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
F•••••• F••••• F••••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Mar 22, 2024 · 5 filings
SEC status approved since Apr 22, 2024
RAUM
$321M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$312M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$321M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$321M as of Aug 27, 2026
Apr 2, 2025$268M then
HNW client RAUM$301M as of Aug 27, 2026
Apr 2, 2025$252M then
State-registered IARs (5.B.3)1 as of Aug 27, 2026
Apr 2, 20251 then
Employees (5.A)3 as of Aug 27, 2026
Apr 2, 20253 then
Private funds: 3
RAUM +20% over the last fiscal yearIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $321MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $316M, 118 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$301M94%
- Individuals$10.5M3.3%
- Pension and profit-sharing plans$8.9M2.8%
- Pooled investment vehicles$426,9500.1%
- Individual clients
- 48reported
- HNW clients
- 71reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 302reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $316M for 118 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L•• B••••• | Austin, Tx | Aug 11, 2014 | 15 y | 1 |
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
none on the tape
Joined, latest
- R••••• L•• B••••• from J••••• H•••••••• W••• L••••• L••Aug 11, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• L•• · Managing Member/Chief Compliance Officercontrolsince 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 27, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-02-24, yes on the filing of 2026-08-27peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Aug 27, 2026advises private funds (Item 7.B): no on the filing of 2026-02-24, yes on the filing of 2026-08-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Feb 24, 2026 to Aug 27, 2026
- HNW clients · 73 to 71Feb 24, 2026 to Aug 27, 2026
- Pooled vehicle clients · 0 to 2Feb 24, 2026 to Aug 27, 2026
- Private funds · unset to 3Feb 24, 2026 to Aug 27, 2026
- HNW RAUM · $302M to $301MFeb 24, 2026 to Aug 27, 2026
- Pooled vehicle RAUM · $0 to $426,950Feb 24, 2026 to Aug 27, 2026
- Accounts · 288 to 302Apr 2, 2025 to Feb 24, 2026
- HNW clients · 66 to 73Apr 2, 2025 to Feb 24, 2026
- Individual clients · 36 to 48Apr 2, 2025 to Feb 24, 2026
- Assets in custody · $103M to $316MApr 2, 2025 to Feb 24, 2026
- HQ city · to AUSTINApr 2, 2025 to Feb 24, 2026
- HQ state · to TXApr 2, 2025 to Feb 24, 2026
- Other offices · 0 to 1Apr 2, 2025 to Feb 24, 2026
- Discretionary RAUM · $268M to $321MApr 2, 2025 to Feb 24, 2026
- HNW RAUM · $252M to $302MApr 2, 2025 to Feb 24, 2026
- Individual RAUM · $9.4M to $10.5MApr 2, 2025 to Feb 24, 2026
- Pension RAUM · $6.6M to $8.9MApr 2, 2025 to Feb 24, 2026
- RAUM · $268M to $321MApr 2, 2025 to Feb 24, 2026
- Accounts · 267 to 288Jun 13, 2024 to Apr 2, 2025
- Charity clients · unset to 0.0Jun 13, 2024 to Apr 2, 2025
- Corporate clients · unset to 0.0Jun 13, 2024 to Apr 2, 2025
- HNW clients · 56 to 66Jun 13, 2024 to Apr 2, 2025
- Individual clients · 47 to 36Jun 13, 2024 to Apr 2, 2025
- Pooled vehicle clients · unset to 0.0Jun 13, 2024 to Apr 2, 2025
- Assets in custody · $92.2M to $103MJun 13, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 0Jun 13, 2024 to Apr 2, 2025
- HQ city · unset to Jun 13, 2024 to Apr 2, 2025
- HQ state · unset to Jun 13, 2024 to Apr 2, 2025
- Discretionary RAUM · $271M to $268MJun 13, 2024 to Apr 2, 2025
- HNW RAUM · $255M to $252MJun 13, 2024 to Apr 2, 2025
- Individual RAUM · $9.8M to $9.4MJun 13, 2024 to Apr 2, 2025
- Pension RAUM · $5.9M to $6.6MJun 13, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · unset to 0.0Jun 13, 2024 to Apr 2, 2025
- RAUM · $271M to $268MJun 13, 2024 to Apr 2, 2025
Signals
1 dated events
- F•••••• F••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Mar 22, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- F•••••• F••••• F••••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 843-621-0435reportedpublic record, Form ADV, Aug 27, 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
- $321Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026