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.
Former SEC-registered adviser
Nobles & Richards Advisors, LLC
Latest filing Jul 23, 2026
First filing on the tape Jul 23, 2026 · 1 filings
RAUM
$35.4M
reported, Item 5.F
Discretionary
2.8%
of RAUM
Private clients
97%
$34.4M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
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
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
- RAUM per advisor
- $11.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $274,270derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 2.8%derivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$21.9M62%
- High-net-worth individuals$12.5M35%
- Charitable organizations$1.0M2.8%
- Individual clients
- 117reported
- HNW clients
- 11reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 129reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joy Catherine Martinsen | Kings Park, Ny | Jan 24, 2025 | 36 y | 2 |
| Ilonka Nobles | Plano, Tx | Mar 26, 2025 | 30 y | 0 |
| Terri Herring | Plano, Tx | Jul 7, 2025 | 14 y | 0 |
| Cipriano Miguel Gomez | Plano, Tx | Jan 14, 2026 | 25 y | 5 |
| John Richard Ryer | Plano, Tx | Jul 1, 2026 | 11 y | 1 |
| Liam Patrick Coll | Phoenix, Az | Jul 1, 2026 | 12 y | 1 |
| Christian Alexander Rubio | Plano, Tx | Aug 10, 2026 | 11 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 in 12 months0 left in 90 days3 joined in 90 days1 left over 36 months
Left, latest
- Carlton Case Ellis to Chimera WealthMar 26, 2025 · Other
Joined, latest
- Christian Alexander Rubio from Charles Schwab & Co., Inc.Aug 10, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- John Richard Ryer from Foundations Investment Advisors LLCJul 1, 2026 · RIA to a state-registered adviser
- Liam Patrick Coll from Fidelity Personal And Workplace AdvisorsJul 1, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Cipriano Miguel Gomez from Vanguard Advisers, Inc.Jan 14, 2026 · Affiliated broker-dealer or bank to a state-registered adviser
- Joy Catherine Martinsen from Fourstar Wealth Advisors, LLCJan 24, 2025 · RIA to a state-registered adviser
- Carlton Case Ellis from Independent Financial Group, LLCMay 2, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 7 | 4 | 0 | ||
| Phoenix, Az | 4 | 4 | 0 | ||
| Renton, Wa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- Carlton Case Ellis left Nobles & Richards Advisors, Llc for Chimera Wealth (registered 2024-11-13)Mar 26, 2025 · 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
- 214-642-6603reportedpublic record, Form ADV, Jul 23, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026