• reported RAUM $116.3M, down 64% from $322.4M (2020-10-22 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Anderson Philip White (Member) appeared on Schedule A of R••••••••• P••• F••••••••• L••Mar 30, 2021 · Control person joined · fact
- R••••••••• P••• F••••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 2016 · 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
- Website
- r••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-394-6596reportedpublic record, Form ADV, Mar 2, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $96.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026