DFX Intelligence

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B••• A••••••• L••

Independent wealth managerSEC-registered· Plano, Texaswebsite

Independent wealth manager, based in Plano, Texas, reporting $1.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.2M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +53%
Private clients: 100% of RAUM, $1.2M

Advisors Advisor movement Where the RAUM sits

As of 2026-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +53% over the last fiscal year, to $1.2M.
2026-03-26
RAUM a year earlier $805,459RAUM now $1.2M
3 published business contact points are on record, each with its source.
Contact points 3

Every filed figure, and the identifiersCRD 269900 · SEC 801-104469 · 41 filingsShow

CRD 269900SEC 801-104469First filing on the tape Jul 22, 2015, latest Mar 26, 2026SEC status approved since Aug 27, 2015IAPD

RAUM

$1.2M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$1.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

41 filings and snapshots on the tape

RAUM$1.2M as of Mar 26, 2026

Mar 31, 2016$24.5M then

HNW client RAUM$150,293 as of Mar 26, 2026

Mar 1, 2018$3.9M then

State-registered IARs (5.B.3)1 as of Mar 26, 2026

Mar 31, 20160 then

Employees (5.A)3 as of Mar 26, 2026

Mar 31, 20165 then

Private funds: no history

RAUM +53% over the last fiscal year+77% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 26, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $1.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 148derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $13,663derivedHNW RAUM over HNW clients
Average account: $8,329derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +53%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +56%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $1.2MreportedItem 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 a broker-dealer (6.A.1)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$1.1M88%
High-net-worth individuals$150,29312%

Individual clients: 137reported
HNW clients: 11reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 148reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F••••••• R••••••• B•••• · Presidentcontrol
since 06/2015 · owns less than 5%
K••••••• T••••• S• · Chief Compliance Officercontrol
since 10/2020 · owns less than 5%

Entity owners

B••• H••••••• L•• · Managing Member
direct · owns 75% or more
B••• H••••••• L•• · Shareholder
indirect · owns 75% or more of B••• H••••••• L••

Related persons

Schedule D 7.A

R•••••••• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 95 to 148
Feb 12, 2026 to Mar 26, 2026
HNW clients · 4 to 11
Feb 12, 2026 to Mar 26, 2026
Individual clients · 91 to 137
Feb 12, 2026 to Mar 26, 2026
Discretionary RAUM · $805,459 to $1.2M
Feb 12, 2026 to Mar 26, 2026
HNW RAUM · $92,445 to $150,293
Feb 12, 2026 to Mar 26, 2026
Individual RAUM · $713,014 to $1.1M
Feb 12, 2026 to Mar 26, 2026
RAUM · $805,459 to $1.2M
Feb 12, 2026 to Mar 26, 2026
Accounts · 28 to 95
Mar 28, 2024 to Mar 26, 2025
HNW clients · 2 to 4
Mar 28, 2024 to Mar 26, 2025
Individual clients · 26 to 91
Mar 28, 2024 to Mar 26, 2025
Financial planning clients · 0 to 0
Mar 28, 2024 to Mar 26, 2025
Discretionary RAUM · $315,380 to $805,459
Mar 28, 2024 to Mar 26, 2025
HNW RAUM · $79,520 to $92,445
Mar 28, 2024 to Mar 26, 2025
Individual RAUM · $235,860 to $713,014
Mar 28, 2024 to Mar 26, 2025
RAUM · $315,380 to $805,459
Mar 28, 2024 to Mar 26, 2025
Accounts · 11 to 28
Oct 30, 2023 to Mar 28, 2024
Individual clients · 9 to 26
Oct 30, 2023 to Mar 28, 2024
Discretionary RAUM · $184,791 to $315,380
Oct 30, 2023 to Mar 28, 2024
HNW RAUM · $75,459 to $79,520
Oct 30, 2023 to Mar 28, 2024
Individual RAUM · $109,332 to $235,860
Oct 30, 2023 to Mar 28, 2024
RAUM · $184,791 to $315,380
Oct 30, 2023 to Mar 28, 2024
Accounts · 16 to 11
Jan 31, 2023 to Sep 28, 2023
HNW clients · 7 to 2
Jan 31, 2023 to Sep 28, 2023
Discretionary RAUM · $223,105 to $184,791
Jan 31, 2023 to Sep 28, 2023
HNW RAUM · $153,452 to $75,459
Jan 31, 2023 to Sep 28, 2023
Individual RAUM · $69,653 to $109,332
Jan 31, 2023 to Sep 28, 2023
RAUM · $223,105 to $184,791
Jan 31, 2023 to Sep 28, 2023
Accounts · 69 to 16
Nov 15, 2022 to Jan 31, 2023
HNW clients · 25 to 7
Nov 15, 2022 to Jan 31, 2023
Individual clients · 44 to 9
Nov 15, 2022 to Jan 31, 2023
Discretionary RAUM · $723,467 to $223,105
Nov 15, 2022 to Jan 31, 2023
HNW RAUM · $442,704 to $153,452
Nov 15, 2022 to Jan 31, 2023
Individual RAUM · $280,763 to $69,653
Nov 15, 2022 to Jan 31, 2023
RAUM · $723,467 to $223,105
Nov 15, 2022 to Jan 31, 2023
Accounts · 197 to 69
Jun 29, 2021 to Mar 31, 2022
HNW clients · 47 to 25
Jun 29, 2021 to Mar 31, 2022
Individual clients · 150 to 44
Jun 29, 2021 to Mar 31, 2022
Discretionary RAUM · $969,787 to $723,467
Jun 29, 2021 to Mar 31, 2022
HNW RAUM · $444,684 to $442,704
Jun 29, 2021 to Mar 31, 2022
Individual RAUM · $525,103 to $280,763
Jun 29, 2021 to Mar 31, 2022

Signals

7 dated events

••• Locked
Mar 26, 2026 · ria indirect owner change · fact
••• Locked
Mar 26, 2026 · ria indirect owner change · fact
••• Locked
Mar 26, 2026 · ria indirect owner change · derived
••• Locked
Feb 9, 2021 · Control person left · inference
••• Locked
Feb 9, 2021 · Control person joined · fact
••• Locked
Feb 21, 2020 · Control person left · inference
••• Locked
Jul 22, 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 26, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026