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SEC-registered adviser

F•••••••• A•••••• L•••

Independent wealth managerAustin, TexasCRD 260786SEC 801-131564websiteIAPD
Legal name M• F•••••••• A••••• L•••••• L•••••••• C••••••
Latest filing Apr 7, 2026
First filing on the tape Jul 10, 2015 · 11 filings
SEC status approved since Nov 29, 2024
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$130M as of Apr 7, 2026
Mar 31, 2025$110M then
HNW client RAUM$70.0M as of Apr 7, 2026
Mar 31, 2025$55.0M then
State-registered IARs (5.B.3)1 as of Apr 7, 2026
Mar 31, 20251 then
Employees (5.A)2 as of Apr 7, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 7, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$130MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
220derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$185,714derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$70.0M54%
  • Individuals$60.0M46%
Individual clients
200reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
700reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• A•••• A••••Certified Financial PlannerAustin, TxApr 7, 202625 y2
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
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• M••••••• A•••• · Managing Member/Chief Compliance Officercontrol
      since 07/2015 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $110M to $130M
      Mar 31, 2025 to Mar 30, 2026
    • HNW RAUM · $55.0M to $70.0M
      Mar 31, 2025 to Mar 30, 2026
    • Individual RAUM · $55.0M to $60.0M
      Mar 31, 2025 to Mar 30, 2026
    • RAUM · $110M to $130M
      Mar 31, 2025 to Mar 30, 2026
    • Financial planning clients · 11-25 to 11-25
      Nov 8, 2024 to Mar 31, 2025
    • Discretionary RAUM · $105M to $110M
      Nov 8, 2024 to Mar 31, 2025
    • HNW RAUM · $45.0M to $55.0M
      Nov 8, 2024 to Mar 31, 2025
    • Individual RAUM · $60.0M to $55.0M
      Nov 8, 2024 to Mar 31, 2025
    • RAUM · $105M to $110M
      Nov 8, 2024 to Mar 31, 2025
    • Accounts · 260 to 700
      Nov 18, 2015 to Nov 1, 2024
    • Business name · F•••••••• A•••••• L•• to F•••••••• A•••••• L•••
      Nov 18, 2015 to Nov 1, 2024
    • HNW clients · unset to 20.0
      Nov 18, 2015 to Nov 1, 2024
    • Individual clients · unset to 200.0
      Nov 18, 2015 to Nov 1, 2024
    • Employees · 1 to 2
      Nov 18, 2015 to Nov 1, 2024
    • Financial planning clients · 0 to 11-25
      Nov 18, 2015 to Nov 1, 2024
    • Other offices · unset to 0.0
      Nov 18, 2015 to Nov 1, 2024
    • Discretionary RAUM · $20.0M to $105M
      Nov 18, 2015 to Nov 1, 2024
    • HNW RAUM · unset to 45000000.0
      Nov 18, 2015 to Nov 1, 2024
    • Individual RAUM · unset to 60000000.0
      Nov 18, 2015 to Nov 1, 2024
    • RAUM · $20.0M to $105M
      Nov 18, 2015 to Nov 1, 2024
    • Wrap assets (manager) · unset to 0.0
      Nov 18, 2015 to Nov 1, 2024
    • Wrap assets (sponsor) · unset to 0.0
      Nov 18, 2015 to Nov 1, 2024
    • Business name · F•••••••• A•••••• I••• to F•••••••• A•••••• L••
      Nov 16, 2015 to Nov 18, 2015
    • Accounts · 0 to 260
      Jul 31, 2015 to Sep 10, 2015
    • Discretionary RAUM · $0 to $20.0M
      Jul 31, 2015 to Sep 10, 2015
    • RAUM · $0 to $20.0M
      Jul 31, 2015 to Sep 10, 2015
    Signals
    1 dated events
    • F•••••••• A•••••• I••• filed its initial SEC registration (Form ADV)
      Jul 10, 2015 · 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
    s•••••••••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    512-213-6400reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    512-213-6401reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    866-238-4230reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/financialaurorareportedpublic record, Form ADV, Sep 21, 2026
    Website
    f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    512.213.6400reportedpublic record, Form ADV, Apr 7, 2026
    Contact form
    f•••••••••.comreportedpublished 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
    $130Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026