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
Castleview Partners, LLC
Latest filing May 6, 2026
First filing on the tape Sep 4, 2015 · 51 filings
SEC status approved since Sep 11, 2015
RAUM
$417M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
81%
$338M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$32.1M
derived; firm RAUM over IAPD count
Employees
22
12 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$417M as of May 6, 2026
Mar 9, 2016$110M then
HNW client RAUM$196M as of May 6, 2026
Mar 30, 2018$200M then
State-registered IARs (5.B.3)12 as of May 6, 2026
Mar 9, 20165 then
Employees (5.A)22 as of May 6, 2026
Mar 9, 20167 then
Private funds: no history
RAUM +26% over the last fiscal year+23% a year over threeIARs 13 to 12
Practice profile
derived from the filing of May 6, 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
- RAUM per advisor
- $32.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $220,103derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 2.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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
- 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 non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$196M47%
- Individuals$142M34%
- Other investment advisers$79.1M19%
- Individual clients
- 512reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,894reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.19 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Douglas Wayne GillCertified Financial Planner | Dallas, Tx | Oct 5, 2015 | 35 y | 3 |
| Robert E Emrich | Dallas, Tx | Jun 12, 2017 | 25 y | 7 |
| Harriet Eason Bynum | Little Rock, Ar | Nov 15, 2017 | 38 y | 2 |
| Alyssa GuerraCertified Financial Planner | Coral Gables, Fl | Dec 12, 2017 | 19 y | 2 |
| Homero Jose Diaz | Coral Gables, Fl | Sep 28, 2022 | 15 y | 3 |
| David Allen Cain | Plano, Tx | Sep 14, 2023 | 18 y | 2 |
| Julian Kaye Johnson | Plano, Tx | Mar 4, 2024 | 17 y | 0 |
| Ian Fritz | Lawrence, Ks | Apr 1, 2024 | 11 y | 1 |
| Michael Lynch | Coral Gables, Fl | Mar 13, 2025 | 11 y | 1 |
| Kody Carl Followwill | Planoi, Tx | Jun 2, 2025 | 12 y | 5 |
| Umberto Perez | Dallas, Tx | Oct 31, 2025 | 24 y | 4 |
| Robert Wilson Poynor | Plano, Tx | Dec 17, 2025 | 34 y | 0 |
| Aaron Phillip Havens | Highland, Ut | May 13, 2026 | 13 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Brian Reddington to R Squared IVMay 19, 2025 · RIA to a state-registered adviser
- Joanne Catherine Chapman to Wealth Foundations Partners, LLCNov 19, 2024 · RIA to RIA
- Bunn Fawcett to Aza Capital ManagementApr 3, 2023 · RIA to RIA
- Barbara Jean Kelly to Aza Capital ManagementJul 18, 2022 · RIA to RIA
- Michael Peter Mansur to Castleview AdvisoryDec 31, 2021 · Other
- Catherine Gaynell Bailey to Org PartnersMar 25, 2021 · RIA to RIA
- Ralph John Fetrow to Kovack Advisors, Inc.Sep 6, 2016 · Other
Joined, latest
- Aaron Phillip Havens from Wealth Foundations Partners, LLCMay 13, 2026 · RIA to RIA
- Umberto Perez from Global Wealth AdvisorsOct 31, 2025 · Other
- Kody Carl Followwill from Newedge AdvisorsJun 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- Michael Lynch from Principal Securities, Inc.Mar 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- Ian Fritz from Fisher InvestmentsApr 1, 2024 · RIA to RIA
- David Allen Cain from Mercer Global Advisors Inc.Sep 14, 2023 · RIA to RIA
- Homero Jose Diaz from Advisory Investor Services LLCSep 28, 2022 · Other
- Barbara Jean Kelly from Morgan Stanley Dw Inc.Jul 18, 2018 · Other
- Catherine Gaynell Bailey from Td Ameritrade, Inc.Dec 13, 2017 · Other
- Alyssa Guerra from Truist Advisory Services, Inc.Dec 12, 2017 · Other
- Harriet Eason Bynum from Argenta Wealth ManagementNov 15, 2017 · Other
- Bunn Fawcett from Kestra Advisory Services, LLCJul 22, 2017 · Other
- Robert E Emrich from Manning & Napier Advisors, LLCJun 12, 2017 · Other
- Ralph John Fetrow from Invest Financial CorporationJan 13, 2016 · Other
- Michael Peter Mansur from Stifel, Nicolaus & Company, IncorporatedOct 9, 2015 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Moises David Fajardo · Principal, Director Of Capital Marketscontrolsince 10/2018 · owns 5% to 10%
- Wayne Douglas Gill · Principal, Chief Executive Officercontrolsince 07/2015 · owns less than 5%
- Umberto Perez · Principalcontrolsince 09/2015 · owns 10% to 25%
- Wayne Douglas Gill · Shareholdercontrolsince 07/1999 · owns 75% or more of Gill Capital Management, Inc.
Entity owners
- Gill Capital Management, Inc. · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 7 | 2 | 0 | ||
| Coral Gables, Fl | 4 | 1 | 0 | ||
| Plano, Tx | 3 | 1 | 0 | ||
| Manhasset, Ny | 0 | 0 | 0 | ||
| Herriman, Ut | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL2 employees
- Rosemont, IL2 employees
- Dallas, TX1 employees
- Plano, TX1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 1,133.0 to 1,894.0 (+67.0%) between the annual amendments of 2025-03-28 and 2026-03-25; the peer median change was +5.0% (3687 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,133 to 1,894Sep 29, 2025 to Mar 25, 2026
- Advisory employees · 13 to 12Sep 29, 2025 to Mar 25, 2026
- HNW clients · 73 to 80Sep 29, 2025 to Mar 25, 2026
- Individual clients · 420 to 512Sep 29, 2025 to Mar 25, 2026
- Employees · 19 to 22Sep 29, 2025 to Mar 25, 2026
- State-registered IARs · 13 to 12Sep 29, 2025 to Mar 25, 2026
- Discretionary RAUM · $312M to $413MSep 29, 2025 to Mar 25, 2026
- HNW RAUM · $152M to $196MSep 29, 2025 to Mar 25, 2026
- Individual RAUM · $115M to $142MSep 29, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $19.3M to $3.8MSep 29, 2025 to Mar 25, 2026
- RAUM · $331M to $417MSep 29, 2025 to Mar 25, 2026
- Accounts · 1,308 to 1,133Feb 25, 2025 to Mar 28, 2025
- BD registered reps · 4 to 3Feb 25, 2025 to Mar 28, 2025
- HNW clients · 71 to 73Feb 25, 2025 to Mar 28, 2025
- Individual clients · 408 to 420Feb 25, 2025 to Mar 28, 2025
- Employees · 18 to 19Feb 25, 2025 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Feb 25, 2025 to Mar 28, 2025
- Other offices · 6 to 5Feb 25, 2025 to Mar 28, 2025
- Discretionary RAUM · $250M to $312MFeb 25, 2025 to Mar 28, 2025
- HNW RAUM · $166M to $152MFeb 25, 2025 to Mar 28, 2025
- Individual RAUM · $104M to $115MFeb 25, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $19.5M to $19.3MFeb 25, 2025 to Mar 28, 2025
- RAUM · $270M to $331MFeb 25, 2025 to Mar 28, 2025
- Related adviser · true to falseFeb 25, 2025 to Mar 28, 2025
- Accounts · 1,114 to 1,308Jan 10, 2024 to Mar 29, 2024
- Advisory employees · 12 to 13Jan 10, 2024 to Mar 29, 2024
- BD registered reps · 3 to 4Jan 10, 2024 to Mar 29, 2024
- HNW clients · 52 to 71Jan 10, 2024 to Mar 29, 2024
- Individual clients · 397 to 408Jan 10, 2024 to Mar 29, 2024
- Employees · 17 to 18Jan 10, 2024 to Mar 29, 2024
- State-registered IARs · 12 to 13Jan 10, 2024 to Mar 29, 2024
- Other offices · 5 to 6Jan 10, 2024 to Mar 29, 2024
- Discretionary RAUM · $196M to $250MJan 10, 2024 to Mar 29, 2024
- HNW RAUM · $134M to $166MJan 10, 2024 to Mar 29, 2024
- Individual RAUM · $90.0M to $104MJan 10, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $28.1M to $19.5MJan 10, 2024 to Mar 29, 2024
- RAUM · $224M to $270MJan 10, 2024 to Mar 29, 2024
- Accounts · 1,323 to 1,114Mar 28, 2022 to Mar 31, 2023
- Advisory employees · 13 to 12Mar 28, 2022 to Mar 31, 2023
- HNW clients · 512 to 52Mar 28, 2022 to Mar 31, 2023
Signals
12 dated events
- Brian Reddington left Castleview Partners, Llc for R Squared Iv (registered 2025-06-16)May 19, 2025 · Advisor changed firm · fact
- Joanne Catherine Chapman left Castleview Partners, Llc for Wealth Foundations Partners, Llc (registered 2024-11-20)Nov 19, 2024 · Advisor changed firm · fact
- Bunn Fawcett left Castleview Partners, Llc for Aza Capital Management (registered 2023-04-21)Apr 3, 2023 · Advisor changed firm · fact
- Castleview Partners, Llc reported RAUM $224.2M, down 52% from $467.5M (2022-03-28 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Barbara Jean Kelly left Castleview Partners, Llc for Aza Capital Management (registered 2022-07-18)Jul 18, 2022 · Advisor changed firm · fact
- Castleview Partners, Llc reported RAUM $467.5M, up 28% from $365.8M (2021-11-29 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- C Lawrence Heller (Principal, Cio) no longer on Schedule A of Castleview Partners, Llc (listed 2020-04-03, absent 2020-05-30)May 30, 2020 · Control person left · inference
- Michael Briton Chamberlain (Principal, Cco) no longer on Schedule A of Castleview Partners, Llc (listed 2019-04-01, absent 2019-08-15)Aug 15, 2019 · Control person left · inference
- Michael Briton Chamberlain (Principal, Cco) appeared on Schedule A of Castleview Partners, LlcApr 1, 2019 · Control person joined · fact
- C Lawrence Heller (Principal, Cio) appeared on Schedule A of Castleview Partners, LlcApr 1, 2019 · Control person joined · fact
- Moises David Fajardo (Principal, Director Of Capital Markets) appeared on Schedule A of Castleview Partners, LlcApr 1, 2019 · Control person joined · fact
- Castleview Partners, Llc filed its initial SEC registration (Form ADV)Sep 4, 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
- Website
- CASTLEVIEWPARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-710-1995reportedpublic record, Form ADV, May 6, 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
- $32.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026