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
P•••••••• W••••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Aug 6, 2013 · 22 filings
SEC status approved since Aug 9, 2013
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$190M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$211M as of Mar 20, 2026
Jan 7, 2014$0 then
HNW client RAUM$188M as of Mar 20, 2026
Mar 31, 2018$120M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Jan 7, 20142 then
Employees (5.A)3 as of Mar 20, 2026
Jan 7, 20142 then
Private funds: no history
RAUM +4.7% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 20, 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
- $70.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.5MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $175M, 6 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)
- 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$188M89%
- Charitable organizations$20.9M9.9%
- Individuals$1.8M0.9%
- Individual clients
- 6reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 87reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $175M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A••• S•••••• | Arlington, Tx | Jan 23, 2014 | 20 y | 2 |
| C••••• F••••• Q••••••••• | Arlington, Tx | Jan 23, 2014 | 27 y | 2 |
| M•••••• G•••• S••••••Certified Financial Planner | Arlington, Tx | Jan 11, 2016 | 24 y | 2 |
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
- M•••••• G•••• S•••••• from S••Jan 11, 2016 · Other
- C•••••• A••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 23, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••• F••••• Q••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 23, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Q••••••••• C•••••• F••••• · Managing Member And Chief Compliance Officercontrolsince 12/2013 · owns 50% to 75%
- S••••••• C••••••• A••• · Managing Membercontrolsince 12/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Arlington, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 77 to 87Mar 14, 2025 to Mar 20, 2026
- Corporate clients · 1 to 0Mar 14, 2025 to Mar 20, 2026
- HNW clients · 11 to 15Mar 14, 2025 to Mar 20, 2026
- Individual clients · 7 to 6Mar 14, 2025 to Mar 20, 2026
- Assets in custody · $170M to $175MMar 14, 2025 to Mar 20, 2026
- Discretionary RAUM · $201M to $211MMar 14, 2025 to Mar 20, 2026
- HNW RAUM · $178M to $188MMar 14, 2025 to Mar 20, 2026
- Individual RAUM · $4.9M to $1.8MMar 14, 2025 to Mar 20, 2026
- RAUM · $201M to $211MMar 14, 2025 to Mar 20, 2026
- Accounts · 78 to 77Mar 25, 2024 to Mar 14, 2025
- Corporate clients · 0 to 1Mar 25, 2024 to Mar 14, 2025
- HNW clients · 10 to 11Mar 25, 2024 to Mar 14, 2025
- Individual clients · 8 to 7Mar 25, 2024 to Mar 14, 2025
- Assets in custody · $155M to $170MMar 25, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 14, 2025
- Discretionary RAUM · $178M to $201MMar 25, 2024 to Mar 14, 2025
- HNW RAUM · $160M to $178MMar 25, 2024 to Mar 14, 2025
- Individual RAUM · $4.6M to $4.9MMar 25, 2024 to Mar 14, 2025
- RAUM · $178M to $201MMar 25, 2024 to Mar 14, 2025
- Accounts · 84 to 78Feb 24, 2023 to Mar 25, 2024
- Individual clients · 9 to 8Feb 24, 2023 to Mar 25, 2024
- Assets in custody · $140M to $155MFeb 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $157M to $178MFeb 24, 2023 to Mar 25, 2024
- HNW RAUM · $145M to $160MFeb 24, 2023 to Mar 25, 2024
- Individual RAUM · $4.0M to $4.6MFeb 24, 2023 to Mar 25, 2024
- RAUM · $157M to $178MFeb 24, 2023 to Mar 25, 2024
- Accounts · 83 to 84Feb 17, 2023 to Feb 24, 2023
- Advisory activities · 3 to 2Feb 17, 2023 to Feb 24, 2023
- HNW clients · 7 to 10Feb 17, 2023 to Feb 24, 2023
- Individual clients · 11 to 9Feb 17, 2023 to Feb 24, 2023
- Assets in custody · $14.1M to $140MFeb 17, 2023 to Feb 24, 2023
- Discretionary RAUM · $171M to $157MFeb 17, 2023 to Feb 24, 2023
- HNW RAUM · $160M to $145MFeb 17, 2023 to Feb 24, 2023
- Individual RAUM · $5.2M to $4.0MFeb 17, 2023 to Feb 24, 2023
- RAUM · $171M to $157MFeb 17, 2023 to Feb 24, 2023
- Accounts · 78 to 83Mar 22, 2021 to Mar 19, 2022
- Charity clients · 0 to 1Mar 22, 2021 to Mar 19, 2022
- HNW clients · 11 to 7Mar 22, 2021 to Mar 19, 2022
- Individual clients · 5 to 11Mar 22, 2021 to Mar 19, 2022
- Assets in custody · $4.6M to $14.1MMar 22, 2021 to Mar 19, 2022
Signals
1 dated events
- T••••••• A•••••• 1•• L•• filed its initial SEC registration (Form ADV)Aug 6, 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 email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 817-962-0068reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 817-977-7879reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 817-962-0068reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $70.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026