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
M••••• A•••• M•••••••••
Legal name M••••• S••••••••• C•••••••••
Latest filing Jun 29, 2026
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jun 24, 2004
RAUM
$826M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
81%
$667M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$275M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$826M as of Jun 29, 2026
Jun 28, 2012$278M then
HNW client RAUM$647M as of Jun 29, 2026
Jun 27, 2018$364M then
State-registered IARs (5.B.3)3 as of Jun 29, 2026
Jun 28, 20120 then
Employees (5.A)3 as of Jun 29, 2026
Jun 18, 20139 then
Private funds: no history
RAUM +14% over the last fiscal year+7.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- 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
- $275MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.1MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $190M, 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$647M78%
- Corporations and businesses$93.2M11%
- Charitable organizations$65.5M7.9%
- Individuals$20.2M2.4%
- Individual clients
- 77reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 11reported
- Accounts
- 546reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $190M for 118 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L••••• J•••••• | Dallas, Tx | Dec 16, 2002 | 38 y | 1 |
| C•••• T••••• M••••• | Dallas, Tx | Sep 8, 2025 | 11 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
- E••• A••••• to C••••••••• H••• C•••••• M••••••••• L••Jan 28, 2022 · Other
- K•••• B•••• O•••••• to P•••••• P••••••• L••Jul 15, 2009 · Other
Joined, latest
- E••• A••••• from A•••••• A••••••• S•••••••Jan 4, 2018 · Other
- J••• L••••• J•••••• from H•••••• S••••••••• I•••Dec 16, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• L•••••• C• · Secretarycontrolsince 06/2015 · owns 25% to 50%
- M•••••• R•••••• T••••• · President And Chief Compliance Officercontrolsince 06/2015 · owns 50% to 75%
- M•••••• W••••••• B••••• · Chairmancontrolsince 08/1986 · owns less than 5%
Related persons
Schedule D 7.A
- C••••••••• H••• C•••••• M••••••••• L••investment advisernRAUM $18.1M
Advisers that list M••••• A•••• M••••••••• as a related person
- 142227 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 502 to 546Jun 23, 2025 to Jun 29, 2026
- Advisory employees · 2 to 3Jun 23, 2025 to Jun 29, 2026
- Corporate clients · 8 to 10Jun 23, 2025 to Jun 29, 2026
- HNW clients · 61 to 64Jun 23, 2025 to Jun 29, 2026
- Individual clients · 67 to 77Jun 23, 2025 to Jun 29, 2026
- Assets in custody · $205M to $190MJun 23, 2025 to Jun 29, 2026
- Employees · 2 to 3Jun 23, 2025 to Jun 29, 2026
- State-registered IARs · 2 to 3Jun 23, 2025 to Jun 29, 2026
- Discretionary RAUM · $699M to $731MJun 23, 2025 to Jun 29, 2026
- HNW RAUM · $629M to $647MJun 23, 2025 to Jun 29, 2026
- Individual RAUM · $23.8M to $20.2MJun 23, 2025 to Jun 29, 2026
- Non-discretionary RAUM · $94.8M to $95.5MJun 23, 2025 to Jun 29, 2026
- RAUM · $794M to $826MJun 23, 2025 to Jun 29, 2026
- Accounts · 458 to 502Jun 4, 2024 to Jun 23, 2025
- Advisory employees · 3 to 2Jun 4, 2024 to Jun 23, 2025
- Charity clients · 10 to 11Jun 4, 2024 to Jun 23, 2025
- Corporate clients · 9 to 8Jun 4, 2024 to Jun 23, 2025
- HNW clients · 60 to 61Jun 4, 2024 to Jun 23, 2025
- Individual clients · 57 to 67Jun 4, 2024 to Jun 23, 2025
- Assets in custody · $189M to $205MJun 4, 2024 to Jun 23, 2025
- Employees · 3 to 2Jun 4, 2024 to Jun 23, 2025
- Financial planning clients · unset to Jun 4, 2024 to Jun 23, 2025
- State-registered IARs · 3 to 2Jun 4, 2024 to Jun 23, 2025
- Discretionary RAUM · $731M to $699MJun 4, 2024 to Jun 23, 2025
- HNW RAUM · $594M to $629MJun 4, 2024 to Jun 23, 2025
- Individual RAUM · $18.3M to $23.8MJun 4, 2024 to Jun 23, 2025
- Non-discretionary RAUM · $52.3M to $94.8MJun 4, 2024 to Jun 23, 2025
- RAUM · $784M to $794MJun 4, 2024 to Jun 23, 2025
- Accounts · 426 to 458May 26, 2023 to Jun 4, 2024
- Charity clients · 8 to 10May 26, 2023 to Jun 4, 2024
- Corporate clients · 8 to 9May 26, 2023 to Jun 4, 2024
- HNW clients · 51 to 60May 26, 2023 to Jun 4, 2024
- Individual clients · 61 to 57May 26, 2023 to Jun 4, 2024
- Assets in custody · $156M to $189MMay 26, 2023 to Jun 4, 2024
- Discretionary RAUM · $695M to $731MMay 26, 2023 to Jun 4, 2024
- HNW RAUM · $532M to $594MMay 26, 2023 to Jun 4, 2024
- Individual RAUM · $23.3M to $18.3MMay 26, 2023 to Jun 4, 2024
- Non-discretionary RAUM · $32.1M to $52.3MMay 26, 2023 to Jun 4, 2024
- RAUM · $727M to $784MMay 26, 2023 to Jun 4, 2024
- Accounts · 407 to 426Jun 17, 2022 to May 26, 2023
Signals
2 dated events
- E••• L•••••• A••••• (Chief Compliance Officer) no longer on Schedule A of M••••• A•••• M••••••••• (listed 2021-06-21, absent 2022-06-17)Jun 17, 2022 · Control person left · inference
- E••• A••••• left M••••• A•••• M••••••••• for F•••• N••••••• A•••••••• L•• (registered 2022-02-15)Jan 28, 2022 · 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
- Principal office phone
- 214-855-5335reportedpublic record, Form ADV, Jun 29, 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
- $275Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026