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
C•••••••• W••••• A•••••••• L••
Latest filing May 28, 2026
First filing on the tape Feb 22, 2021 · 27 filings
SEC status approved since Mar 24, 2021
RAUM
$466M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$404M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$93.2M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$466M as of May 28, 2026
Jan 26, 2022$248M then
HNW client RAUM$385M as of May 28, 2026
Jan 26, 2022$217M then
State-registered IARs (5.B.3)5 as of May 28, 2026
Jan 26, 20223 then
Employees (5.A)7 as of May 28, 2026
Jan 26, 20224 then
Private funds: no history
RAUM +49% over the last fiscal year+28% a year over threeIARs 4 to 5
Practice profile
derived from the filing of May 28, 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
- $93.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $913,695derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $43.4M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$385M83%
- Corporations and businesses$53.8M12%
- Individuals$19.1M4.1%
- Charitable organizations$8.3M1.8%
- Individual clients
- 50reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 510reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.4M for 5 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| C•••• A••• D••••••• | Frisco, Tx | Oct 19, 2012 | 14 y | 0 |
| G••••• K••••• T•••••••Certified Financial Planner | Frisco, Tx | Mar 23, 2015 | 14 y | 1 |
| N••••••• A••••• B•••••Chartered Financial Analyst | West Linn, Or | Aug 31, 2015 | 11 y | 0 |
| J•••• D•••• D••••••• | Frisco, Tx | Oct 27, 2023 | 10 y | 0 |
| E•••••• G•••••• | Frisco, Tx | Apr 28, 2026 | 11 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G••••• K••••• T••••••• from B•• F•••••••• A•••••••Mar 23, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• C••••• A••• · Managing Member/Chief Compliance Officercontrolsince 08/2012 · owns 75% or more
- D•••••••• S••••• R•••• · Director Of Operationssince 06/2018 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Frisco, Tx | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing May 28, 2026HNW RAUM per HNW client of $7,125,787 against a peer median of $2,404,040 (4940 comparable advisers, 98.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 523 to 510Apr 29, 2026 to May 28, 2026
- Advisory employees · 5 to 4Apr 29, 2026 to May 28, 2026
- Corporate clients · 13 to 14Apr 29, 2026 to May 28, 2026
- HNW clients · 58 to 54Apr 29, 2026 to May 28, 2026
- Individual clients · 44 to 50Apr 29, 2026 to May 28, 2026
- Employees · 6 to 7Apr 29, 2026 to May 28, 2026
- Discretionary RAUM · $405M to $466MApr 29, 2026 to May 28, 2026
- HNW RAUM · $342M to $385MApr 29, 2026 to May 28, 2026
- Individual RAUM · $16.0M to $19.1MApr 29, 2026 to May 28, 2026
- RAUM · $405M to $466MApr 29, 2026 to May 28, 2026
- Advisory employees · 4 to 5Mar 23, 2026 to Apr 29, 2026
- Employees · 5 to 6Mar 23, 2026 to Apr 29, 2026
- State-registered IARs · 4 to 5Mar 23, 2026 to Apr 29, 2026
- Accounts · 465 to 523Sep 1, 2025 to Mar 23, 2026
- Corporate clients · 11 to 13Sep 1, 2025 to Mar 23, 2026
- HNW clients · 46 to 58Sep 1, 2025 to Mar 23, 2026
- Assets in custody · $35.2M to $43.4MSep 1, 2025 to Mar 23, 2026
- Discretionary RAUM · $313M to $405MSep 1, 2025 to Mar 23, 2026
- HNW RAUM · $256M to $342MSep 1, 2025 to Mar 23, 2026
- Individual RAUM · $15.4M to $16.0MSep 1, 2025 to Mar 23, 2026
- RAUM · $313M to $405MSep 1, 2025 to Mar 23, 2026
- HQ city · RICHARDSON to May 2, 2025 to Sep 1, 2025
- HQ state · TX to May 2, 2025 to Sep 1, 2025
- Financial planning clients · 51-100 to 51-100Feb 10, 2025 to May 2, 2025
- Accounts · 541 to 465Dec 11, 2024 to Feb 10, 2025
- Corporate clients · 8 to 11Dec 11, 2024 to Feb 10, 2025
- HNW clients · 45 to 46Dec 11, 2024 to Feb 10, 2025
- Individual clients · 39 to 44Dec 11, 2024 to Feb 10, 2025
- Assets in custody · $40.1M to $35.2MDec 11, 2024 to Feb 10, 2025
- Discretionary RAUM · $263M to $313MDec 11, 2024 to Feb 10, 2025
- HNW RAUM · $224M to $256MDec 11, 2024 to Feb 10, 2025
- Individual RAUM · $13.4M to $15.4MDec 11, 2024 to Feb 10, 2025
- RAUM · $263M to $313MDec 11, 2024 to Feb 10, 2025
- Advisory activities · 5 to 4Feb 7, 2024 to Dec 11, 2024
- Accounts · 491 to 541Jan 25, 2024 to Feb 7, 2024
- Corporate clients · 3 to 8Jan 25, 2024 to Feb 7, 2024
- HNW clients · 40 to 45Jan 25, 2024 to Feb 7, 2024
- Individual clients · 43 to 39Jan 25, 2024 to Feb 7, 2024
- Assets in custody · $39.1M to $40.1MJan 25, 2024 to Feb 7, 2024
- Discretionary RAUM · $222M to $263MJan 25, 2024 to Feb 7, 2024
Signals
2 dated events
- C•••••••• W••••• A•••••••• L•• reported RAUM $247.7M, up 73% from $143.1M (2021-12-13 to 2022-01-26)Jan 26, 2022 · RAUM change · derived
- C•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 22, 2021 · 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
- 214-299-5114reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••••-LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-299-5114reportedpublic record, Form ADV, May 28, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $93.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026