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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W••••••• W••••• M••••••••• L•••••
Latest filing Apr 13, 2026
First filing on the tape Jan 10, 2013 · 29 filings
SEC status approved since Feb 4, 2013
RAUM
$676M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$675M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$676M as of Apr 13, 2026
Feb 13, 2014$160M then
HNW client RAUM$642M as of Apr 13, 2026
Mar 28, 2018$189M then
State-registered IARs (5.B.3)5 as of Apr 13, 2026
Feb 13, 20143 then
Employees (5.A)11 as of Apr 13, 2026
Feb 13, 20144 then
Private funds: no history
RAUM +22% over the last fiscal year+11% a year over threeIARs 2 to 5
Practice profile
derived from the filing of Apr 13, 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
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $629,798derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +150%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $676MreportedItem 5.I
- Custody
- $286M, 377 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$642M95%
- Individuals$32.9M4.9%
- Corporations and businesses$829,6320.1%
- Individual clients
- 15reported
- HNW clients
- 124reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,073reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $286M for 377 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• P••• M••••••Certified Financial Planner, Chartered Financial Consultant | The Woodlands, Tx | Aug 31, 2012 | 31 y | 3 |
| A•••• N••••• J•••• | The Woodlands, Tx | Feb 14, 2024 | 12 y | 1 |
| R••• C••••• K•••Certified Financial Planner | The Woodlands, Tx | Apr 24, 2024 | 13 y | 0 |
| J•••••• L•••• M•••••Certified Financial Planner | The Woodlands, Tx | Feb 11, 2025 | 13 y | 2 |
| D••••• R••••• T•••••••Chartered Financial Analyst | The Woodlands, Tx | Mar 20, 2025 | 15 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 headcount4 left over 36 months
Left, latest
- J••• D••••• C•••••• to A••••• A••••Sep 17, 2024 · RIA to RIA
- D•••• C• M•••••• to O•••• A••••••• S•••••••• L••Apr 15, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• T••••• P•••••• to O•••• A••••••• S•••••••• L••Apr 15, 2024 · RIA to affiliated broker-dealer or bank
- R••••• B••• D•••• to H••••••• W••••• M•••••••••Dec 12, 2023 · RIA to RIA
Joined, latest
- J•••••• L•••• M••••• from G••••••• W••••• P•••••••• L••Feb 11, 2025 · RIA to RIA
- A•••• N••••• J•••• from J••• M••••• S••••••••• L••Feb 14, 2024 · Wirehouse to independent RIA
- M•••••• T••••• P•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jun 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••• D••••• C•••••• from A••••••••• L••Jun 1, 2019 · RIA to RIA
- D•••• C• M•••••• from T••••••• I••••••••• M••••••••• I•••Dec 10, 2013 · Other
- R••••• B••• D•••• from C•••• I••••••••• S••••••• C••••Jan 7, 2013 · Other
- D••••• P••• M•••••• from H••••••• W••••• M•••••••••Aug 31, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••• A••••••• S•••••••• L••Apr 15, 2024 · The Woodlands, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• D•••••• P••• · Managing Member And Chief Compliance Officercontrolsince 07/2012 · 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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 13, 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 $552,789,475 to $675,772,806, advisors 2 to 5, private clients 191 to 139, offices 0 to 0 (2025-02-18 to 2026-04-13)peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 948 to 1,073Feb 18, 2025 to Mar 17, 2026
- Advisory employees · 2 to 4Feb 18, 2025 to Mar 17, 2026
- Corporate clients · unset to 3.0Feb 18, 2025 to Mar 17, 2026
- HNW clients · 55 to 124Feb 18, 2025 to Mar 17, 2026
- Individual clients · 136 to 15Feb 18, 2025 to Mar 17, 2026
- Pension plan clients · 3.0 to unsetFeb 18, 2025 to Mar 17, 2026
- Assets in custody · $247M to $286MFeb 18, 2025 to Mar 17, 2026
- Employees · 10 to 11Feb 18, 2025 to Mar 17, 2026
- Financial planning clients · 101-250 to 11-25Feb 18, 2025 to Mar 17, 2026
- State-registered IARs · 2 to 5Feb 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $530M to $652MFeb 18, 2025 to Mar 17, 2026
- HNW RAUM · $524M to $642MFeb 18, 2025 to Mar 17, 2026
- Individual RAUM · $26.3M to $32.9MFeb 18, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $22.6M to $24.1MFeb 18, 2025 to Mar 17, 2026
- Pension RAUM · 2129634.0 to unsetFeb 18, 2025 to Mar 17, 2026
- RAUM · $553M to $676MFeb 18, 2025 to Mar 17, 2026
- Accounts · 1,300 to 948Nov 13, 2024 to Feb 18, 2025
- Advisory employees · 4 to 2Nov 13, 2024 to Feb 18, 2025
- HNW clients · 160 to 55Nov 13, 2024 to Feb 18, 2025
- Individual clients · 143 to 136Nov 13, 2024 to Feb 18, 2025
- Pension plan clients · 1 to 3Nov 13, 2024 to Feb 18, 2025
- Assets in custody · $294M to $247MNov 13, 2024 to Feb 18, 2025
- Employees · 13 to 10Nov 13, 2024 to Feb 18, 2025
- Financial planning clients · 251-500 to 101-250Nov 13, 2024 to Feb 18, 2025
- State-registered IARs · 4 to 2Nov 13, 2024 to Feb 18, 2025
- Discretionary RAUM · $567M to $530MNov 13, 2024 to Feb 18, 2025
- HNW RAUM · $512M to $524MNov 13, 2024 to Feb 18, 2025
- Individual RAUM · $68.1M to $26.3MNov 13, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $14.5M to $22.6MNov 13, 2024 to Feb 18, 2025
- Pension RAUM · $1.7M to $2.1MNov 13, 2024 to Feb 18, 2025
- RAUM · $581M to $553MNov 13, 2024 to Feb 18, 2025
- Other offices · 1 to 0Feb 23, 2024 to Jun 24, 2024
- Accounts · 1,306 to 1,300Mar 29, 2023 to Feb 23, 2024
- Advisory employees · 5 to 4Mar 29, 2023 to Feb 23, 2024
- Advisory activities · 2 to 4Mar 29, 2023 to Feb 23, 2024
- HNW clients · 139 to 160Mar 29, 2023 to Feb 23, 2024
- Individual clients · 157 to 143Mar 29, 2023 to Feb 23, 2024
- Assets in custody · $248M to $294MMar 29, 2023 to Feb 23, 2024
- Employees · 14 to 13Mar 29, 2023 to Feb 23, 2024
- State-registered IARs · 5 to 4Mar 29, 2023 to Feb 23, 2024
Signals
6 dated events
- J••• D••••• C•••••• left W••••••• W••••• M••••••••• L••••• for A••••• A•••• (registered 2024-11-27)Sep 17, 2024 · Advisor changed firm · fact
- M•••••• T••••• P•••••• left W••••••• W••••• M••••••••• L••••• for O•••• A••••••• S•••••••• L•• (registered 2024-03-07)Apr 15, 2024 · Advisor changed firm · fact
- D•••• C• M•••••• left W••••••• W••••• M••••••••• L••••• for O•••• A••••••• S•••••••• L•• (registered 2024-03-07)Apr 15, 2024 · Advisor changed firm · fact
- 2 advisors left W••••••• W••••• M••••••••• L••••• (The Woodlands, TX) for O•••• A••••••• S•••••••• L•• on the same dayApr 15, 2024 · Team lift-out · derived
- R••••• B••• D•••• left W••••••• W••••• M••••••••• L••••• for H••••••• W••••• M••••••••• (registered 2023-12-08)Dec 12, 2023 · Advisor changed firm · fact
- W••••••• W••••• M••••••••• L••••• filed its initial SEC registration (Form ADV)Jan 10, 2013 · 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
- 281-363-0000reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 281-363-0010reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/waterway-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-363-0000reportedpublic record, Form ADV, Apr 13, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026