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

Granite Harbor Advisors, Inc.

Independent wealth managerHouston, TexasCRD 179523SEC 801-110558websiteIAPD
Latest filing Aug 10, 2026
First filing on the tape Apr 13, 2015 · 39 filings
SEC status approved since May 30, 2017
RAUM
$642M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$587M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$64.2M
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$642M as of Aug 10, 2026
Mar 29, 2018$124M then
HNW client RAUM$487M as of Aug 10, 2026
Mar 29, 2018$90.9M then
State-registered IARs (5.B.3)9 as of Aug 10, 2026
Mar 29, 20183 then
Employees (5.A)12 as of Aug 10, 2026
Mar 29, 20184 then
Private funds3 as of Aug 10, 2026
Mar 26, 20242 then
RAUM +14% over the last fiscal year+26% a year over threeIARs 10 to 9offices 0 to 1
Practice profile
derived from the filing of Aug 10, 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
  • 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)
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$64.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$601,251derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
-10%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.9%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$1.1BreportedItem 5.I
Custody
$285M, 185 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)
  • 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 testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$487M76%
  • Individuals$99.8M16%
  • Pooled investment vehicles$20.2M3.1%
  • Insurance companies$16.2M2.5%
  • Corporations and businesses$11.1M1.7%
  • Pension and profit-sharing plans$6.3M1.0%
  • Charitable organizations$1.8M0.3%
Individual clients
262reported
HNW clients
154reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
1,068reported
Financial planning clients
51-100reported
Wrap fee programs
$601M sponsored, $521M managedreported
Custody of client assets
$285M for 185 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
private_client_share=0.91 fund_share=0.03 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Timothy Brian SmithCertified Financial PlannerHouston, TxMay 4, 201530 y2
Nicholas Matthew BrownCertified Financial Planner, Chartered Financial AnalystHouston, TxMay 4, 201511 y1
Brian Waylon SakCertified Financial Planner, Chartered Financial ConsultantHouston, TxMay 5, 201522 y2
Gregory Dale ShawCertified Financial PlannerHouston, TxNov 17, 201617 y1
Jared S VirgadamoHouston, TxFeb 11, 202613 y1
Tam Minh NguyenHouston, Tx Feb 25, 202635 y0
Cameron James McilhennyHouston, TxMar 4, 202619 y1
Erica BourquinCertified Financial PlannerHouston, Tx May 4, 202610 y1
Allexander Antonio PellicanoChartered Financial AnalystHouston, Tx Jul 15, 202610 y0
Emile NiyonkuruHouston, TxAug 25, 202610 y2
Advisor movement
5 left, 5 joined in 12 months
net 0 in 12 months3 left in 90 days1 joined in 90 daysdeparture rate 50% of current headcount6 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
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Granite Harbor - West Allis Investors, LPOther Private Fund$00Nov 2, 2023
    Cypress Vieux Investors, LLCPrivate Equity Fund$00May 9, 2023
    Owners and control persons
    Schedule A and B, latest filing
    • Matthew Nicholas Brown · Chief Compliance Officercontrol
      since 05/2015 · owns 25% to 50%
    • Waylon Brian Sak · Managing Partnercontrol
      since 05/2015 · owns 25% to 50%
    • Brian Timothy Smith · President And Chief Executive Officercontrol
      since 05/2015 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • Cypress Vieux Manager
      pooled vehicle sponsory
    • Granite Harbor - West Allis Gp, LLC
      pooled vehicle sponsory
    • Granite Harbor Group
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Houston, Tx · principal1065
    Hartland, Wi220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • private fund count surgeChange between filings · filing Mar 30, 2026
      private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-10 and 2026-03-30; the peer median change was 0.0% (72 comparable advisers, 93.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (72) · 93% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Other offices · 0 to 1
      Mar 30, 2026 to May 4, 2026
    • Accounts · 957 to 1,068
      Jan 27, 2026 to Mar 30, 2026
    • Advisory employees · 8 to 6
      Jan 27, 2026 to Mar 30, 2026
    • HNW clients · 129 to 154
      Jan 27, 2026 to Mar 30, 2026
    • Individual clients · 260 to 262
      Jan 27, 2026 to Mar 30, 2026
    • Pension plan clients · unset to 5.0
      Jan 27, 2026 to Mar 30, 2026
    • Pooled vehicle clients · 2 to 3
      Jan 27, 2026 to Mar 30, 2026
    • Assets in custody · $269M to $285M
      Jan 27, 2026 to Mar 30, 2026
    • Employees · 15 to 12
      Jan 27, 2026 to Mar 30, 2026
    • Financial planning clients · 1-10 to 51-100
      Jan 27, 2026 to Mar 30, 2026
    • State-registered IARs · 10 to 9
      Jan 27, 2026 to Mar 30, 2026
    • Discretionary RAUM · $557M to $636M
      Jan 27, 2026 to Mar 30, 2026
    • HNW RAUM · $441M to $487M
      Jan 27, 2026 to Mar 30, 2026
    • Individual RAUM · $78.5M to $99.8M
      Jan 27, 2026 to Mar 30, 2026
    • Non-discretionary RAUM · $4.7M to $6.3M
      Jan 27, 2026 to Mar 30, 2026
    • Pension RAUM · $4.7M to $6.3M
      Jan 27, 2026 to Mar 30, 2026
    • Pooled vehicle RAUM · $13.4M to $20.2M
      Jan 27, 2026 to Mar 30, 2026
    • RAUM · $561M to $642M
      Jan 27, 2026 to Mar 30, 2026
    • Related adviser · false to true
      Jan 27, 2026 to Mar 30, 2026
    • Wrap assets (manager) · $460M to $521M
      Jan 27, 2026 to Mar 30, 2026
    • Wrap assets (sponsor) · $532M to $601M
      Jan 27, 2026 to Mar 30, 2026
    • Private funds · 2 to 3
      Jul 8, 2025 to Aug 19, 2025
    • Financial planning clients · 1-10 to 1-10
      May 19, 2025 to Jul 8, 2025
    • BD registered reps · 1 to 0
      Mar 10, 2025 to May 19, 2025
    • Accounts · 824 to 957
      Apr 25, 2024 to Mar 10, 2025
    • Advisory employees · 7 to 8
      Apr 25, 2024 to Mar 10, 2025
    • Advisory activities · 5 to 6
      Apr 25, 2024 to Mar 10, 2025
    • BD registered reps · 0 to 1
      Apr 25, 2024 to Mar 10, 2025
    • Charity clients · 1.0 to unset
      Apr 25, 2024 to Mar 10, 2025
    • Corporate clients · 5 to 7
      Apr 25, 2024 to Mar 10, 2025
    • HNW clients · 112 to 129
      Apr 25, 2024 to Mar 10, 2025
    • Individual clients · 236 to 260
      Apr 25, 2024 to Mar 10, 2025
    • Pension plan clients · 5.0 to unset
      Apr 25, 2024 to Mar 10, 2025
    • Pooled vehicle clients · unset to 2.0
      Apr 25, 2024 to Mar 10, 2025
    • Assets in custody · $180M to $269M
      Apr 25, 2024 to Mar 10, 2025
    • Employees · 12 to 15
      Apr 25, 2024 to Mar 10, 2025
    • Financial planning clients · 11-25 to 1-10
      Apr 25, 2024 to Mar 10, 2025
    • State-registered IARs · 7 to 10
      Apr 25, 2024 to Mar 10, 2025
    • Discretionary RAUM · $396M to $557M
      Apr 25, 2024 to Mar 10, 2025
    • HNW RAUM · $323M to $441M
      Apr 25, 2024 to Mar 10, 2025
    Signals
    9 dated events
    • Austin Manning left Granite Harbor Advisors, Inc. for Rhame & Gorrell Wealth Management (registered 2026-02-18)
      Aug 24, 2026 · Advisor changed firm · fact
    • Bethanie Anne Baker left Granite Harbor Advisors, Inc. for Willis Johnson Wealth (registered 2026-09-15)
      Aug 18, 2026 · Advisor changed firm · fact
    • Caleb Luke Christian left Granite Harbor Advisors, Inc. for Prosperity Capital Advisors (registered 2026-01-27)
      Jul 31, 2026 · Advisor changed firm · fact
    • Samuel Paul Gagne left Granite Harbor Advisors, Inc. for Hightower Advisors, Llc (registered 2026-03-09)
      Feb 20, 2026 · Advisor changed firm · fact
    • Pijus Bulvinas left Granite Harbor Advisors, Inc. for Wealth And Plan (registered 2026-02-18)
      Feb 3, 2026 · Advisor changed firm · fact
    • Nicholas E. Gonzalez left Granite Harbor Advisors, Inc. for Strategic Advisers Llc (registered 2025-10-03)
      Mar 10, 2025 · Advisor changed firm · fact
    • Granite Harbor Advisors, Inc. reported RAUM $561.4M, up 40% from $401.2M (2024-04-25 to 2025-03-10)
      Mar 10, 2025 · RAUM change · derived
    • Granite Harbor Advisors, Inc. reported RAUM $263.4M, up 63% from $161.8M (2019-04-22 to 2020-03-23)
      Mar 23, 2020 · RAUM change · derived
    • Granite Harbor Advisors, Inc. filed its initial SEC registration (Form ADV)
      Apr 13, 2015 · 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
    Business phone
    262-307-2362reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    832-461-0789reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/granite-harbor-advisorsreportedpublic record, Form ADV, Sep 17, 2026
    Website
    graniteharborgroup.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    832-461-0789reportedpublic record, Form ADV, Aug 10, 2026
    Contact form
    graniteharbor.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    graniteharbor.com/our-firm/our-teamreportedpublished 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
    $64.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026