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
M••••• W••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 10, 2014 · 18 filings
SEC status approved since Feb 24, 2014
RAUM
$707M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$672M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$70.7M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$707M as of Mar 27, 2026
Mar 21, 2014$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 27, 2026
Mar 21, 20142 then
Employees (5.A)13 as of Mar 27, 2026
Mar 21, 20145 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $70.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $707MreportedItem 5.I
- Custody
- $406M, 113 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$672M95%
- Pension and profit-sharing plans$35.0M4.9%
- Individual clients
- 480reported
- HNW clients
- n/areported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 502reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $406M for 113 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• R••••• M•••••Certified Financial Planner | Houston, Tx | Aug 31, 2012 | 25 y | 1 |
| Z•••••• H••••• W•••••• | Houston, Tx | Apr 17, 2017 | 12 y | 0 |
| E••••• J••• L•••• | Houston, Tx | Apr 19, 2017 | 11 y | 0 |
| C••••• B•••••••• | Houston, Tx | May 10, 2021 | 15 y | 0 |
| M•••••• S•••• B••••••• | Houston, Tx | Nov 2, 2022 | 14 y | 0 |
| D•••• A•••• B•••••• | Houston, Tx | Apr 29, 2024 | 12 y | 0 |
| T••• T• H• | Houston, Tx | Jun 28, 2024 | 15 y | 1 |
| H•••• K••• M••• L• | Houston, Tx | Jul 9, 2025 | 12 y | 0 |
| D••••• R•••• F••••• | Houston, Tx | Dec 8, 2025 | 11 y | 0 |
| D•••• W•••••• | Houston, Tx | Feb 24, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- J•••• S• V•••••••• to G•••••• H••••• A•••••••• I•••Jul 31, 2025 · RIA to RIA
- J•••• A•••••• S•••••• to F••••• I•••••••••May 23, 2025 · RIA to RIA
- J••••• C•••••••• J••••• to A••••••••• L•••Feb 6, 2023 · Other
- E•••• A• F••••• to E•••••••May 16, 2019 · RIA to RIA
- H••••• B•••• L•••• to T•• W••••• M••••••••• L••Apr 30, 2019 · RIA to RIA
Joined, latest
- D•••• W•••••• from T•• G•••• L••Feb 24, 2026 · Other
- T••• T• H• from M•• I•••••••• S•••••••• L••Jun 28, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• A•••••• S•••••• from F•••••••• S••••••••Jun 16, 2023 · RIA to RIA
- C••••••••• R••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 31, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••••••• R••••• · Managing Member / Chief Compliance Officercontrolsince 08/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-30, yes on the filing of 2026-03-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 479 to 502Oct 30, 2025 to Mar 27, 2026
- Advisory employees · 7 to 8Oct 30, 2025 to Mar 27, 2026
- Individual clients · 458 to 480Oct 30, 2025 to Mar 27, 2026
- Pension plan clients · 20 to 22Oct 30, 2025 to Mar 27, 2026
- Assets in custody · unset to 406403074.0Oct 30, 2025 to Mar 27, 2026
- Custody of client assets · false to trueOct 30, 2025 to Mar 27, 2026
- Employees · 12 to 13Oct 30, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 101-250Oct 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $608M to $707MOct 30, 2025 to Mar 27, 2026
- Individual RAUM · $567M to $672MOct 30, 2025 to Mar 27, 2026
- Pension RAUM · $40.5M to $35.0MOct 30, 2025 to Mar 27, 2026
- RAUM · $608M to $707MOct 30, 2025 to Mar 27, 2026
- Accounts · 437 to 479Oct 7, 2024 to Apr 2, 2025
- Advisory employees · 6 to 7Oct 7, 2024 to Apr 2, 2025
- Individual clients · 412 to 458Oct 7, 2024 to Apr 2, 2025
- Pension plan clients · 24 to 20Oct 7, 2024 to Apr 2, 2025
- Employees · 10 to 12Oct 7, 2024 to Apr 2, 2025
- Financial planning clients · 11-25 to 11-25Oct 7, 2024 to Apr 2, 2025
- State-registered IARs · 6 to 7Oct 7, 2024 to Apr 2, 2025
- Discretionary RAUM · $513M to $608MOct 7, 2024 to Apr 2, 2025
- Individual RAUM · $480M to $567MOct 7, 2024 to Apr 2, 2025
- Pension RAUM · $32.8M to $40.5MOct 7, 2024 to Apr 2, 2025
- RAUM · $513M to $608MOct 7, 2024 to Apr 2, 2025
- Accounts · 405 to 437Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 15.0 to unsetMar 30, 2023 to Mar 27, 2024
- Individual clients · 366 to 412Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 20 to 24Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $426M to $513MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $385M to $480MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $21.0M to $32.8MMar 30, 2023 to Mar 27, 2024
- RAUM · $426M to $513MMar 30, 2023 to Mar 27, 2024
- Accounts · 373 to 405Mar 22, 2022 to Mar 30, 2023
- Individual clients · 338 to 366Mar 22, 2022 to Mar 30, 2023
- Employees · 9 to 10Mar 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $396M to $426MMar 22, 2022 to Mar 30, 2023
- Individual RAUM · $354M to $385MMar 22, 2022 to Mar 30, 2023
- RAUM · $396M to $426MMar 22, 2022 to Mar 30, 2023
- Accounts · 322 to 373Apr 13, 2021 to Mar 22, 2022
- Advisory employees · 5 to 6Apr 13, 2021 to Mar 22, 2022
- Individual clients · 287 to 338Apr 13, 2021 to Mar 22, 2022
Signals
4 dated events
- J•••• S• V•••••••• left M••••• W••••• M••••••••• L•• for G•••••• H••••• A•••••••• I••• (registered 2026-02-11)Jul 31, 2025 · Advisor changed firm · fact
- J•••• A•••••• S•••••• left M••••• W••••• M••••••••• L•• for F••••• I••••••••• (registered 2025-09-16)May 23, 2025 · Advisor changed firm · fact
- J••••• C•••••••• J••••• left M••••• W••••• M••••••••• L•• for A••••••••• L••• (registered 2023-03-06)Feb 6, 2023 · Advisor changed firm · fact
- M••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2014 · 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
- Business email
- a••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-581-1994reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M•••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- M•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (713) 581-1994reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- m•••••••••.comreportedpublished 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
- $70.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026