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•••••• W••••• M••••••••• L••
Latest filing Aug 24, 2026
First filing on the tape Aug 17, 2012 · 40 filings
SEC status approved since Aug 27, 2012
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$2.0B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$517M
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$2.1B as of Aug 24, 2026
Feb 28, 2013$344M then
HNW client RAUM$2.0B as of Aug 24, 2026
Mar 10, 2018$623M then
State-registered IARs (5.B.3)2 as of Aug 24, 2026
Feb 28, 20131 then
Employees (5.A)12 as of Aug 24, 2026
Feb 28, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+21% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Aug 24, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $517MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.7MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $162M, 37 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B96%
- Charitable organizations$31.1M1.5%
- Individuals$18.1M0.9%
- Pension and profit-sharing plans$17.9M0.9%
- Corporations and businesses$13.7M0.7%
- Individual clients
- 51reported
- HNW clients
- 170reported
- Pension plan clients
- 7reported
- Charitable clients
- 8reported
- Accounts
- 1,214reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $162M for 37 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•• A• B••••••••• | Houston, Tx | Aug 30, 2012 | 41 y | 2 |
| J••••••• M•••• H••••••••• | Houston, Tx | Aug 15, 2024 | 15 y | 0 |
| W•••••• K••• E••••• | Houston, Tx | Feb 5, 2025 | 20 y | 9 |
| G•••••• R••• H•••• | Houston, Tx | Aug 31, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- W• C•••• W•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 2, 2014 · Other
Joined, latest
- G•••••• R••• H•••• from C••••••••• F•••••••• N••••••Aug 31, 2026 · Affiliated broker-dealer or bank to independent RIA
- W•••••• K••• E••••• from S••••••••• W•••••••• P•••••••• L••Feb 5, 2025 · Other
- G•• A• B••••••••• from C•••••• W••••• M•••••••••Aug 30, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• G••• A• · Chief Executive Officercontrolsince 10/2010 · owns less than 5%
- E•••••• W••••••• K••• · Presidentcontrolsince 07/2024 · owns less than 5%
- W••••••• G•••• C• · Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- B••••••••• G••• A• · Ownercontrolsince 09/2009 · owns 75% or more of G•• I••••••••• I•••
Entity owners
- G•• I••••••••• I••• · Managing Memberdirect · owns 75% or more
- N•• C••••••••• T•••• · Memberdirect · owns 5% to 10%
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 | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 24, 2026E•••••• W••••••• K••• (PRESIDENT) appeared on Schedule A between the filings of 2024-03-15 and 2026-08-24peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,114 to 1,214Oct 21, 2025 to Feb 22, 2026
- Advisory employees · 4 to 5Oct 21, 2025 to Feb 22, 2026
- Charity clients · unset to 8.0Oct 21, 2025 to Feb 22, 2026
- HNW clients · 174 to 170Oct 21, 2025 to Feb 22, 2026
- Individual clients · 55 to 51Oct 21, 2025 to Feb 22, 2026
- Pension plan clients · 5 to 7Oct 21, 2025 to Feb 22, 2026
- Assets in custody · $646M to $162MOct 21, 2025 to Feb 22, 2026
- State-registered IARs · 3 to 2Oct 21, 2025 to Feb 22, 2026
- Discretionary RAUM · $1.8B to $2.1BOct 21, 2025 to Feb 22, 2026
- HNW RAUM · $1.7B to $2.0BOct 21, 2025 to Feb 22, 2026
- Individual RAUM · $18.7M to $18.1MOct 21, 2025 to Feb 22, 2026
- Pension RAUM · $9.6M to $17.9MOct 21, 2025 to Feb 22, 2026
- RAUM · $1.8B to $2.1BOct 21, 2025 to Feb 22, 2026
- Accounts · 1,044 to 1,114Mar 16, 2024 to Mar 12, 2025
- HNW clients · 155 to 174Mar 16, 2024 to Mar 12, 2025
- Individual clients · 63 to 55Mar 16, 2024 to Mar 12, 2025
- Assets in custody · $437M to $646MMar 16, 2024 to Mar 12, 2025
- Employees · 9 to 12Mar 16, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 16, 2024 to Mar 12, 2025
- State-registered IARs · 1 to 3Mar 16, 2024 to Mar 12, 2025
- Discretionary RAUM · $1.4B to $1.8BMar 16, 2024 to Mar 12, 2025
- HNW RAUM · $1.4B to $1.7BMar 16, 2024 to Mar 12, 2025
- Individual RAUM · $21.9M to $18.7MMar 16, 2024 to Mar 12, 2025
- Pension RAUM · $11.1M to $9.6MMar 16, 2024 to Mar 12, 2025
- RAUM · $1.4B to $1.8BMar 16, 2024 to Mar 12, 2025
- Accounts · 960 to 1,044Sep 12, 2023 to Mar 15, 2024
- Advisory employees · 5 to 4Sep 12, 2023 to Mar 15, 2024
- HNW clients · 137 to 155Sep 12, 2023 to Mar 15, 2024
- Individual clients · 71 to 63Sep 12, 2023 to Mar 15, 2024
- Assets in custody · $355M to $437MSep 12, 2023 to Mar 15, 2024
- Discretionary RAUM · $1.2B to $1.4BSep 12, 2023 to Mar 15, 2024
- HNW RAUM · $1.1B to $1.4BSep 12, 2023 to Mar 15, 2024
- Individual RAUM · $28.4M to $21.9MSep 12, 2023 to Mar 15, 2024
- Pension RAUM · $8.7M to $11.1MSep 12, 2023 to Mar 15, 2024
- RAUM · $1.2B to $1.4BSep 12, 2023 to Mar 15, 2024
- Accounts · 859 to 960Nov 1, 2022 to Mar 7, 2023
- HNW clients · 125 to 137Nov 1, 2022 to Mar 7, 2023
- Individual clients · 68 to 71Nov 1, 2022 to Mar 7, 2023
- Pension plan clients · unset to 5.0Nov 1, 2022 to Mar 7, 2023
- Assets in custody · $305M to $355MNov 1, 2022 to Mar 7, 2023
Signals
3 dated events
- S•••••• W••••• M••••••••• L•• reported RAUM $1.2B, up 34% from $902.8M (2021-05-06 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- S•••••• W••••• M••••••••• L•• reported RAUM $768.7M, up 27% from $607.4M (2019-01-28 to 2020-03-04)Mar 4, 2020 · RAUM change · derived
- S•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 17, 2012 · 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
- Firm profile
- linkedin.com/company/gil-baumgartenreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/segment-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-800-7150reportedpublic record, Form ADV, Aug 24, 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
- $517Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026