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••••• A•••••••
Legal name M••••• A••••••• L••
Latest filing Jul 24, 2026
First filing on the tape May 29, 2015 · 22 filings
SEC status approved since Jun 10, 2015
RAUM
$581M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$561M individuals and HNW
Advisors
22
registered through the firm on IAPD
RAUM per advisor
$26.4M
derived; firm RAUM over IAPD count
Employees
27
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$581M as of Jul 24, 2026
Feb 26, 2016$117M then
HNW client RAUM$560M as of Jul 24, 2026
Mar 29, 2018$233M then
State-registered IARs (5.B.3)23 as of Jul 24, 2026
Feb 26, 20166 then
Employees (5.A)27 as of Jul 24, 2026
Feb 26, 20167 then
Private funds: no history
RAUM +16% over the last fiscal year+18% a year over threeIARs 16 to 23
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $26.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 22.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +44%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $106M, 84 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$560M97%
- Charitable organizations$19.1M3.3%
- Individuals$1.2M0.2%
- Individual clients
- 7reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 275reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $106M for 84 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
22 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• S••••• K•••••Certified Financial Planner | Houston, Tx | Sep 27, 2012 | 21 y | 4 |
| B•••••• R••• H•••• | Houston, Tx | Sep 28, 2012 | 21 y | 7 |
| J•• L•• G•••••••Certified Financial Planner | Houston, Tx | Oct 12, 2012 | 44 y | 5 |
| L•••• H••••Certified Financial Planner | Houston, Tx | Feb 20, 2014 | 14 y | 0 |
| R••• L••••••• G•••••••••Chartered Financial Analyst | Houston, Tx | Jun 17, 2022 | 12 y | 1 |
| K••••• V••••• D•••••••••Certified Financial Planner | Houston, Tx | Nov 28, 2022 | 12 y | 0 |
| J•• M•••••• S•••••••Certified Financial Planner | Houston, Tx | Jun 13, 2023 | 19 y | 3 |
| A•• C••••••• T•••••••• | Houston, Tx | Jun 29, 2023 | 12 y | 1 |
| A•••• E••••• H•••Certified Financial Planner | Houston, Tx | Jul 3, 2023 | 11 y | 0 |
| E••• A•••••• H••••••••Certified Financial Planner | Houston, Tx | Apr 25, 2024 | 12 y | 1 |
| R•••••• E••• M•••• | Houston, Tx | Aug 1, 2024 | 14 y | 0 |
| K•••••• N••••• H•••••••••Certified Financial Planner | Houston, Tx | Oct 1, 2024 | 10 y | 2 |
| M•••• L•••••• A•••••••• | Houston, Tx | May 16, 2025 | 10 y | 0 |
| R••• W•••••• T••••••• | Houston, Tx | Jun 23, 2025 | 10 y | 0 |
| N••••••• D•••• P••••• | Houston, Tx | Jun 25, 2025 | 11 y | 1 |
| J••• L••• N••••• | Houston, Tx | Jul 21, 2025 | 11 y | 0 |
| A•••• H••••• M•••••••• | Houston, Tx | Aug 16, 2025 | 10 y | 0 |
| M•••••• D••Chartered Financial Analyst | Houston, Tx | Sep 10, 2025 | 20 y | 1 |
| A•••• P•••• | Houston, Tx | Jun 8, 2026 | 12 y | 0 |
| G•••••• M•••••• | Houston, Tx | Jun 22, 2026 | 10 y | 0 |
| H•••• V••••• M•••• | Houston, Tx | Jul 30, 2026 | 12 y | 0 |
| N••••• F•••••• | Houston, Tx | Aug 1, 2026 | 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 headcount2 left over 36 months
Left, latest
- G•••••••• M•••• Z••••• to K••••• A••••••• S•••••••• L••Oct 8, 2024 · RIA to affiliated broker-dealer or bank
- M••••• Y••••• M••••• to P••• O•• P•••••• W••••• A•••••••Mar 29, 2024 · RIA to RIA
- E••• L•• P•••• to R•• R•••••••• L••May 12, 2023 · RIA to affiliated broker-dealer or bank
- R••••• C•••••• L••••• to M••••• L••• C•••••• L••Jul 22, 2021 · RIA to a state-registered adviser
- C••••••••• P••••• to O•• H•••••• I••••••••• S•••••••Oct 19, 2017 · Other
Joined, latest
- M•••••• D•• from C•••• P•••••••••Sep 10, 2025 · Other
- N••••••• D•••• P••••• from M•• I•••••••• S•••••••• L••Jun 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••••• N••••• H••••••••• from I••••• F••••••••Oct 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- E••• A•••••• H•••••••• from W•••••• F•••••••• A•••••••Apr 25, 2024 · Other
- A•• C••••••• T•••••••• from A••••••••• L••Jun 29, 2023 · RIA to RIA
- J•• M•••••• S••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jun 13, 2023 · Affiliated broker-dealer or bank to independent RIA
- R••• L••••••• G••••••••• from S•••••• C•••••• A•••••••• L••Jun 17, 2022 · Other
- E••• L•• P•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 6, 2021 · Wirehouse to independent RIA
- R••••• C•••••• L••••• from P•••••• W••••• M••••••••• I•••Apr 9, 2021 · RIA to RIA
- G•••••••• M•••• Z••••• from A••••••••• F•••••••• S•••••••• L••Sep 20, 2018 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 29, 2014 · Other
- J•• L•• G••••••• from F•• S••••••••• C•••••••••Oct 12, 2012 · Other
- B•••••• R••• H•••• from F•• S••••••••• C•••••••••Sep 28, 2012 · Other
- C•••• S••••• K••••• from F•• S••••••••• C•••••••••Sep 27, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from F•• S••••••••• C•••••••••Mar 31, 2015 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• B••••••• R••• · Partnercontrolsince 06/2012 · owns less than 5%
- K•••••• C••••• S••••• · Partner And Chief Compliance Officercontrolsince 06/2012 · owns less than 5%
- H••••• B••••••• R••• · Partnercontrolsince 06/2012 · owns 75% or more of A••••••• H•••••••
- K•••••• C••••• S••••• · Partnercontrolsince 06/2012 · owns 25% to 50% of M••••• W••••• P•••••••• L••
Entity owners
- M••••• W••••• P•••••••• L•• · Managing Memberdirect · owns 75% or more
- A••••••• H••••••• · Ownerindirect · owns 25% to 50% of M••••• W••••• P•••••••• L••
Related persons
Schedule D 7.A
- M••••• I•••••••• A••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 22 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 1 to 0Apr 2, 2026 to Jul 24, 2026
- Accounts · 214 to 275Jun 26, 2025 to Mar 31, 2026
- HNW clients · 57 to 65Jun 26, 2025 to Mar 31, 2026
- Individual clients · 4 to 7Jun 26, 2025 to Mar 31, 2026
- Assets in custody · $142M to $106MJun 26, 2025 to Mar 31, 2026
- Employees · 20 to 27Jun 26, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 51-100Jun 26, 2025 to Mar 31, 2026
- State-registered IARs · 16 to 23Jun 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $491M to $571MJun 26, 2025 to Mar 31, 2026
- HNW RAUM · $480M to $560MJun 26, 2025 to Mar 31, 2026
- Individual RAUM · $961,501 to $1.2MJun 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $8.5M to $9.6MJun 26, 2025 to Mar 31, 2026
- RAUM · $499M to $581MJun 26, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 26-50Apr 2, 2025 to Jun 26, 2025
- Other offices · 0 to 1Apr 2, 2025 to Jun 26, 2025
- Accounts · 150 to 214Mar 29, 2024 to Apr 2, 2025
- Advisory employees · 14 to 16Mar 29, 2024 to Apr 2, 2025
- HNW clients · 40 to 57Mar 29, 2024 to Apr 2, 2025
- Individual clients · 10 to 4Mar 29, 2024 to Apr 2, 2025
- Assets in custody · $121M to $142MMar 29, 2024 to Apr 2, 2025
- Employees · 17 to 20Mar 29, 2024 to Apr 2, 2025
- State-registered IARs · 14 to 16Mar 29, 2024 to Apr 2, 2025
- Discretionary RAUM · $323M to $491MMar 29, 2024 to Apr 2, 2025
- HNW RAUM · $299M to $480MMar 29, 2024 to Apr 2, 2025
- Individual RAUM · $2.7M to $961,501Mar 29, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $2.6M to $8.5MMar 29, 2024 to Apr 2, 2025
- RAUM · $326M to $499MMar 29, 2024 to Apr 2, 2025
- Accounts · 161 to 150Aug 8, 2023 to Mar 29, 2024
- Advisory employees · 7 to 14Aug 8, 2023 to Mar 29, 2024
- HNW clients · 30 to 40Aug 8, 2023 to Mar 29, 2024
- Assets in custody · $106M to $121MAug 8, 2023 to Mar 29, 2024
- Employees · 14 to 17Aug 8, 2023 to Mar 29, 2024
- Financial planning clients · 51-100 to 26-50Aug 8, 2023 to Mar 29, 2024
- State-registered IARs · 10 to 14Aug 8, 2023 to Mar 29, 2024
- Discretionary RAUM · $334M to $323MAug 8, 2023 to Mar 29, 2024
- HNW RAUM · $340M to $299MAug 8, 2023 to Mar 29, 2024
- Individual RAUM · $3.5M to $2.7MAug 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $18.7M to $2.6MAug 8, 2023 to Mar 29, 2024
- RAUM · $353M to $326MAug 8, 2023 to Mar 29, 2024
- Accounts · 169 to 161Mar 9, 2022 to Mar 27, 2023
Signals
6 dated events
- M••••• A••••••• reported RAUM $499.4M, up 53% from $325.6M (2024-03-29 to 2025-04-02)Apr 2, 2025 · RAUM change · derived
- G•••••••• M•••• Z••••• left M••••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2025-06-16)Oct 8, 2024 · Advisor changed firm · fact
- M••••• Y••••• M••••• left M••••• A••••••• for P••• O•• P•••••• W••••• A••••••• (registered 2024-04-04)Mar 29, 2024 · Advisor changed firm · fact
- Lee Jay Goldberg (Managing Partner) no longer on Schedule A of M••••• A••••••• (listed 2023-04-28, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- E••• L•• P•••• left M••••• A••••••• for R•• R•••••••• L•• (registered 2023-06-30)May 12, 2023 · Advisor changed firm · fact
- M••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 29, 2015 · 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 phone
- 713-980-4100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-980-4100reportedpublic record, Form ADV, Jul 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
- $26.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026