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
H••••••••• F••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Mar 30, 2015 · 16 filings
SEC status approved since Apr 7, 2015
RAUM
$670M
reported, Item 5.F
Discretionary
7.3%
of RAUM
Private clients
100%
$670M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$335M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$670M as of Apr 1, 2026
Mar 30, 2016$158M then
HNW client RAUM$670M as of Apr 1, 2026
Mar 30, 2018$262M then
State-registered IARs (5.B.3)2 as of Apr 1, 2026
Mar 30, 20161 then
Employees (5.A)3 as of Apr 1, 2026
Mar 30, 20161 then
Private funds: no history
RAUM +0.3% over the last fiscal year+3.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $335MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $95.8MderivedHNW RAUM over HNW clients
- Average account
- $41.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 7.3%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$670M100%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• C••••••••• D•••• | Dallas, Tx | Jun 19, 2013 | 14 y | 0 |
| B••••••• A••• H••••••••• | Dallas, Tx | Jul 24, 2017 | 18 y | 3 |
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
- B••••••• A••• H••••••••• from E•••••••• A•••••••• L••Jul 24, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J••••• C••••••••• · Managing Member; Chief Compliance Officercontrolsince 02/2013 · owns 50% to 75%
- H••••••••• B•••••••• A••• · Partnercontrolsince 12/2021 · 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 |
|---|---|---|---|---|---|
| Dallas, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $42.3M to $48.7MMar 28, 2025 to Apr 1, 2026
- HNW RAUM · $668M to $670MMar 28, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $626M to $622MMar 28, 2025 to Apr 1, 2026
- RAUM · $668M to $670MMar 28, 2025 to Apr 1, 2026
- Accounts · 15 to 16Mar 30, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 30, 2024 to Mar 28, 2025
- HQ city · unset to Mar 30, 2024 to Mar 28, 2025
- HQ state · unset to Mar 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $37.7M to $42.3MMar 30, 2024 to Mar 28, 2025
- HNW RAUM · $648M to $668MMar 30, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $610M to $626MMar 30, 2024 to Mar 28, 2025
- RAUM · $648M to $668MMar 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $0 to $37.7MSep 25, 2023 to Mar 30, 2024
- HNW RAUM · $602M to $648MSep 25, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $602M to $610MSep 25, 2023 to Mar 30, 2024
- RAUM · $602M to $648MSep 25, 2023 to Mar 30, 2024
- Accounts · 14 to 15Mar 31, 2022 to Mar 31, 2023
- Assets in custody · unset to 0.0Mar 31, 2022 to Mar 31, 2023
- Custody of client assets · false to trueMar 31, 2022 to Mar 31, 2023
- Employees · 2 to 3Mar 31, 2022 to Mar 31, 2023
- HNW RAUM · $605M to $602MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $605M to $602MMar 31, 2022 to Mar 31, 2023
- RAUM · $605M to $602MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $429M to $605MMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $429M to $605MMar 31, 2021 to Mar 31, 2022
- RAUM · $429M to $605MMar 31, 2021 to Mar 31, 2022
- HNW clients · 14 to 7Jun 30, 2020 to Mar 31, 2021
- Financial planning clients · 11-25 to 1-10Jun 30, 2020 to Mar 31, 2021
- HNW RAUM · $441M to $429MJun 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $441M to $429MJun 30, 2020 to Mar 31, 2021
- RAUM · $441M to $429MJun 30, 2020 to Mar 31, 2021
- Accounts · 11 to 14Mar 27, 2019 to Mar 31, 2020
- HNW clients · 11 to 14Mar 27, 2019 to Mar 31, 2020
- Financial planning clients · 1-10 to 11-25Mar 27, 2019 to Mar 31, 2020
- HNW RAUM · $250M to $441MMar 27, 2019 to Mar 31, 2020
- Non-discretionary RAUM · $250M to $441MMar 27, 2019 to Mar 31, 2020
- RAUM · $250M to $441MMar 27, 2019 to Mar 31, 2020
- HNW RAUM · $262M to $250MApr 19, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $262M to $250MApr 19, 2018 to Mar 27, 2019
- RAUM · $262M to $250MApr 19, 2018 to Mar 27, 2019
Signals
4 dated events
- A••• Benjamin Hamid-Khani (Partner) appeared on Schedule A of H••••••••• F••••••••• L••Mar 31, 2023 · Control person joined · fact
- H••••••••• F••••••••• L•• reported RAUM $605.3M, up 41% from $428.6M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- H••••••••• F••••••••• L•• reported RAUM $440.6M, up 76% from $249.9M (2019-03-27 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- D•••• F•••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 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
- Principal office phone
- 214-562-3390reportedpublic record, Form ADV, Apr 1, 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
- $335Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026