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
B••••• W••••• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape May 10, 2024 · 11 filings
SEC status approved since Jun 11, 2024
RAUM
$265M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$241M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$37.9M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$265M as of Jun 17, 2026
Mar 28, 2025$229M then
HNW client RAUM$202M as of Jun 17, 2026
Mar 28, 2025$35.2M then
State-registered IARs (5.B.3)7 as of Jun 17, 2026
Mar 28, 20255 then
Employees (5.A)7 as of Jun 17, 2026
Mar 28, 20256 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 5 to 7
Practice profile
derived from the filing of Sep 2, 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
- RAUM per advisor
- $37.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $554,338derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $54.6M, 42 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)
- 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$202M76%
- Individuals$38.7M15%
- Corporations and businesses$13.0M4.9%
- Charitable organizations$11.0M4.1%
- Individual clients
- 117reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 478reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.6M for 42 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• T••••••• L••••••Chartered Financial Analyst | Lewisville, Tx | May 20, 2016 | 14 y | 3 |
| P••• L• T••••••••• | Lewisville, Tx | Jun 6, 2017 | 26 y | 5 |
| A••••• D•••• C•••••• | Lewisville, Tx | Apr 1, 2019 | 13 y | 1 |
| C••••••••• J••• C••••••••• | Lewisville, Tx | Mar 3, 2022 | 16 y | 4 |
| T••••• B• U••••••••Certified Financial Planner | Lewisville, Tx | Sep 12, 2024 | 21 y | 4 |
| J••••• M•••••• H••••• C•••••• | Lewisville, Tx | Jan 22, 2025 | 12 y | 0 |
| B••••• A••••• C••••••• | Lewisville, Tx | Oct 22, 2025 | 12 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
- F••••••• J•••• P••••• to D••••••••• A•••••••Jan 28, 2021 · RIA to RIA
- E••••• O• M••••• to C•••••• A••••••• S•••••••• L••May 24, 2017 · Other
- N••••• R••••• M••••• to A•••••• A••••••• S•••••••Nov 17, 2016 · Other
Joined, latest
- T••••• B• U•••••••• from C••• S••••• P•••••••Sep 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• J••• C••••••••• from E•••••••• A•••••••• L••Mar 3, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• D•••• C•••••• from F•••••••• G•••••• A•••• M••••••••• I•••Apr 1, 2019 · RIA to RIA
- P••• L• T••••••••• from P•• M•••••• A•••••• S••••••••• I•••Jun 6, 2017 · Other
- M••• T••••••• L•••••• from S•••••••• A••••••• L••May 20, 2016 · Affiliated broker-dealer or bank to independent RIA
- N••••• R••••• M••••• from L••••• W••••• M•••••••••May 20, 2016 · Other
- F••••••• J•••• P••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 7, 2015 · Other
- E••••• O• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 17, 2014 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• P•••• L• · President/Managing Director/Chief Compliance Officercontrolsince 06/2017 · owns less than 5%
- B••••••• M•••• K•••••••• · Trusteecontrolsince 09/2022 · owns F of T•• C••••••••• R•••••• B••••• F••••• T••••
- B••••••• M•••• K•••••••• · Managercontrolsince 09/2022 · owns F of B••••• I••••••••• L••
- B•••••• H•••••• R• · Managercontrolsince 08/2020 · owns F of B••••• I••••••••• L••
- B•••••• H•••••• R• · Trusteecontrolsince 09/2022 · owns F of C••• V•• N••• B••••• F••••• T••••
- B•••••• H•••••• R• · Trusteecontrolsince 09/2022 · owns F of T•• C••••••••• R•••••• B••••• F••••• T••••
- B•••••• J•••••• C• · Trusteecontrolsince 08/2020 · owns F of C••• V•• N••• B••••• F••••• T••••
- B•••••• J•••••• C• · Managercontrolsince 02/2022 · owns F of B••••• C•••••• G••••• L••
- B•••••• J•••••• C• · Managercontrolsince 08/2020 · owns F of B••••• I••••••••• L••
- B•••••• P•••••• M• · Trusteecontrolsince 08/2020 · owns F of C••• V•• N••• B••••• F••••• T••••
- B•••••• P•••••• M• · Managercontrolsince 08/2020 · owns F of B••••• I••••••••• L••
- K••••• V•••••••• B••••• · Trusteecontrolsince 08/2020 · owns F of C••• V•• N••• B••••• F••••• T••••
- K••••• V•••••••• B••••• · Managercontrolsince 09/2022 · owns F of B••••• I••••••••• L••
- T••••••••• P•••• L• · Manager/Coocontrolsince 09/2020 · owns F of B••••• C•••••• G••••• L••
Entity owners
- B••••• C•••••• G••••• L•• · Sole Memberdirect · owns 75% or more
- B••••• I••••••••• L•• · Managing Memberindirect · owns 75% or more of B••••• C•••••• G••••• L••
- C••• V•• N••• B••••• F••••• T•••• · Memberindirect · owns 50% to 75% of B••••• I••••••••• L••
- T•• C••••••••• R•••••• B••••• F••••• T•••• · Memberindirect · owns 50% to 75% of B••••• I••••••••• L••
- W••••• A••••••• T•••• C•••••• · Independent Trusteeindirect · owns F of C••• V•• N••• B••••• F••••• T••••
- W••••• A••••••• T•••• C•••••• · Independent Trusteeindirect · owns F of T•• C••••••••• R•••••• B••••• F••••• T••••
- W••••••••• T•••• C•••••• · Administrative Trusteeindirect · owns F of C••• V•• N••• B••••• F••••• T••••
- W••••••••• T•••• C•••••• · Administrative Trusteeindirect · owns F of T•• C••••••••• R•••••• B••••• F••••• T••••
Related persons
Schedule D 7.A
- B••••• C•••••• A•••••••• L••pooled vehicle sponsorn
- B••••• E•••••••• L••investment adviserpooled vehicle sponsorn
- B••••• I•••••••• S•••••••• L••real estaten
- B••••• R••••• L••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lewisville, Tx · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ashland, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Apr 30, 2026HNW share of RAUM moved from 15.0% to 76.0% between the annual amendments of 2025-03-28 and 2026-04-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJun 17, 2026 to Sep 2, 2026
- Succession · false to unsetJun 17, 2026 to Sep 2, 2026
- Assets in custody · unset to 54623367.0Feb 10, 2026 to Apr 30, 2026
- Custody of client assets · false to trueFeb 10, 2026 to Apr 30, 2026
- Accounts · 399 to 478Nov 4, 2025 to Feb 10, 2026
- Advisory employees · 5 to 7Nov 4, 2025 to Feb 10, 2026
- Corporate clients · 2 to 3Nov 4, 2025 to Feb 10, 2026
- HNW clients · 50 to 58Nov 4, 2025 to Feb 10, 2026
- Individual clients · 108 to 117Nov 4, 2025 to Feb 10, 2026
- Employees · 6 to 7Nov 4, 2025 to Feb 10, 2026
- State-registered IARs · 5 to 7Nov 4, 2025 to Feb 10, 2026
- Discretionary RAUM · $229M to $265MNov 4, 2025 to Feb 10, 2026
- HNW RAUM · $35.2M to $202MNov 4, 2025 to Feb 10, 2026
- Individual RAUM · $158M to $38.7MNov 4, 2025 to Feb 10, 2026
- RAUM · $229M to $265MNov 4, 2025 to Feb 10, 2026
- Accounts · 343 to 399Sep 12, 2024 to Mar 28, 2025
- Charity clients · 3 to 2Sep 12, 2024 to Mar 28, 2025
- Corporate clients · 5 to 2Sep 12, 2024 to Mar 28, 2025
- HNW clients · 27 to 50Sep 12, 2024 to Mar 28, 2025
- Individual clients · 130 to 108Sep 12, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $160M to $229MSep 12, 2024 to Mar 28, 2025
- HNW RAUM · $65.5M to $35.2MSep 12, 2024 to Mar 28, 2025
- Individual RAUM · $65.0M to $158MSep 12, 2024 to Mar 28, 2025
- RAUM · $160M to $229MSep 12, 2024 to Mar 28, 2025
- Other offices · 0 to 1Sep 9, 2024 to Sep 12, 2024
Signals
1 dated events
- B••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 10, 2024 · 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
- (972) 410-6623reportedpublic record, Form ADV, Sep 2, 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
- $37.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026