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.

Former SEC-registered adviser

Guiding Wealth Management, LLC

STATE REGISTEREDRichardson, TexasCRD 175242websiteIAPD
Latest filing Jun 16, 2026
First filing on the tape Jun 16, 2026 · 1 filings
RAUM
$59.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$59.4M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
RAUM per advisor
$19.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
23derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$300,157derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$42.4M71%
  • Individuals$17.1M29%
Individual clients
49reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
198reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Hannah Joy MooreCertified Financial PlannerRichardson, TxMar 20, 201517 y1
Luis Efren RazoSan Bernardino, Ca Mar 8, 202410 y0
Neven A KraguljevicRichardson, Tx Jul 4, 202411 y0
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Richardson, Tx · principal301
Las Vegas, Nv001
Mechanicsburg, Pa000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
6 dated events
  • Deirdre Mairead Hegarty left Guiding Wealth Management, Llc for Branch & Bloom Financial Planning, Llc (registered 2026-01-06)
    Apr 6, 2026 · Advisor changed firm · fact
  • Joseph Francisco Schneider left Guiding Wealth Management, Llc for Core Planning (registered 2026-02-11)
    Jan 9, 2026 · Advisor changed firm · fact
  • Eunsoo Chung left Guiding Wealth Management, Llc for Xypn Sapphire (registered 2025-08-28)
    Aug 25, 2025 · Advisor changed firm · fact
  • Huyen Thuong Nguyen no longer registered at Guiding Wealth Management, Llc; no later IA registration on IAPD
    Dec 23, 2024 · Advisor departure · fact
  • Korinne Kay Sugasawara left Guiding Wealth Management, Llc for Core Planning (registered 2025-01-29)
    Dec 23, 2024 · Advisor changed firm · fact
  • Tricia A Prehle left Guiding Wealth Management, Llc for Equita Financial Network, Inc. (registered 2026-07-28)
    Dec 23, 2024 · Advisor changed firm · 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
Firm profile
linkedin.com/company/7576063/adminreportedpublic record, Form ADV, Sep 17, 2026
Website
GUIDINGWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
214-810-3835reportedpublic record, Form ADV, Jun 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026