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•••• B••• F••••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Sep 25, 2024 · 6 filings
SEC status approved since Oct 29, 2024
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$163M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$32.9M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$165M as of Jul 2, 2026
Jan 14, 2025$128M then
HNW client RAUM$125M as of Jul 2, 2026
Jan 14, 2025$93.8M then
State-registered IARs (5.B.3)4 as of Jul 2, 2026
Jan 14, 20254 then
Employees (5.A)6 as of Jul 2, 2026
Jan 14, 20255 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jul 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
- $32.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $250,854derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminars, otherreportedItem 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)
- 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
- High-net-worth individuals$125M76%
- Individuals$37.7M23%
- Corporations and businesses$1.7M1.0%
- Individual clients
- 89reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 656reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• E••••• G••••• | Austin, Tx | May 7, 2014 | 13 y | 1 |
| A•• D••••• C••••••• | Austin, Tx | Jun 30, 2016 | 10 y | 0 |
| E•••• M••• H••••• | Austin, Tx | Dec 13, 2019 | 10 y | 0 |
| K•••• J•••••• S•••••Certified Financial Planner | Austin, Tx | Dec 16, 2022 | 23 y | 4 |
| L•••••• M••••••• T••••••••• | Austin, Tx | Jun 22, 2026 | 12 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•••••• M••••••• T••••••••• from C••• S••••• P•••••••Jun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• J•••••• S••••• from D•• S•••• W••••• M•••••••••Dec 16, 2022 · RIA to RIA
- S••• E••••• G••••• from S•••••••• F•••••••• C•••••••• L••May 7, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• S•••• E••••• · Managing Membercontrolsince 10/2010 · owns 25% to 50%
- H•••••• E••••• M••• · Chief Compliance Officer/Part Ownercontrolsince 01/2020 · owns 5% to 10%
- S•••••• K••••• J•••••• · Managing Partnercontrolsince 01/2023 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 645 to 656Oct 1, 2025 to Jan 20, 2026
- Corporate clients · 1 to 2Oct 1, 2025 to Jan 20, 2026
- HNW clients · 61 to 63Oct 1, 2025 to Jan 20, 2026
- Individual clients · 99 to 89Oct 1, 2025 to Jan 20, 2026
- Employees · 5 to 6Oct 1, 2025 to Jan 20, 2026
- Discretionary RAUM · $160M to $165MOct 1, 2025 to Jan 20, 2026
- HNW RAUM · $122M to $125MOct 1, 2025 to Jan 20, 2026
- Individual RAUM · $36.6M to $37.7MOct 1, 2025 to Jan 20, 2026
- RAUM · $160M to $165MOct 1, 2025 to Jan 20, 2026
- Accounts · 561 to 645Jan 14, 2025 to Oct 1, 2025
- Corporate clients · unset to 1.0Jan 14, 2025 to Oct 1, 2025
- HNW clients · 51 to 61Jan 14, 2025 to Oct 1, 2025
- Individual clients · 84 to 99Jan 14, 2025 to Oct 1, 2025
- Discretionary RAUM · $128M to $160MJan 14, 2025 to Oct 1, 2025
- HNW RAUM · $93.8M to $122MJan 14, 2025 to Oct 1, 2025
- Individual RAUM · $34.5M to $36.6MJan 14, 2025 to Oct 1, 2025
- RAUM · $128M to $160MJan 14, 2025 to Oct 1, 2025
- Accounts · 563 to 561Sep 25, 2024 to Jan 14, 2025
- HNW clients · 35 to 51Sep 25, 2024 to Jan 14, 2025
- Individual clients · 101 to 84Sep 25, 2024 to Jan 14, 2025
- Financial planning clients · 11-25 to 1-10Sep 25, 2024 to Jan 14, 2025
- Discretionary RAUM · $110M to $128MSep 25, 2024 to Jan 14, 2025
- HNW RAUM · $70.8M to $93.8MSep 25, 2024 to Jan 14, 2025
- Individual RAUM · $39.3M to $34.5MSep 25, 2024 to Jan 14, 2025
- RAUM · $110M to $128MSep 25, 2024 to Jan 14, 2025
Signals
1 dated events
- B•••• B••• F••••••••• L•• filed its initial SEC registration (Form ADV)Sep 25, 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
- Business phone
- 512-368-9179reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- kacieswartz.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (512) 368-9179reportedpublic record, Form ADV, Jul 2, 2026
- Contact form
- blackbarnfinancial.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- blackbarnfinancial.com/team/kacie-swartzreportedpublished 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
- $32.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026