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
S••••••••• A•••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Sep 16, 2024 · 5 filings
SEC status approved since Oct 16, 2024
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$18.1M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$127M as of Mar 19, 2026
Mar 18, 2025$119M then
HNW client RAUM$44.4M as of Mar 19, 2026
Mar 18, 2025$40.3M then
State-registered IARs (5.B.3)7 as of Mar 19, 2026
Mar 18, 20255 then
Employees (5.A)9 as of Mar 19, 2026
Mar 18, 20259 then
Private funds: no history
RAUM +6.7% over the last fiscal yearIARs 5 to 7offices 4 to 2
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $18.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $837,101derivedHNW RAUM over HNW clients
- Average account
- $145,628derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- Individuals$81.9M65%
- High-net-worth individuals$44.4M35%
- Corporations and businesses$447,8730.4%
- Individual clients
- 561reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 870reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• H•••••• F••••••••• | Austin, Tx | Mar 8, 2013 | 14 y | 0 |
| L•••• F• R••••••Certified Financial Planner | Austin, Tx | Aug 15, 2013 | 19 y | 2 |
| R•••• P••••• L••••••••• | Austin, Tx | Jan 28, 2019 | 33 y | 3 |
| W•••••• T••••• H•••••• | Austin, Tx | Oct 15, 2020 | 39 y | 2 |
| C••• M•••••• K••••• | Austin, Tx | Jun 11, 2025 | 16 y | 1 |
| H•••••• D••••• J•••••• | Austin, Tx | Oct 2, 2025 | 10 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 headcount1 left over 36 months
Left, latest
- J••• L•• H••••••• to F••••• I•••••••••Mar 1, 2024 · RIA to RIA
Joined, latest
- C••• M•••••• K••••• from I••••••••• P•••••• W•••••• L••Jun 11, 2025 · RIA to RIA
- W•••••• T••••• H•••••• from T•••••• M•••• M••••••••• I•••Oct 15, 2020 · Other
- R•••• P••••• L••••••••• from C•••••• A•••••••Jan 28, 2019 · Affiliated broker-dealer or bank to independent RIA
- L•••• F• R•••••• from L•••••• I•••••••••Aug 15, 2013 · Other
- R••• C•••••• R•••••• from L•••••• I•••••••••May 4, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• R•••• C•••••• · Managing Member/Chief Compliance Officercontrolsince 03/2012 · owns 75% or more
Related persons
Schedule D 7.A
- R••• C• R••••••real estatey
- S••••••••• A••• F•••• L•pooled vehicle sponsory
- S••••••••• C••••••• L••banky
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 7 | 1 | 0 | ||
| Sandy Springs, Ga | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count dropChange between filings · filing Mar 19, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-03-18 and 2026-03-19; the peer median change was 0.0% (450 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 897 to 870May 30, 2025 to Mar 19, 2026
- Advisory employees · 5 to 7May 30, 2025 to Mar 19, 2026
- HNW clients · 51 to 53May 30, 2025 to Mar 19, 2026
- Individual clients · 512 to 561May 30, 2025 to Mar 19, 2026
- State-registered IARs · 5 to 7May 30, 2025 to Mar 19, 2026
- Discretionary RAUM · $119M to $127MMay 30, 2025 to Mar 19, 2026
- HNW RAUM · $40.3M to $44.4MMay 30, 2025 to Mar 19, 2026
- Individual RAUM · $77.8M to $81.9MMay 30, 2025 to Mar 19, 2026
- RAUM · $119M to $127MMay 30, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 1-10Mar 18, 2025 to May 30, 2025
- Other offices · 4 to 2Mar 18, 2025 to May 30, 2025
- Accounts · 905 to 897Dec 26, 2024 to Mar 18, 2025
- Advisory employees · 6 to 5Dec 26, 2024 to Mar 18, 2025
- Corporate clients · 5.0 to unsetDec 26, 2024 to Mar 18, 2025
- HNW clients · 54 to 51Dec 26, 2024 to Mar 18, 2025
- Individual clients · 521 to 512Dec 26, 2024 to Mar 18, 2025
- Financial planning clients · 11-25 to 1-10Dec 26, 2024 to Mar 18, 2025
- State-registered IARs · 6 to 5Dec 26, 2024 to Mar 18, 2025
- Other offices · 6 to 4Dec 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $108M to $119MDec 26, 2024 to Mar 18, 2025
- HNW RAUM · $36.0M to $40.3MDec 26, 2024 to Mar 18, 2025
- Individual RAUM · $71.9M to $77.8MDec 26, 2024 to Mar 18, 2025
- RAUM · $108M to $119MDec 26, 2024 to Mar 18, 2025
- Other offices · 4 to 6Sep 16, 2024 to Dec 26, 2024
Signals
2 dated events
- S••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 16, 2024 · First SEC registration · fact
- J••• L•• H••••••• left S••••••••• A•••• M••••••••• L•• for F••••• I••••••••• (registered 2024-08-12)Mar 1, 2024 · 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
- 512-524-9101reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-434-1427reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/shadowridge-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••••••INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-434-1427reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- shadowridgeinvest.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- shadowridgeinvest.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $18.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026