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
W••••••••• A•••••••• L••
Latest filing Mar 14, 2026
First filing on the tape Jan 17, 2014 · 29 filings
SEC status approved since Feb 3, 2014
RAUM
$724M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$724M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$80.4M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$724M as of Mar 14, 2026
Mar 31, 2014$145M then
HNW client RAUM$469M as of Mar 14, 2026
Mar 6, 2018$285M then
State-registered IARs (5.B.3)8 as of Mar 14, 2026
Mar 31, 20146 then
Employees (5.A)8 as of Mar 14, 2026
Mar 31, 201412 then
Private funds: no history
RAUM -8.6% over the last fiscal year+5.9% a year over threeIARs 10 to 8offices 4 to 2
Practice profile
derived from the filing of Mar 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- i••••••••• 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
- $80.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $396,498derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -36%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $724MreportedItem 5.I
- Custody
- yesreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$469M65%
- Individuals$254M35%
- Individual clients
- 222reported
- HNW clients
- 231reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,825reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $0 for 0 clientsreported
- 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=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R••••• W•••Certified Financial Planner | Plano, Tx | Apr 8, 2013 | 29 y | 5 |
| M•••••• M•••••••• | Plano, Tx | Apr 26, 2013 | 22 y | 8 |
| S•••• A••• S•••••••Certified Financial Planner | Plano, Tx | Apr 30, 2013 | 29 y | 6 |
| E••• L•••• W••• | Plano, Tx | May 13, 2013 | 28 y | 5 |
| J•••• A••• D••••••• | Plano, Tx | May 13, 2013 | 24 y | 5 |
| H••••• T•• C••• | Plano, Tx | Nov 18, 2013 | 24 y | 6 |
| E••••• O•••• C•••••• | Mckinney, Tx | Dec 10, 2013 | 27 y | 3 |
| T••• K•• | Mckinney, Tx | Jan 9, 2015 | 26 y | 1 |
| R•••••• C•••••• S•••••••Certified Financial Planner | Plano, Tx | Jul 16, 2021 | 33 y | 3 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 22% of current headcount2 left over 36 months
Left, latest
- E••• E••••• W•••• to S••••••••• F••••••••• I••Feb 3, 2026 · RIA to a newly registered adviser
- B•••••• J• B••••••• to S••••••••• F••••••••• I••Feb 3, 2026 · RIA to a newly registered adviser
- G••• J••••• S•••••••• to A•••• W••••• A•••••••• L••Oct 6, 2014 · Other
Joined, latest
- R•••••• C•••••• S••••••• from S••Jul 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••• E••••• W•••• from A••••••••• F•••••••• S•••••••• L••Nov 17, 2016 · Other
- T••• K•• from A••••••••• F•••••••• S•••••••• L••Jan 9, 2015 · Other
- G••• J••••• S•••••••• from V•••• W••••• M••••••••• L••Jan 30, 2014 · Other
- E••••• O•••• C•••••• from I••••••••• F•••••••• P•••••••Dec 10, 2013 · Other
- H••••• T•• C••• from I••••••••• F•••••••• P•••••••Nov 18, 2013 · Other
- J•••• A••• D••••••• from I••••••••• F•••••••• P•••••••May 13, 2013 · Other
- E••• L•••• W••• from I••••••••• F•••••••• P•••••••May 13, 2013 · Other
- S•••• A••• S••••••• from I••••••••• F•••••••• P•••••••Apr 30, 2013 · Other
- M•••••• M•••••••• from I••••••••• F•••••••• P•••••••Apr 26, 2013 · Other
- J•••••• R••••• W••• from I••••••••• F•••••••• P•••••••Apr 8, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••••••••• F••••••••• I••Feb 3, 2026 · Mckinney, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J••••• A••• · Chief Compliance Officercontrolsince 07/2014 · owns less than 5%
- S•••••••• S••••• A••• · Managing Membercontrolsince 01/2013 · owns 25% to 50%
- W•••• J••••••• R••••• · Managing Membercontrolsince 01/2013 · owns 25% to 50%
- W•••• E•••• L•••• · Managing Membercontrolsince 01/2013 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 7 | 0 | 1 | 1 | |
| Mckinney, Tx | 2 | 0 | 0 | ||
| Mckininey, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Mckinney, TX3 employees
- Mckinney, TX3 employees
- Lenexa, KS1 employees
- Plano, TX1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 14, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $791,461,816 to $723,608,845, advisors 10 to 8, private clients 712 to 453, offices 4 to 2 (2025-03-26 to 2026-03-14)peers: WEALTH_I•••••••••, $500M to $1B (1,482)
- client count collapseChange between filings · filing Mar 14, 2026individual and HNW clients (Item 5.D) moved from 712.0 to 453.0 (-36.0%) between the annual amendments of 2025-03-26 and 2026-03-14; the peer median change was +5.0% (1216 comparable advisers, 3.0th percentile of changes)peers: WEALTH_I•••••••••, $500M to $1B (1,216) · 2.6% percentile
- office count dropChange between filings · filing Mar 14, 2026offices other than the principal office (Item 1.F.5) moved from 4.0 to 2.0 (-50.0%) between the annual amendments of 2025-03-26 and 2026-03-14; the peer median change was 0.0% (233 comparable advisers, 2.0th percentile of changes)peers: WEALTH_I•••••••••, $500M to $1B (233) · 2.2% percentile
What changed
consecutive filings, newest first
- Accounts · 2,571 to 1,825Mar 26, 2025 to Mar 14, 2026
- Advisory employees · 10 to 8Mar 26, 2025 to Mar 14, 2026
- HNW clients · 235 to 231Mar 26, 2025 to Mar 14, 2026
- Individual clients · 477 to 222Mar 26, 2025 to Mar 14, 2026
- Assets in custody · $494M to $0Mar 26, 2025 to Mar 14, 2026
- Employees · 10 to 8Mar 26, 2025 to Mar 14, 2026
- State-registered IARs · 10 to 8Mar 26, 2025 to Mar 14, 2026
- Other offices · 4 to 2Mar 26, 2025 to Mar 14, 2026
- Discretionary RAUM · $791M to $724MMar 26, 2025 to Mar 14, 2026
- HNW RAUM · $466M to $469MMar 26, 2025 to Mar 14, 2026
- Individual RAUM · $326M to $254MMar 26, 2025 to Mar 14, 2026
- RAUM · $791M to $724MMar 26, 2025 to Mar 14, 2026
- HNW clients · 304 to 235Jan 13, 2025 to Mar 26, 2025
- Individual clients · 203 to 477Jan 13, 2025 to Mar 26, 2025
- Assets in custody · $30.4M to $494MJan 13, 2025 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Jan 13, 2025 to Mar 26, 2025
- Discretionary RAUM · $671M to $791MJan 13, 2025 to Mar 26, 2025
- HNW RAUM · $523M to $466MJan 13, 2025 to Mar 26, 2025
- Individual RAUM · $149M to $326MJan 13, 2025 to Mar 26, 2025
- RAUM · $671M to $791MJan 13, 2025 to Mar 26, 2025
- Wrap assets (manager) · $615M to $0Jan 13, 2025 to Mar 26, 2025
- Wrap assets (sponsor) · $615M to $0Jan 13, 2025 to Mar 26, 2025
- Accounts · 2,643 to 2,571Jan 27, 2023 to Feb 29, 2024
- Advisory employees · 11 to 10Jan 27, 2023 to Feb 29, 2024
- Advisory activities · 2 to 3Jan 27, 2023 to Feb 29, 2024
- HNW clients · 219 to 304Jan 27, 2023 to Feb 29, 2024
- Individual clients · 523 to 203Jan 27, 2023 to Feb 29, 2024
- Assets in custody · $2.7M to $30.4MJan 27, 2023 to Feb 29, 2024
- Employees · 14 to 10Jan 27, 2023 to Feb 29, 2024
- State-registered IARs · 11 to 10Jan 27, 2023 to Feb 29, 2024
- Other offices · 2 to 4Jan 27, 2023 to Feb 29, 2024
- Discretionary RAUM · $609M to $671MJan 27, 2023 to Feb 29, 2024
- HNW RAUM · $459M to $523MJan 27, 2023 to Feb 29, 2024
- Individual RAUM · $150M to $149MJan 27, 2023 to Feb 29, 2024
- RAUM · $609M to $671MJan 27, 2023 to Feb 29, 2024
- Wrap assets (manager) · $565M to $615MJan 27, 2023 to Feb 29, 2024
- Wrap assets (sponsor) · $565M to $615MJan 27, 2023 to Feb 29, 2024
- Accounts · 2,482 to 2,643Mar 24, 2022 to Jan 20, 2023
- HNW clients · 211 to 219Mar 24, 2022 to Jan 20, 2023
- Individual clients · 466 to 523Mar 24, 2022 to Jan 20, 2023
Signals
5 dated events
- B•••••• J• B••••••• left W••••••••• A•••••••• L•• for S••••••••• F••••••••• I•• (registered 2025-06-30)Feb 3, 2026 · Advisor changed firm · fact
- E••• E••••• W•••• left W••••••••• A•••••••• L•• for S••••••••• F••••••••• I•• (registered 2025-06-27)Feb 3, 2026 · Advisor changed firm · fact
- 2 advisors left W••••••••• A•••••••• L•• (Plano, TX) for S••••••••• F••••••••• I•• on the same dayFeb 3, 2026 · Team lift-out · derived
- W••••••••• A•••••••• L•• reported RAUM $717.6M, up 33% from $539.2M (2021-07-13 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- W••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 17, 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 phone
- 945-333-0333reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-372-2890reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-372-2930reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wealthstar-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-372-2935reportedpublic record, Form ADV, Mar 14, 2026
- Team page
- WEALTHSTARADVISORS.COM/team.htmreportedpublished by the firm, firm site, Sep 15, 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
- $80.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026