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
F••••• C•••••• M••••••••• I•••
Latest filing Feb 5, 2026
First filing on the tape Feb 4, 2022 · 8 filings
SEC status approved since Mar 8, 2022
RAUM
$178M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$178M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$59.2M
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
8 filings and snapshots on the tape
RAUM$178M as of Feb 5, 2026
Jan 30, 2023$103M then
HNW client RAUM$114M as of Feb 5, 2026
Jan 30, 2023$62.7M then
State-registered IARs (5.B.3)3 as of Feb 5, 2026
Jan 30, 20233 then
Employees (5.A)3 as of Feb 5, 2026
Jan 30, 20233 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 5, 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
- 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
- RAUM per advisor
- $59.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $197,009derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M64%
- Individuals$63.1M36%
- Individual clients
- 346reported
- HNW clients
- 49reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 901reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• C••••• F•••••Certified Financial Planner | Carrollton, Tx | Oct 23, 2013 | 21 y | 2 |
| P••• T•••• H•••••Chartered Financial Analyst | Carrollton, Tx | Nov 2, 2018 | 13 y | 3 |
| C••••• N••• D•• | Carrollton, Tx | Apr 27, 2022 | 10 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
- P••• T•••• H••••• from W•••• F•••• A•••••••Nov 2, 2018 · Wirehouse to independent RIA
- J••••• C••••• F••••• from S••••••••• A•••••• A•••••••• I•••Oct 23, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• J•••••• C••••• · Chief Compliance Officer And Managing Membercontrolsince 08/2013 · 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 |
|---|---|---|---|---|---|
| Carrollton, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 848 to 901Feb 24, 2025 to Feb 5, 2026
- HNW clients · 44 to 49Feb 24, 2025 to Feb 5, 2026
- Individual clients · 334 to 346Feb 24, 2025 to Feb 5, 2026
- Financial planning clients · 26-50 to 51-100Feb 24, 2025 to Feb 5, 2026
- Discretionary RAUM · $153M to $176MFeb 24, 2025 to Feb 5, 2026
- HNW RAUM · $99.1M to $114MFeb 24, 2025 to Feb 5, 2026
- Individual RAUM · $55.0M to $63.1MFeb 24, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $1.2M to $1.4MFeb 24, 2025 to Feb 5, 2026
- RAUM · $154M to $178MFeb 24, 2025 to Feb 5, 2026
- Accounts · 771 to 848Jun 4, 2024 to Feb 24, 2025
- HNW clients · 41 to 44Jun 4, 2024 to Feb 24, 2025
- Individual clients · 314 to 334Jun 4, 2024 to Feb 24, 2025
- Financial planning clients · 26-50 to 26-50Jun 4, 2024 to Feb 24, 2025
- Discretionary RAUM · $126M to $153MJun 4, 2024 to Feb 24, 2025
- HNW RAUM · $87.5M to $99.1MJun 4, 2024 to Feb 24, 2025
- Individual RAUM · $39.9M to $55.0MJun 4, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $1.3M to $1.2MJun 4, 2024 to Feb 24, 2025
- RAUM · $127M to $154MJun 4, 2024 to Feb 24, 2025
- HQ city · DALLAS to CARROLLTONJan 22, 2024 to Jun 4, 2024
- Accounts · 711 to 771May 23, 2023 to Jan 22, 2024
- HNW clients · 31 to 41May 23, 2023 to Jan 22, 2024
- Individual clients · 270 to 314May 23, 2023 to Jan 22, 2024
- Discretionary RAUM · $101M to $126MMay 23, 2023 to Jan 22, 2024
- HNW RAUM · $62.7M to $87.5MMay 23, 2023 to Jan 22, 2024
- Individual RAUM · $40.2M to $39.9MMay 23, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $1.9M to $1.3MMay 23, 2023 to Jan 22, 2024
- RAUM · $103M to $127MMay 23, 2023 to Jan 22, 2024
- Accounts · 692 to 711May 25, 2022 to Jan 30, 2023
- Advisory employees · 2 to 3May 25, 2022 to Jan 30, 2023
- HNW clients · 33 to 31May 25, 2022 to Jan 30, 2023
- State-registered IARs · 2 to 3May 25, 2022 to Jan 30, 2023
- Discretionary RAUM · $113M to $101MMay 25, 2022 to Jan 30, 2023
- HNW RAUM · $71.3M to $62.7MMay 25, 2022 to Jan 30, 2023
- Individual RAUM · $43.8M to $40.2MMay 25, 2022 to Jan 30, 2023
- Non-discretionary RAUM · $2.4M to $1.9MMay 25, 2022 to Jan 30, 2023
- RAUM · $115M to $103MMay 25, 2022 to Jan 30, 2023
Signals
1 dated events
- F••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 4, 2022 · 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
- h••••@f••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 214-525-2140reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-345-6789reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-987-6543reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F•••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-525-2141reportedpublic record, Form ADV, Feb 5, 2026
- Contact form
- f••••••••.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
- $59.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026