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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Former SEC-registered adviser

S••••••••• W••••• M••••••••• I•••

Former SEC-registered adviserCorpus Christi, TexasCRD 164953SEC 801-112490IAPD
Latest filing Mar 23, 2022
First filing on the tape Jan 23, 2018 · 14 filings
RAUM
$33.4M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
67%
$22.3M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$5.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$33.4M as of Mar 22, 2022
Feb 6, 2019$108M then
HNW client RAUM$0 as of Mar 22, 2022
Feb 6, 2019$0 then
State-registered IARs (5.B.3)4 as of Mar 22, 2022
Feb 6, 20196 then
Employees (5.A)4 as of Mar 22, 2022
Feb 6, 20197 then
Private funds: no history
RAUM -74% over the last fiscal year-32% a year over threeIARs 7 to 4
Practice profile
derived from the filing of Mar 23, 2022; every figure names its basis
RAUM per advisor
$5.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
67derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$81,618derivedRAUM over accounts (5.F.2.f)
Discretionary
67%derivedof RAUM
Institutional
33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-74%derivedbetween the last two annual amendments
Advisor growth, one year
-43%derivedItem 5.B.3 between annual amendments
Client growth, one year
+34%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$22.3M67%
  • Pension and profit-sharing plans$11.1M33%
Individual clients
404reported
HNW clients
0reported
Pension plan clients
5reported
Charitable clients
0reported
Accounts
409reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
6 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• R•• S••••Corpus Christi, TxJun 15, 202225 y5
R••• E••••• H•••••Corpus Christi, TxAug 30, 202216 y1
H••• N• G••••Corpus Christi, TxAug 30, 202210 y1
E•••••• C•••••Corpus Christi, TxAug 30, 202217 y1
J••••••• V•••••Corpus Christi, Tx Dec 6, 202314 y0
M•••••• J• B•••••Corpus Christi, TxJul 3, 202420 y2
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••• M••••••• R•• · President - Ccocontrol
    since 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
  • S••••••••• G••••• I•••
    insurancereal estatey
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Corpus Christi, Tx · principal600
Offices
Schedule D 1.F, the 25 largest
  • Corpus Christi, TX1 employees
What changed
consecutive filings, newest first
  • Accounts · 348 to 409
    Mar 15, 2021 to Mar 22, 2022
  • Advisory employees · 7 to 3
    Mar 15, 2021 to Mar 22, 2022
  • Individual clients · 301 to 404
    Mar 15, 2021 to Mar 22, 2022
  • Pension plan clients · 49 to 5
    Mar 15, 2021 to Mar 22, 2022
  • Employees · 8 to 4
    Mar 15, 2021 to Mar 22, 2022
  • State-registered IARs · 7 to 4
    Mar 15, 2021 to Mar 22, 2022
  • Discretionary RAUM · $17.2M to $22.3M
    Mar 15, 2021 to Mar 22, 2022
  • Individual RAUM · $17.2M to $22.3M
    Mar 15, 2021 to Mar 22, 2022
  • Non-discretionary RAUM · $111M to $11.1M
    Mar 15, 2021 to Mar 22, 2022
  • Pension RAUM · $111M to $11.1M
    Mar 15, 2021 to Mar 22, 2022
  • RAUM · $128M to $33.4M
    Mar 15, 2021 to Mar 22, 2022
  • Accounts · 373 to 348
    May 21, 2020 to Mar 15, 2021
  • Individual clients · 333 to 301
    May 21, 2020 to Mar 15, 2021
  • Pension plan clients · 40 to 49
    May 21, 2020 to Mar 15, 2021
  • Financial planning clients · 26-50 to 1-10
    May 21, 2020 to Mar 15, 2021
  • Discretionary RAUM · $106M to $17.2M
    May 21, 2020 to Mar 15, 2021
  • Individual RAUM · $29.7M to $17.2M
    May 21, 2020 to Mar 15, 2021
  • Non-discretionary RAUM · $0 to $111M
    May 21, 2020 to Mar 15, 2021
  • Pension RAUM · $76.2M to $111M
    May 21, 2020 to Mar 15, 2021
  • RAUM · $106M to $128M
    May 21, 2020 to Mar 15, 2021
  • Advisory employees · 6 to 7
    Feb 13, 2020 to Feb 28, 2020
  • Employees · 7 to 8
    Feb 13, 2020 to Feb 28, 2020
  • State-registered IARs · 6 to 7
    Feb 13, 2020 to Feb 28, 2020
  • Accounts · 684 to 373
    Jan 29, 2020 to Feb 13, 2020
  • Individual clients · 395 to 333
    Jan 29, 2020 to Feb 13, 2020
  • Pension plan clients · 26 to 40
    Jan 29, 2020 to Feb 13, 2020
  • Discretionary RAUM · $108M to $106M
    Jan 29, 2020 to Feb 13, 2020
  • Individual RAUM · $26.2M to $29.7M
    Jan 29, 2020 to Feb 13, 2020
  • Pension RAUM · $82.1M to $76.2M
    Jan 29, 2020 to Feb 13, 2020
  • RAUM · $108M to $106M
    Jan 29, 2020 to Feb 13, 2020
  • Advisory employees · 5 to 6
    Dec 6, 2019 to Jan 29, 2020
  • Employees · 6 to 7
    Dec 6, 2019 to Jan 29, 2020
  • State-registered IARs · 5 to 6
    Dec 6, 2019 to Jan 29, 2020
  • Advisory employees · 6 to 5
    Feb 6, 2019 to Oct 4, 2019
  • Employees · 7 to 6
    Feb 6, 2019 to Oct 4, 2019
  • State-registered IARs · 6 to 5
    Feb 6, 2019 to Oct 4, 2019
  • Accounts · 1,947 to 684
    Nov 5, 2018 to Feb 6, 2019
  • Individual clients · 351 to 395
    Nov 5, 2018 to Feb 6, 2019
  • Pension plan clients · 1,596 to 26
    Nov 5, 2018 to Feb 6, 2019
  • Financial planning clients · 251-500 to 26-50
    Nov 5, 2018 to Feb 6, 2019
Signals
5 dated events
  • N••••••• A•••••••• M•••• left S••••••••• W••••• M••••••••• I••• for I•••••• W••••• (registered 2020-01-15)
    Mar 23, 2022 · Advisor changed firm · fact
  • T••••• K•••• B•••••••• left S••••••••• W••••• M••••••••• I••• for I•••••• W••••• (registered 2020-06-18)
    Mar 23, 2022 · Advisor changed firm · fact
  • K•••• A•• M•••••• left S••••••••• W••••• M••••••••• I••• for I••••••• S••••••••• L•• (registered 2019-05-14)
    Mar 23, 2022 · Advisor changed firm · fact
  • 2 advisors left S••••••••• W••••• M••••••••• I••• (Cedar Park, TX) for I•••••• W••••• on the same day
    Mar 23, 2022 · Team lift-out · derived
  • S••••••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
    Jan 23, 2018 · 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
Website
S•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$5.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026