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••••• L••• A•••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Nov 14, 2014 · 35 filings
SEC status approved since Dec 3, 2014
RAUM
$1.2B
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
64%
$770M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$300M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.2B as of Feb 10, 2026
Mar 27, 2015$180M then
HNW client RAUM$770M as of Feb 10, 2026
Mar 30, 2018$278M then
State-registered IARs (5.B.3)4 as of Feb 10, 2026
Mar 27, 20151 then
Employees (5.A)7 as of Feb 10, 2026
Mar 27, 20151 then
Private funds13 as of Feb 10, 2026
Mar 29, 20161 then
RAUM +13% over the last fiscal year+10% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- 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)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $300MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$770M64%
- Pooled investment vehicles$420M35%
- Corporations and businesses$8.0M0.7%
- Individual clients
- n/areported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 926reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.64 fund_share=0.35 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• E•••• A••••• | Houston, Tx | Feb 24, 2015 | 26 y | 1 |
| S••••• D••••• O•••••Chartered Financial Analyst | Houston, Tx | Feb 5, 2020 | 30 y | 0 |
| S•••••• B•••• B•••••Certified Financial Planner | Houston, Tx | Apr 1, 2022 | 13 y | 2 |
| J•••• S•••••• M••••• | Houston, Tx | Aug 1, 2024 | 10 y | 0 |
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
- C•••••• C•••••• M•••• to C••••• P••••••• L••Jan 31, 2022 · RIA to RIA
Joined, latest
- S•••••• B•••• B••••• from R•••••• J•••• • A••••••••• I•••Apr 1, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••••• C•••••• M•••• from I••••••• W••••• S•••••••••Mar 20, 2020 · RIA to RIA
- D•••• E•••• A••••• from C••••• S••••• S••••••••• •••• L••Feb 24, 2015 · Other
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• L••• D••••••••• S••••••••• L• | Hedge Fund | $121M | 31 | May 26, 2015 |
| A••••• L••• A•••• O••••••••• L• | Hedge Fund | $58.1M | 31 | Mar 24, 2022 |
| A• C•••• P••••••• | Private Equity Fund | $47.0M | 81 | Mar 27, 2023 |
| A• S•••••••• I• L• | Real Estate Fund | $27.6M | 82 | Oct 14, 2022 |
| A• H•••••• V• L• | Real Estate Fund | $26.4M | 103 | Mar 24, 2022 |
| A• I•• I•• L• | Real Estate Fund | $24.9M | 24 | Mar 22, 2021 |
| A• E••• I• L• | Private Equity Fund | $19.0M | 122 | Mar 22, 2021 |
| A• P••• C•••••• I• L• | Venture Capital Fund | $18.3M | 16 | Mar 22, 2021 |
| A• R•• D•• I•• L•no longer reported | Real Estate Fund | $12.2M | 28 | Mar 22, 2021 |
| A• A••• I•• L• | Real Estate Fund | $8.5M | 11 | Mar 22, 2021 |
| A• P••• C•••••• I•• L• | Venture Capital Fund | $8.0M | 29 | Oct 14, 2022 |
| A• S•••••• I•• L• | $5.8M | 37 | Feb 10, 2026 | |
| A• S•••••••• I• L•no longer reported | Real Estate Fund | $1.4M | 8 | Sep 29, 2017 |
| A• C••••••• S••••••• L• | Real Estate Fund | $1.3M | 10 | Mar 23, 2020 |
| A• A••• I••• L• | Real Estate Fund | $49,691 | 8 | Mar 20, 2019 |
| A• M•• I• L•no longer reported | Venture Capital Fund | $34,000 | 10 | Mar 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••••• E•••• · Managercontrolsince 09/2014 · owns 25% to 50%
- M•••••• J••••• S•••••• · Chief Investment Officer, Partnercontrolsince 01/2024 · owns 25% to 50%
- O•••••• S•••••• D••••• · Member/Ccocontrolsince 01/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••• G•••••• L•pooled vehicle sponsory
- A••••• L••• G•••••• L•pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Feb 10, 2026accounts (Item 5.F.2.f) moved from 541.0 to 926.0 (+71.0%) between the annual amendments of 2025-02-19 and 2026-02-10; the peer median change was +6.0% (1206 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 541 to 926Jun 30, 2025 to Feb 10, 2026
- Corporate clients · unset to 1.0Jun 30, 2025 to Feb 10, 2026
- HNW clients · 52 to 59Jun 30, 2025 to Feb 10, 2026
- Private funds · 14 to 13Jun 30, 2025 to Feb 10, 2026
- Discretionary RAUM · $714M to $777MJun 30, 2025 to Feb 10, 2026
- HNW RAUM · $671M to $770MJun 30, 2025 to Feb 10, 2026
- Non-discretionary RAUM · $346M to $422MJun 30, 2025 to Feb 10, 2026
- Pooled vehicle RAUM · $389M to $420MJun 30, 2025 to Feb 10, 2026
- RAUM · $1.1B to $1.2BJun 30, 2025 to Feb 10, 2026
- Financial planning clients · 26-50 to 26-50Feb 19, 2025 to Jun 30, 2025
- Accounts · 495 to 541Jun 21, 2024 to Feb 19, 2025
- Advisory employees · 3 to 4Jun 21, 2024 to Feb 19, 2025
- HNW clients · 49 to 52Jun 21, 2024 to Feb 19, 2025
- Employees · 8 to 7Jun 21, 2024 to Feb 19, 2025
- State-registered IARs · 3 to 4Jun 21, 2024 to Feb 19, 2025
- Private funds · 13 to 14Jun 21, 2024 to Feb 19, 2025
- Discretionary RAUM · $631M to $714MJun 21, 2024 to Feb 19, 2025
- HNW RAUM · $586M to $671MJun 21, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $338M to $346MJun 21, 2024 to Feb 19, 2025
- Pooled vehicle RAUM · $383M to $389MJun 21, 2024 to Feb 19, 2025
- RAUM · $969M to $1.1BJun 21, 2024 to Feb 19, 2025
- Accounts · 803 to 495Mar 1, 2024 to Mar 7, 2024
- Advisory employees · 4 to 3Mar 1, 2024 to Mar 7, 2024
- HNW clients · 44 to 49Mar 1, 2024 to Mar 7, 2024
- Employees · 7 to 8Mar 1, 2024 to Mar 7, 2024
- State-registered IARs · 4 to 3Mar 1, 2024 to Mar 7, 2024
- Discretionary RAUM · $555M to $631MMar 1, 2024 to Mar 7, 2024
- HNW RAUM · $559M to $586MMar 1, 2024 to Mar 7, 2024
- Non-discretionary RAUM · $341M to $338MMar 1, 2024 to Mar 7, 2024
- Pooled vehicle RAUM · $337M to $383MMar 1, 2024 to Mar 7, 2024
- RAUM · $896M to $969MMar 1, 2024 to Mar 7, 2024
- Advisory employees · 5 to 4Mar 28, 2023 to Jul 12, 2023
- Employees · 8 to 7Mar 28, 2023 to Jul 12, 2023
- State-registered IARs · 5 to 4Mar 28, 2023 to Jul 12, 2023
- Accounts · 345 to 803Oct 14, 2022 to Mar 27, 2023
- Advisory employees · 4 to 5Oct 14, 2022 to Mar 27, 2023
- Advisory activities · 4 to 5Oct 14, 2022 to Mar 27, 2023
- HNW clients · 32 to 44Oct 14, 2022 to Mar 27, 2023
- Pooled vehicle clients · 12 to 13Oct 14, 2022 to Mar 27, 2023
- Employees · 7 to 8Oct 14, 2022 to Mar 27, 2023
Signals
6 dated events
- Stanley James Mooney (Chief Investment Officer, Partner) appeared on Schedule A of A••••• L••• A•••••••• L••Mar 7, 2024 · Control person joined · fact
- Michael Scott Wilmoth (Chief Investment Officer) no longer on Schedule A of A••••• L••• A•••••••• L•• (listed 2023-03-28, absent 2023-07-12)Jul 12, 2023 · Control person left · inference
- Michael Scott Wilmoth (Chief Investment Officer) appeared on Schedule A of A••••• L••• A•••••••• L••Oct 14, 2022 · Control person joined · fact
- C•••••• C•••••• M•••• left A••••• L••• A•••••••• L•• for C••••• P••••••• L•• (registered 2022-02-16)Jan 31, 2022 · Advisor changed firm · fact
- Dudley Steven Oldham (Member/Cco) appeared on Schedule A of A••••• L••• A•••••••• L••Jan 13, 2020 · Control person joined · fact
- A••••• L••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 14, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• L••• A•••••••• L•• · Family Officesshared crd · office
- A••••• L••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••••• L••• A•••••••• L•• · Private Equityshared crd · organization
- A••••• L••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@autumnlanellc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 713-636-2075reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/autumn-lane-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••L•••LLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (713) 636-2075reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- autumnlanellc.com/contact-usreportedpublished 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
- $300Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
A••••• L••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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