DFX Intelligence
RIA Intelligence
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SEC-registered adviser
O•• C•••••• A•••••••
Legal name S•••• W• H••••••
Latest filing Jan 25, 2026
First filing on the tape Dec 10, 2020 · 9 filings
SEC status approved since Jan 19, 2021
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$168M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$186M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$186M as of Jan 25, 2026
Jan 22, 2021$120M then
HNW client RAUM$150M as of Jan 25, 2026
Jan 22, 2021$6.1M then
State-registered IARs (5.B.3)1 as of Jan 25, 2026
Jan 22, 20211 then
Employees (5.A)1 as of Jan 25, 2026
Jan 22, 20211 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $186MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M81%
- Individuals$18.5M9.9%
- Pension and profit-sharing plans$7.9M4.3%
- Charitable organizations$6.5M3.5%
- Corporations and businesses$3.4M1.8%
- Individual clients
- 28reported
- HNW clients
- 25reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 86reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• W••••• H•••••• | Dallas, Tx | Mar 7, 2012 | 44 y | 2 |
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
none on the tape
Joined, latest
- S•••• W••••• H•••••• from M•••• H••• C•••••• M•••••••••Mar 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• S••••• W••••• · Principal, Ccocontrolsince 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 91 to 86Jan 15, 2025 to Jan 25, 2026
- HNW clients · 23 to 25Jan 15, 2025 to Jan 25, 2026
- Individual clients · 26 to 28Jan 15, 2025 to Jan 25, 2026
- Discretionary RAUM · $165M to $186MJan 15, 2025 to Jan 25, 2026
- HNW RAUM · $134M to $150MJan 15, 2025 to Jan 25, 2026
- Individual RAUM · $14.6M to $18.5MJan 15, 2025 to Jan 25, 2026
- Pension RAUM · $6.9M to $7.9MJan 15, 2025 to Jan 25, 2026
- RAUM · $165M to $186MJan 15, 2025 to Jan 25, 2026
- Accounts · 87 to 91Jan 29, 2024 to Jan 15, 2025
- Corporate clients · 1 to 2Jan 29, 2024 to Jan 15, 2025
- HNW clients · 26 to 23Jan 29, 2024 to Jan 15, 2025
- Individual clients · 27 to 26Jan 29, 2024 to Jan 15, 2025
- Financial planning clients · 0 to 0Jan 29, 2024 to Jan 15, 2025
- HQ city · unset to Jan 29, 2024 to Jan 15, 2025
- HQ state · unset to Jan 29, 2024 to Jan 15, 2025
- Discretionary RAUM · $138M to $165MJan 29, 2024 to Jan 15, 2025
- HNW RAUM · $108M to $134MJan 29, 2024 to Jan 15, 2025
- Individual RAUM · $10.6M to $14.6MJan 29, 2024 to Jan 15, 2025
- Pension RAUM · $5.8M to $6.9MJan 29, 2024 to Jan 15, 2025
- RAUM · $138M to $165MJan 29, 2024 to Jan 15, 2025
- Accounts · 86 to 87Jan 18, 2023 to Jan 29, 2024
- Corporate clients · 2 to 1Jan 18, 2023 to Jan 29, 2024
- HNW clients · 33 to 26Jan 18, 2023 to Jan 29, 2024
- Individual clients · 31 to 27Jan 18, 2023 to Jan 29, 2024
- Discretionary RAUM · $117M to $138MJan 18, 2023 to Jan 29, 2024
- HNW RAUM · $92.2M to $108MJan 18, 2023 to Jan 29, 2024
- Individual RAUM · $12.0M to $10.6MJan 18, 2023 to Jan 29, 2024
- Pension RAUM · $4.8M to $5.8MJan 18, 2023 to Jan 29, 2024
- RAUM · $117M to $138MJan 18, 2023 to Jan 29, 2024
- Accounts · 87 to 86Jan 7, 2022 to Jan 18, 2023
- HNW clients · 19 to 33Jan 7, 2022 to Jan 18, 2023
- Individual clients · 29 to 31Jan 7, 2022 to Jan 18, 2023
- Discretionary RAUM · $137M to $117MJan 7, 2022 to Jan 18, 2023
- HNW RAUM · $110M to $92.2MJan 7, 2022 to Jan 18, 2023
- Individual RAUM · $12.5M to $12.0MJan 7, 2022 to Jan 18, 2023
- Pension RAUM · $5.7M to $4.8MJan 7, 2022 to Jan 18, 2023
- RAUM · $137M to $117MJan 7, 2022 to Jan 18, 2023
- Accounts · 82 to 87Jan 22, 2021 to Jan 7, 2022
- Advisory activities · 2 to 1Jan 22, 2021 to Jan 7, 2022
- Corporate clients · 0 to 2Jan 22, 2021 to Jan 7, 2022
Signals
1 dated events
- O•• C•••••• A••••••• filed its initial SEC registration (Form ADV)Dec 10, 2020 · 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
- Principal office phone
- 214-443-0571reportedpublic record, Form ADV, Jan 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
- $186Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026