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

Symphony Financial, Ltd. Co.

Independent wealth managerHouston, TexasCRD 171816SEC 801-79989websiteIAPD
Latest filing Aug 24, 2026
First filing on the tape Jun 23, 2014 · 60 filings
SEC status approved since Jun 30, 2014
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.3B individuals and HNW
Advisors
46
registered through the firm on IAPD
RAUM per advisor
$29.5M
derived; firm RAUM over IAPD count
Employees
26
23 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$1.4B as of Aug 24, 2026
Jan 27, 2015$151M then
HNW client RAUM$1.0B as of Aug 24, 2026
Feb 21, 2018$117M then
State-registered IARs (5.B.3)23 as of Aug 24, 2026
Jan 27, 201513 then
Employees (5.A)26 as of Aug 24, 2026
Jan 27, 201519 then
Private funds: no history
RAUM +24% over the last fiscal year+30% a year over threeIARs 24 to 23offices 5 to 7
Practice profile
derived from the filing of Aug 24, 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
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$29.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$324,281derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.6derivedItem 5.A over advisors
Advisors per office
5.8derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
-4.2%derivedItem 5.B.3 between annual amendments
Client growth, one year
+27%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$513MreportedItem 5.I
Custody
$14.9M, 16 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$1.0B75%
  • Individuals$290M21%
  • Corporations and businesses$37.3M2.7%
  • Charitable organizations$5.3M0.4%
  • Pension and profit-sharing plans$660,3030.0%
Individual clients
1,987reported
HNW clients
836reported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
4,178reported
Financial planning clients
1-10reported
Wrap fee programs
$257M sponsored, $256M managedreported
Custody of client assets
$14.9M for 16 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=19.0derived
Advisors registered through the firm
46 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Dennis Ray GreensageHouston, Tx Jun 18, 200443 y1
Charles Perry GarlandHouston, Tx Jul 15, 201422 y0
Glenda Ruth ToonEl Paso, Tx Jul 15, 201425 y1
William Earl ShankHouston, Tx Jul 15, 201432 y1
Wallace Carr BurgoyneCertified Financial PlannerHouston, TxJul 15, 201435 y1
Brenda R.C. JacksonHouston, Tx Jul 15, 201425 y4
Christian Daly SmaistrlaTomball, Tx Jul 15, 201428 y1
Gary Keith GreensageHouston, Tx Jul 15, 201430 y1
Alejandro Alfonso TapiaHouston, Tx Jul 23, 201423 y1
Michelle Ann BoedingHouston, TxSep 2, 201620 y2
Anthony Dwayne GriffinKingwood, Tx Jul 3, 201710 y1
Timothy Bruce GrassmanHouston, TxApr 26, 201820 y0
Andrew OakHouston, Tx Jan 17, 201912 y0
Justin PurvisHouston, Tx Sep 24, 201914 y1
Marco Antonio JohnsonHouston, TxJan 22, 202023 y0
Melissa Ann BrennanCertified Financial PlannerHouston, TxJan 22, 202022 y2
Elridge Nicholas BollichHouston, TxMar 18, 202247 y3
Joshua James McmillanHouston, TxJan 11, 202311 y1
Ryan Lee CorkranHouston, TxJan 11, 202312 y1
Sean RothHouston, Tx Mar 7, 202320 y0
Wayne LillyHouston, TxMay 1, 202327 y0
James Michael BarksdaleHouston, TxMay 9, 202311 y0
Sammy Dale McleodHouston, TxJun 9, 202328 y0
James Lawrence ArmstrongHouston, TxAug 14, 202326 y0
Kyle Martin FritzHouston, TxFeb 15, 202419 y3
Reagan Magill NewtonHouston, TxFeb 15, 202414 y1
Samer Hani SalhaHouston, TxFeb 15, 202415 y1
Paul Abram MccutchenHouston, TxMar 13, 202421 y0
Michelle RobertsHouston, TxJun 6, 202419 y1
Amber Rene WalkerHouston, TxOct 23, 202414 y0
Ben Harold BoydCertified Financial PlannerHouston, Tx Dec 10, 202422 y3
Korosh AtaeiHouston, TxJan 7, 202510 y4
Huilian ZhangHouston, Tx Feb 21, 202512 y0
Michael Donald EdwardsHouston, TxApr 15, 202512 y0
David Alan MoellerHouston, TxApr 29, 202522 y3
Kyle Thomas CampbellHouston, TxAug 12, 202513 y0
Micah Reshawn ThomasHouston, TxAug 12, 202510 y0
Samuel LabordusKingwood, Tx Sep 4, 202516 y0
Timothy Randall MillerHouston, TxSep 23, 202514 y0
Jared Lindsey MooreHouston, TxSep 23, 202513 y0
All 46 advisors at Symphony Financial, Ltd. Co.
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
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
    • Carr Wallace Burgoyne · President, Managing Member And Chief Compliance Officercontrol
      since 05/2014 · owns 75% or more
    • Rene Amber Walker · Chief Operating Officercontrol
      since 05/2014 · owns less than 5%
    • Alan David Moeller · Chief Investment Officer
      since 08/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Houston, Tx · principal4680
    Kingwood, Tx400
    Tomball, Tx300
    Offices
    Schedule D 1.F, the 25 largest
    • Houston, TX6 employees
    • Tomball, TX4 employees
    • Kingwood, TX2 employees
    • Houston, TX1 employees
    • El Paso, TX1 employees
    What changed
    consecutive filings, newest first
    • Other offices · 6 to 7
      Apr 1, 2026 to Aug 24, 2026
    • Accounts · 3,324 to 4,178
      Jan 22, 2026 to Mar 26, 2026
    • BD registered reps · 18 to 19
      Jan 22, 2026 to Mar 26, 2026
    • Charity clients · unset to 6.0
      Jan 22, 2026 to Mar 26, 2026
    • HNW clients · 747 to 836
      Jan 22, 2026 to Mar 26, 2026
    • Individual clients · 1,468 to 1,987
      Jan 22, 2026 to Mar 26, 2026
    • Assets in custody · $10.9M to $14.9M
      Jan 22, 2026 to Mar 26, 2026
    • Employees · 36 to 26
      Jan 22, 2026 to Mar 26, 2026
    • Insurance-licensed employees · 2 to 0
      Jan 22, 2026 to Mar 26, 2026
    • State-registered IARs · 24 to 23
      Jan 22, 2026 to Mar 26, 2026
    • Other offices · 5 to 6
      Jan 22, 2026 to Mar 26, 2026
    • Discretionary RAUM · $1.1B to $1.4B
      Jan 22, 2026 to Mar 26, 2026
    • HNW RAUM · $767M to $1.0B
      Jan 22, 2026 to Mar 26, 2026
    • Individual RAUM · $289M to $290M
      Jan 22, 2026 to Mar 26, 2026
    • Pension RAUM · $568,844 to $660,303
      Jan 22, 2026 to Mar 26, 2026
    • RAUM · $1.1B to $1.4B
      Jan 22, 2026 to Mar 26, 2026
    • Wrap assets (manager) · $208M to $256M
      Jan 22, 2026 to Mar 26, 2026
    • Wrap assets (sponsor) · $208M to $257M
      Jan 22, 2026 to Mar 26, 2026
    • Accounts · 2,600 to 3,324
      Aug 27, 2024 to Mar 27, 2025
    • Advisory employees · 19 to 23
      Aug 27, 2024 to Mar 27, 2025
    • Corporate clients · 18 to 21
      Aug 27, 2024 to Mar 27, 2025
    • HNW clients · 806 to 747
      Aug 27, 2024 to Mar 27, 2025
    • Individual clients · 977 to 1,468
      Aug 27, 2024 to Mar 27, 2025
    • Assets in custody · $10.2M to $10.9M
      Aug 27, 2024 to Mar 27, 2025
    • Employees · 34 to 36
      Aug 27, 2024 to Mar 27, 2025
    • Insurance-licensed employees · 0 to 2
      Aug 27, 2024 to Mar 27, 2025
    • Financial planning clients · 0 to 1-10
      Aug 27, 2024 to Mar 27, 2025
    • State-registered IARs · 19 to 24
      Aug 27, 2024 to Mar 27, 2025
    • Discretionary RAUM · $861M to $1.1B
      Aug 27, 2024 to Mar 27, 2025
    • HNW RAUM · $666M to $767M
      Aug 27, 2024 to Mar 27, 2025
    • Individual RAUM · $164M to $289M
      Aug 27, 2024 to Mar 27, 2025
    • Pension RAUM · $518,895 to $568,844
      Aug 27, 2024 to Mar 27, 2025
    • RAUM · $861M to $1.1B
      Aug 27, 2024 to Mar 27, 2025
    • Wrap assets (manager) · $178M to $208M
      Aug 27, 2024 to Mar 27, 2025
    • Wrap assets (sponsor) · $178M to $208M
      Aug 27, 2024 to Mar 27, 2025
    • Advisory activities · 5 to 6
      Jul 24, 2024 to Aug 27, 2024
    • Accounts · 2,480 to 2,600
      Feb 28, 2024 to Mar 4, 2024
    • HNW clients · 691 to 806
      Feb 28, 2024 to Mar 4, 2024
    • Discretionary RAUM · $774M to $861M
      Feb 28, 2024 to Mar 4, 2024
    • HNW RAUM · $579M to $666M
      Feb 28, 2024 to Mar 4, 2024
    Signals
    7 dated events
    • Symphony Financial, Ltd. Co. reported RAUM $1.1B, up 27% from $861.0M (2024-08-27 to 2025-03-27)
      Mar 27, 2025 · RAUM change · derived
    • Symphony Financial, Ltd. Co. reported RAUM $774.5M, up 26% from $616.4M (2024-01-05 to 2024-02-28)
      Feb 28, 2024 · RAUM change · derived
    • Ryan Edward Ferrin left Symphony Financial, Ltd. Co. for Frost Investment Services (registered 2024-02-21)
      Feb 6, 2024 · Advisor changed firm · fact
    • Rickey Jack Carlson left Symphony Financial, Ltd. Co. for Valic Financial Advisors, Inc. (registered 2023-02-21)
      Mar 17, 2023 · Advisor changed firm · fact
    • 2 advisors left Equitable Advisors, LLC (Houston, TX) for Symphony Financial, LTD. CO. on the same day
      Jan 20, 2023 · Team lift-out · derived
    • Symphony Financial, Ltd. Co. reported RAUM $453.0M, up 38% from $327.6M (2020-06-23 to 2021-01-22)
      Jan 22, 2021 · RAUM change · derived
    • Symphony Financial, Ltd. Co. filed its initial SEC registration (Form ADV)
      Jun 23, 2014 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/shank-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
    Firm profile
    linkedin.com/company/dogwood-capital-advisorsreportedpublic record, Form ADV, Sep 17, 2026
    Website
    apexrm.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    281-272-6800reportedpublic record, Form ADV, Aug 24, 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
    $29.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026