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.

SEC-registered adviser

Shelter Wealth Strategies, LLC

Independent wealth managerHouston, TexasCRD 170655SEC 801-135465websiteIAPD
Latest filing Jun 10, 2026
First filing on the tape Mar 10, 2026 · 3 filings
SEC status approved since Mar 2, 2026
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$142M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$8.5M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$144M as of Jun 10, 2026
Mar 10, 2026$144M then
HNW client RAUM$140M as of Jun 10, 2026
Mar 10, 2026$140M then
State-registered IARs (5.B.3)8 as of Jun 10, 2026
Mar 10, 20268 then
Employees (5.A)9 as of Jun 10, 2026
Mar 10, 20269 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 10, 2026; every figure names its basis
RAUM per advisor
$8.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.2MderivedHNW RAUM over HNW clients
Average account
$3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
3.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$17.1M, 4 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$140M97%
  • Corporations and businesses$2.4M1.7%
  • Individuals$1.6M1.1%
Individual clients
9reported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
38reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$17.1M for 4 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Scott Hamilton FreemanHouston, TxFeb 18, 201523 y2
Hanson Douglas StreetHouston, TxJan 11, 201715 y4
Therese-Marie CasementHouston, TxJun 20, 202517 y3
Sidney Lorrainne OverbyHouston, TxSep 30, 202510 y1
Andrew Charles WilsonWestern Springs, Il Oct 31, 202516 y2
Paul SalehHouston, Tx Dec 4, 202511 y1
Christopher John MeehanHouston, Tx Dec 4, 202516 y2
Daniel David HorowitzHouston, Tx Feb 17, 202615 y0
Walker GilbertHouston, TxApr 1, 202611 y1
John Houghton DudekSolana Beach, Ca May 19, 202618 y0
Josh Travis FarmerSan Diego, Ca May 26, 202623 y0
Donald Ray JowersHouston, Tx May 28, 202626 y0
David Allen LesserWestlake Village, Ca Jun 8, 202616 y0
Matthew Ward FrazierHouston, TxJun 18, 202610 y0
David Amelio HartHouston, Tx Jul 1, 202613 y0
Kristin Leigh NeerhofHouston, Tx Jul 15, 202610 y0
Advisor movement
0 left, 6 joined in 12 months
net +6 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Shelter Wealth Strategies, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Houston, Tx · principal17140
Newport Beach, Ca110
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
  • 2 advisors left Devon Investment Advisory (Houston, TX) for Shelter Wealth Strategies, LLC on the same day
    Oct 3, 2025 · Team lift-out · derived
  • Traci Lynn Kaas left Shelter Wealth Strategies, Llc for Cooper Mcmanus (registered 2017-02-07)
    Feb 9, 2025 · Advisor changed firm · 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 phone
713-620-8500reportedpublished by the firm, firm site, Sep 17, 2026
Firm profile
linkedin.com/company/shelterwealthstrategiesreportedpublic record, Form ADV, Sep 17, 2026
Website
shelterwealth.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
713-620-8500reportedpublic record, Form ADV, Jun 10, 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
$8.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026