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
A••••• W••••• M••••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Dec 16, 2019 · 30 filings
SEC status approved since Jan 13, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
58%
$626M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Aug 4, 2026
Mar 16, 2020$165M then
HNW client RAUM$503M as of Aug 4, 2026
Mar 16, 2020$89.2M then
State-registered IARs (5.B.3)8 as of Aug 4, 2026
Mar 16, 20203 then
Employees (5.A)18 as of Aug 4, 2026
Mar 16, 20206 then
Private funds: no history
RAUM +41% over the last fiscal year+36% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Aug 4, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $356,940derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $325M, 1,100 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$503M76%
- Individuals$123M19%
- Pension and profit-sharing plans$31.9M4.9%
- Individual clients
- 391reported
- HNW clients
- 189reported
- Pension plan clients
- 47reported
- Charitable clients
- n/areported
- Accounts
- 3,034reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $325M for 1,100 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• X••••• S•••• | A•••••, Tx | Sep 25, 2014 | 22 y | 3 |
| D•••• D•••• R•••Certified Financial Planner | A•••••, Tx | Nov 16, 2015 | 28 y | 6 |
| J••• R•••••• T•••••••Certified Financial Planner | A•••••, Tx | Feb 8, 2019 | 12 y | 2 |
| A••• B••• F••••• G••• | A•••••, Tx | Jul 4, 2022 | 10 y | 0 |
| M•••••• G••••Certified Financial Planner | A•••••, Tx | Sep 4, 2022 | 10 y | 0 |
| D•••• W••• L•••Certified Financial Planner | A•••••, Tx | Jan 18, 2024 | 19 y | 0 |
| C••••• A•••••• C••••••• | A•••••, Tx | Jul 2, 2025 | 12 y | 0 |
| D••••• D•••••Personal Financial Specialist | A•••••, Tx | Oct 2, 2025 | 42 y | 4 |
| E••• M•••••• H••Chartered Financial Analyst | A•••••, Tx | Jan 25, 2026 | 14 y | 1 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount5 left over 36 months
Left, latest
- N•••••• L••••••• Y•••• to P•••••• W••••• M••••••••• G••••Aug 3, 2026 · RIA to RIA
- P••••• B••••• M••••• to A••••••• W••••• M••••••••• L••May 26, 2026 · RIA to RIA
- M•••••• W••••• P••••• to S•••••• W••••• L••Feb 1, 2026 · RIA to a state-registered adviser
- J•••• W• M••••••• to C••••••• P•••••••• I•••Jul 11, 2024 · RIA to RIA
- B•••••• P••••• C••••• to N••••••••• M••••• I••••••••• S•••••••••Jul 3, 2024 · Other
- W•••• K•••• M•••• to L•• F•••••••• L••Dec 5, 2019 · RIA to affiliated broker-dealer or bank
- W••••• H••••••• G••••• to G••••• W••••• C••••••••• L••Jun 19, 2019 · Other
- J••••••• M••••• M•••••• to S•••• C••••• W••••• M••••••••• L••Nov 17, 2017 · Other
- J••• M•••••• R•••••• to J•• F•••••••• • T•• A••••••• G••••• L••Dec 10, 2014 · RIA to RIA
Joined, latest
- E••• M•••••• H•• from M••••••• W••••• M•••••••••Jan 25, 2026 · RIA to RIA
- P••••• B••••• M••••• from O•••• P•••••••• S••••••••• L••Oct 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- N•••••• L••••••• Y•••• from C••••••• P•••••••Jan 21, 2025 · RIA to RIA
- B•••••• P••••• C••••• from C••••• A•••••• N••••••• L••Jun 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• W• M••••••• from M••••• S••••••Oct 18, 2022 · Wirehouse to independent RIA
- M•••••• W••••• P••••• from T•• W••••• C••••••••• G••••Jul 19, 2021 · RIA to RIA
- J••• R•••••• T••••••• from U•• F•••••••• S••••••• I•••Feb 8, 2019 · Wirehouse to independent RIA
- J••••••• M••••• M•••••• from L••••••• F•••••••• G•••• L••Jul 15, 2016 · Other
- D•••• D•••• R••• from W••••• M••••••••• C•••••••••Nov 16, 2015 · Other
- D••••• D••••• from T•••• A•••••••• L••Sep 26, 2014 · Other
- K•••• X••••• S•••• from T•••• A•••••••• L••Sep 25, 2014 · Other
- J••• M•••••• R•••••• from N•• A•••••• S•••••••• L••Sep 24, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• D••••• D•••• · Managing Principal / Ccocontrolsince 06/2019 · owns 10% to 25%
- S••••• K••••• X••••• · Managing Principal / Ceocontrolsince 02/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| A•••••, Tx · principal | 9 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,671 to 3,034Dec 19, 2025 to Mar 25, 2026
- Advisory employees · 10 to 11Dec 19, 2025 to Mar 25, 2026
- HNW clients · 127 to 189Dec 19, 2025 to Mar 25, 2026
- Individual clients · 549 to 391Dec 19, 2025 to Mar 25, 2026
- Pension plan clients · 45 to 47Dec 19, 2025 to Mar 25, 2026
- Assets in custody · $307M to $325MDec 19, 2025 to Mar 25, 2026
- Employees · 16 to 18Dec 19, 2025 to Mar 25, 2026
- Insurance-licensed employees · 0 to 7Dec 19, 2025 to Mar 25, 2026
- State-registered IARs · 7 to 8Dec 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $732M to $989MDec 19, 2025 to Mar 25, 2026
- HNW RAUM · $338M to $503MDec 19, 2025 to Mar 25, 2026
- Individual RAUM · $176M to $123MDec 19, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $34.3M to $94.1MDec 19, 2025 to Mar 25, 2026
- Pension RAUM · $29.0M to $31.9MDec 19, 2025 to Mar 25, 2026
- RAUM · $766M to $1.1BDec 19, 2025 to Mar 25, 2026
- Financial planning clients · 101-250 to 101-250Mar 30, 2025 to Jul 28, 2025
- Accounts · 2,267 to 2,671Dec 16, 2024 to Mar 30, 2025
- Advisory employees · 9 to 10Dec 16, 2024 to Mar 30, 2025
- HNW clients · 116 to 127Dec 16, 2024 to Mar 30, 2025
- Individual clients · 398 to 549Dec 16, 2024 to Mar 30, 2025
- Assets in custody · $243M to $307MDec 16, 2024 to Mar 30, 2025
- Employees · 13 to 16Dec 16, 2024 to Mar 30, 2025
- State-registered IARs · 6 to 7Dec 16, 2024 to Mar 30, 2025
- Discretionary RAUM · $532M to $732MDec 16, 2024 to Mar 30, 2025
- HNW RAUM · $273M to $338MDec 16, 2024 to Mar 30, 2025
- Individual RAUM · $122M to $176MDec 16, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $36.0M to $34.3MDec 16, 2024 to Mar 30, 2025
- Pension RAUM · $15.0M to $29.0MDec 16, 2024 to Mar 30, 2025
- RAUM · $568M to $766MDec 16, 2024 to Mar 30, 2025
- Accounts · 1,899 to 2,267Aug 22, 2023 to Feb 27, 2024
- Advisory employees · 6 to 9Aug 22, 2023 to Feb 27, 2024
- HNW clients · 94 to 116Aug 22, 2023 to Feb 27, 2024
- Individual clients · 453 to 398Aug 22, 2023 to Feb 27, 2024
- Pension plan clients · 30 to 45Aug 22, 2023 to Feb 27, 2024
- Assets in custody · $160M to $243MAug 22, 2023 to Feb 27, 2024
- Employees · 12 to 13Aug 22, 2023 to Feb 27, 2024
- Discretionary RAUM · $423M to $532MAug 22, 2023 to Feb 27, 2024
- HNW RAUM · $197M to $273MAug 22, 2023 to Feb 27, 2024
- Individual RAUM · $155M to $122MAug 22, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $9.7M to $36.0MAug 22, 2023 to Feb 27, 2024
Signals
12 dated events
- N•••••• L••••••• Y•••• left A••••• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• G•••• (registered 2026-09-01)Aug 3, 2026 · a•••••• firm change · fact
- P••••• B••••• M••••• left A••••• W••••• M••••••••• L•• for A••••••• W••••• M••••••••• L•• (registered 2026-08-13)May 26, 2026 · a•••••• firm change · fact
- A••••• W••••• M••••••••• L•• reported RAUM $1.1B, up 41% from $766.4M (2025-12-19 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- M•••••• W••••• P••••• left A••••• W••••• M••••••••• L•• for S•••••• W••••• L•• (registered 2026-03-25)Feb 1, 2026 · a•••••• firm change · fact
- A••••• W••••• M••••••••• L•• reported RAUM $766.4M, up 35% from $568.4M (2024-12-16 to 2025-03-30)Mar 30, 2025 · RAUM change · derived
- J•••• W• M••••••• left A••••• W••••• M••••••••• L•• for C••••••• P•••••••• I••• (registered 2024-08-19)Jul 11, 2024 · a•••••• firm change · fact
- B•••••• P••••• C••••• left A••••• W••••• M••••••••• L•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2025-01-15)Jul 3, 2024 · a•••••• firm change · fact
- A••••• W••••• M••••••••• L•• reported RAUM $568.4M, up 31% from $432.7M (2023-08-22 to 2024-02-27)Feb 27, 2024 · RAUM change · derived
- A••••• W••••• M••••••••• L•• reported RAUM $432.7M, up 41% from $307.5M (2022-11-01 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- A••••• W••••• M••••••••• L•• reported RAUM $307.5M, up 50% from $205.6M (2021-12-02 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- D••••• D••••• (Managing Principal) no longer on Schedule A of A••••• W••••• M••••••••• L•• (listed 2020-09-10, absent 2020-12-16)Dec 16, 2020 · Control person left · inference
- A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 16, 2019 · 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 email
- info@austinwealthmgmt.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 512-467-2000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/A•••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••WEALTHMGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-467-2000reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- austinwealthmgmt.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- austinwealthmgmt.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026