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
A••••••• W••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 8, 2022 · 8 filings
SEC status approved since Jul 8, 2022
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.4%
$3.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$230M as of Mar 26, 2026
Mar 24, 2023$167M then
HNW client RAUM$3.2M as of Mar 26, 2026
Mar 24, 2023$3.3M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 24, 20231 then
Employees (5.A)3 as of Mar 26, 2026
Mar 24, 20233 then
Private funds2 as of Mar 26, 2026
Mar 24, 20232 then
RAUM +2.6% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $228,368derivedHNW RAUM over HNW clients
- Average account
- $5.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$227M99%
- High-net-worth individuals$3.2M1.4%
- Individual clients
- n/areported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 39reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 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 |
|---|---|---|---|---|
| M••• C•••• H••••••Certified Financial Planner | Dallas, Tx | May 11, 2012 | 14 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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• S••••• G••••• F•••• L• | Other Private Fund | $114M | 80 | Jun 8, 2022 |
| A••••••• S••••• I••••• F•••• L• | Other Private Fund | $85.0M | 93 | Jun 8, 2022 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• M•••• C•••• · Managing Member/President/Ccocontrolsince 02/2012 · 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 · 37 to 39Aug 15, 2025 to Mar 26, 2026
- Discretionary RAUM · $224M to $230MAug 15, 2025 to Mar 26, 2026
- HNW RAUM · $3.5M to $3.2MAug 15, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $221M to $227MAug 15, 2025 to Mar 26, 2026
- RAUM · $224M to $230MAug 15, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to Aug 15, 2025
- HNW clients · 13 to 14Jan 15, 2025 to Mar 26, 2025
- Discretionary RAUM · $202M to $224MJan 15, 2025 to Mar 26, 2025
- HNW RAUM · $3.0M to $3.5MJan 15, 2025 to Mar 26, 2025
- Pooled vehicle RAUM · $199M to $221MJan 15, 2025 to Mar 26, 2025
- RAUM · $202M to $224MJan 15, 2025 to Mar 26, 2025
- Discretionary RAUM · $167M to $202MMar 24, 2023 to Mar 27, 2024
- HNW RAUM · $3.3M to $3.0MMar 24, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $164M to $199MMar 24, 2023 to Mar 27, 2024
- RAUM · $167M to $202MMar 24, 2023 to Mar 27, 2024
- Accounts · 34 to 37Jun 8, 2022 to Mar 24, 2023
- HNW clients · 12 to 13Jun 8, 2022 to Mar 24, 2023
- Discretionary RAUM · $137M to $167MJun 8, 2022 to Mar 24, 2023
- HNW RAUM · $3.3M to $3.3MJun 8, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $133M to $164MJun 8, 2022 to Mar 24, 2023
- RAUM · $137M to $167MJun 8, 2022 to Mar 24, 2023
Signals
1 dated events
- A••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••• W••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- A•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-810-0250reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026