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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Former SEC-registered adviser
L••• P•••• W••••• M••••••••• L••
Latest filing May 18, 2022
First filing on the tape May 22, 2017 · 23 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$347M as of Jun 8, 2021
Mar 30, 2018$222M then
HNW client RAUM$73.4M as of Jun 8, 2021
Mar 30, 2018$116M then
State-registered IARs (5.B.3)9 as of Mar 25, 2022
Mar 30, 201810 then
Employees (5.A)16 as of Mar 25, 2022
Mar 30, 201811 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 11 to 9
Practice profile
derived from the filing of May 18, 2022; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D•••• A••••• M•••••• to A• W••••• M••••••••• L••Jul 20, 2022 · Other
- H••••• R••• J•••••• to M••••• G••••• A••••••• I•••Jul 20, 2022 · Other
- R••••• E• E••••• to A••••••• C••••••• L••Jul 20, 2022 · Other
- D•••• A•••• C••• to M••••• G••••• A••••••• I•••Jun 9, 2022 · Other
- S••••• H••• to M••••• G••••• A••••••• I•••Jun 9, 2022 · Other
- A•••• B•••• to M••••• G••••• A••••••• I•••Jun 9, 2022 · Other
- A••• M• A•••••• to M••••• G••••• A••••••• I•••Jun 9, 2022 · Other
- K••• C••• F••••••••• to M••••• G••••• A••••••• I•••May 16, 2022 · Other
- C••••• B••••• to M••••• G••••• A••••••• I•••May 16, 2022 · Other
- C••••••••• H••••••• to M••••• G••••• A••••••• I•••May 16, 2022 · Other
- B•••• W••••••• to M••••• G••••• A••••••• I•••Mar 25, 2022 · Other
- D••••• R••• O••••••••• to M••••• G••••• A••••••• I•••Jan 9, 2022 · RIA to RIA
- M•••••• Y••••• B••••••• to L•• F•••••••• C••••••• L••Jan 29, 2020 · RIA to RIA
- T••• M•••••• K••••••••• to O•••• W•••••• I•••Nov 7, 2019 · RIA to affiliated broker-dealer or bank
- J••••••• K••• L••••• to O•••••• F••••••••• L••Jun 14, 2019 · RIA to RIA
Joined, latest
- S••••• H••• from P•• M•••••• A•••••• S••••••••• I•••Jul 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••• W••••••• from P•• M•••••• A•••••• S••••••••• I•••Jul 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••• M• A•••••• from T• A••••••••• I•••Apr 12, 2021 · Other
- T••• M•••••• K••••••••• from B•• F•••••••• A•••••••Oct 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- M•••••• Y••••• B••••••• from J••• M••••• S••••••••• L••Aug 21, 2018 · Wirehouse to independent RIA
- D••••• R••• O••••••••• from A• W••••• M••••••••• L••Jul 6, 2018 · RIA to RIA
- S•••••• E•••• F••••• from A•••••• R••••••• C••••••May 26, 2016 · Other
- J•••• J•••••• P•••••• from S•••••••• F••••••••• I•••Oct 21, 2014 · Other
- J••••••• K••• L••••• from C••••••• S•••••••••Jun 3, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M••••• G••••• A••••••• I•••Jun 9, 2022 · Heath, Tx · Firm absorbed
- 3 left for M••••• G••••• A••••••• I•••May 16, 2022 · Heath, Tx
- 2 left for O•••••• F••••••••• L••Jun 14, 2019 · Fort Worth, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• R•••••• E• · Chief Investment Officercontrolsince 03/2020 · owns less than 5%
- J••••••• H•••••• R••• · Owner, Chief Compliance Officercontrolsince 01/2014 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- L••• P•••• A••••••• G••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Cedar Hill, TX3 employees
- Fort Worth, TX2 employees
- Granbury, TX1 employees
- Grapevine, TX1 employees
- Houston, TX1 employees
- Plano, TX1 employees
- Sandy, UT1 employees
- Spring, TX1 employees
- The Woodlands, TX1 employees
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 2247.0 to unsetNov 14, 2021 to Mar 25, 2022
- Advisory employees · 11 to 9Nov 14, 2021 to Mar 25, 2022
- Advisory activities · 3 to 2Nov 14, 2021 to Mar 25, 2022
- HNW clients · 48.0 to unsetNov 14, 2021 to Mar 25, 2022
- Individual clients · 1309.0 to unsetNov 14, 2021 to Mar 25, 2022
- Assets in custody · 5000000.0 to unsetNov 14, 2021 to Mar 25, 2022
- Custody of client assets · true to falseNov 14, 2021 to Mar 25, 2022
- Employees · 19 to 16Nov 14, 2021 to Mar 25, 2022
- Insurance-licensed employees · 2 to 9Nov 14, 2021 to Mar 25, 2022
- State-registered IARs · 11 to 9Nov 14, 2021 to Mar 25, 2022
- Discretionary RAUM · 331961717.0 to unsetNov 14, 2021 to Mar 25, 2022
- HNW RAUM · 73444329.0 to unsetNov 14, 2021 to Mar 25, 2022
- Individual RAUM · 273831031.0 to unsetNov 14, 2021 to Mar 25, 2022
- Non-discretionary RAUM · 15313643.0 to unsetNov 14, 2021 to Mar 25, 2022
- RAUM · 347275360.0 to unsetNov 14, 2021 to Mar 25, 2022
- Accounts · 2,158 to 2,247Aug 28, 2020 to Jun 8, 2021
- Advisory employees · 9 to 11Aug 28, 2020 to Jun 8, 2021
- Advisory activities · 4 to 3Aug 28, 2020 to Jun 8, 2021
- HNW clients · 17 to 48Aug 28, 2020 to Jun 8, 2021
- Individual clients · 1,968 to 1,309Aug 28, 2020 to Jun 8, 2021
- Assets in custody · $4.9M to $5.0MAug 28, 2020 to Jun 8, 2021
- Employees · 9 to 19Aug 28, 2020 to Jun 8, 2021
- Insurance-licensed employees · 0 to 2Aug 28, 2020 to Jun 8, 2021
- Financial planning clients · 0 to unsetAug 28, 2020 to Jun 8, 2021
- State-registered IARs · 9 to 11Aug 28, 2020 to Jun 8, 2021
- Discretionary RAUM · $291M to $332MAug 28, 2020 to Jun 8, 2021
- HNW RAUM · $25.7M to $73.4MAug 28, 2020 to Jun 8, 2021
- Individual RAUM · $265M to $274MAug 28, 2020 to Jun 8, 2021
- Non-discretionary RAUM · $0 to $15.3MAug 28, 2020 to Jun 8, 2021
- RAUM · $291M to $347MAug 28, 2020 to Jun 8, 2021
- Accounts · 2,685 to 2,158Aug 1, 2019 to Mar 30, 2020
- Advisory employees · 13 to 9Aug 1, 2019 to Mar 30, 2020
- HNW clients · 35 to 17Aug 1, 2019 to Mar 30, 2020
- Individual clients · 1,021 to 1,968Aug 1, 2019 to Mar 30, 2020
- Assets in custody · $14.2M to $4.9MAug 1, 2019 to Mar 30, 2020
- Employees · 13 to 9Aug 1, 2019 to Mar 30, 2020
- Insurance-licensed employees · 2 to 0Aug 1, 2019 to Mar 30, 2020
- State-registered IARs · 13 to 9Aug 1, 2019 to Mar 30, 2020
- Other offices · 9 to 10Aug 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $258M to $291MAug 1, 2019 to Mar 30, 2020
Signals
25 dated events
- H••••• R••• J•••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-02-15)Jul 20, 2022 · a•••••• firm change · fact
- R••••• E• E••••• left L••• P•••• W••••• M••••••••• L•• for A••••••• C••••••• L•• (registered 2020-05-14)Jul 20, 2022 · a•••••• firm change · fact
- D•••• A••••• M•••••• left L••• P•••• W••••• M••••••••• L•• for A• W••••• M••••••••• L•• (registered 2022-06-15)Jul 20, 2022 · a•••••• firm change · fact
- A•••• B•••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-01-04)Jun 9, 2022 · a•••••• firm change · fact
- S••••• H••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-01-14)Jun 9, 2022 · a•••••• firm change · fact
- A••• M• A•••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-01-04)Jun 9, 2022 · a•••••• firm change · fact
- D•••• A•••• C••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2021-12-22)Jun 9, 2022 · a•••••• firm change · fact
- L••• P•••• W••••• M••••••••• L••'s advisors moved to M••••• G••••• A••••••• I••• (Heath, TX): 4 of 7 registered, on the same dayJun 9, 2022 · Firm absorbed (people side) · derived
- Isaiah Joshua Wilson (Chief Executive Officer) no longer on Schedule A of L••• P•••• W••••• M••••••••• L•• (listed 2022-05-16, absent 2022-05-17)May 17, 2022 · Control person left · inference
- C••••••••• H••••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-01-20)May 16, 2022 · a•••••• firm change · fact
- K••• C••• F••••••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-01-11)May 16, 2022 · a•••••• firm change · fact
- C••••• B••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2021-12-22)May 16, 2022 · a•••••• firm change · fact
- 3 advisors left L••• P•••• W••••• M••••••••• L•• (Heath, TX) for M••••• G••••• A••••••• I••• on the same dayMay 16, 2022 · Team lift-out · derived
- B•••• W••••••• (Chief Compliance Officer) no longer on Schedule A of L••• P•••• W••••• M••••••••• L•• (listed 2022-03-25, absent 2022-05-03)May 3, 2022 · Control person left · inference
- B•••• W••••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2021-12-22)Mar 25, 2022 · a•••••• firm change · fact
- D••••• R••• O••••••••• left L••• P•••• W••••• M••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2022-01-21)Jan 9, 2022 · a•••••• firm change · fact
- Lynn Tiffany Ramirez (Chief Compliance Officer) no longer on Schedule A of L••• P•••• W••••• M••••••••• L•• (listed 2020-08-28, absent 2021-06-08)Jun 8, 2021 · Control person left · inference
- B•••• W••••••• (Chief Compliance Officer) appeared on Schedule A of L••• P•••• W••••• M••••••••• L••Jun 8, 2021 · Control person joined · fact
- N••••• B••••••• R•••••• (Chief Compliance Officer) no longer on Schedule A of L••• P•••• W••••• M••••••••• L•• (listed 2020-06-30, absent 2020-08-28)Aug 28, 2020 · Control person left · inference
- Lynn Tiffany Ramirez (Chief Compliance Officer) appeared on Schedule A of L••• P•••• W••••• M••••••••• L••Aug 28, 2020 · Control person joined · fact
- Ellen Jean Patton (Chief Operating Officer) no longer on Schedule A of L••• P•••• W••••• M••••••••• L•• (listed 2019-08-01, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Isaiah Joshua Wilson (Chief Executive Officer) appeared on Schedule A of L••• P•••• W••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- E Robert Emrich (Chief Investment Officer) appeared on Schedule A of L••• P•••• W••••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- Ellen Jean Patton (Chief Operating Officer) appeared on Schedule A of L••• P•••• W••••• M••••••••• L••Mar 30, 2019 · Control person joined · fact
- L••• P•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2017 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026