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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•••••••
Legal name D••••••• T••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 22, 2016 · 33 filings
SEC status approved since Apr 15, 2016
RAUM
$89.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$89.2M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$7.4M
derived; firm RAUM over IAPD count
Employees
36
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$89.2M as of Mar 27, 2026
Jun 30, 2022$40.5M then
HNW client RAUM$14.8M as of Mar 27, 2026
Mar 25, 2024$4.3M then
State-registered IARs (5.B.3)14 as of Mar 27, 2026
Mar 16, 201710 then
Employees (5.A)36 as of Mar 27, 2026
Mar 16, 201732 then
Private funds: no history
RAUM n/a over the last fiscal year+19% a year over three
Practice profile
derived from the filing of Mar 27, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $7.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $87,565derivedRAUM 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
- 12.0derived1 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, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$74.4M83%
- High-net-worth individuals$14.8M17%
- Individual clients
- 601reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,019reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• S•••••• B••••• | Colorado Springs, Co | Jun 20, 2016 | 32 y | 0 |
| B•••• M•••••• N••••••••• | Redding, Ca | Jun 29, 2016 | 11 y | 0 |
| R••• G• Q••••• | Mexia, Tx | Aug 1, 2016 | 25 y | 0 |
| D•••• V•••••• H•••• | Mexia, Tx | Oct 10, 2016 | 16 y | 0 |
| J•••• M•• T••••• | Mexia, Tx | Jun 28, 2017 | 16 y | 0 |
| J•••• R•••••• | San Antonio, Tx | Jul 26, 2017 | 9 y | 0 |
| D•••• V•••••• H•••• | Mexia, Tx | Jul 9, 2020 | 21 y | 0 |
| G••••••• M• N•••• | Mexia, Tx | Jul 9, 2020 | 16 y | 0 |
| C•••• K•• S•••• | Mexia, Tx | Jul 6, 2023 | 12 y | 1 |
| D••••• S•••••• F••••• | Mexia, Tx | Jul 10, 2023 | 20 y | 0 |
| C•••• M•••••• P•••••••• | Mexia, Tx | Aug 18, 2023 | 10 y | 0 |
| N••• M•••••• H•••••••• | Mexia, Tx | Aug 18, 2023 | 19 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
- D•••• V••••••••• to I•••••••• I••••••••Sep 9, 2026 · RIA to a state-registered adviser
- J••••• M•••••• B•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 4, 2018 · Other
Joined, latest
- C•••• K•• S•••• from L•• F•••••••• L••Jul 6, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• S•••••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- C••••••• C••••• C•••••• · Chief Financial Officercontrolsince 02/2020 · owns less than 5%
- H••••• D••••• V•••••• · Executive Vice Presidentcontrolsince 07/2005 · owns less than 5%
- H••••• K••••••• V••••••• · Chief Executive Officercontrolsince 07/2024 · owns less than 5%
- M•••••••• C••••••••• K•• · Vpcontrolsince 07/1999 · owns 50% to 75%
- M•••••••• D••••• P••••• · Chairman Of The Board Of Directorscontrolsince 07/2024 · 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 |
|---|---|---|---|---|---|
| Mexia, Tx | 11 | 0 | 0 | ||
| Happy Valley, Or | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 27, 2026financial planning (Item 5.G.1): yes on the filing of 2025-05-01, no on the filing of 2026-03-27peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 1,081 to 1,019May 1, 2025 to Mar 27, 2026
- Advisory employees · 15 to 13May 1, 2025 to Mar 27, 2026
- Advisory activities · 4 to 3May 1, 2025 to Mar 27, 2026
- HNW clients · 17 to 10May 1, 2025 to Mar 27, 2026
- Individual clients · 1,065 to 601May 1, 2025 to Mar 27, 2026
- Employees · 40 to 36May 1, 2025 to Mar 27, 2026
- Financial planning clients · More than 500 to 0May 1, 2025 to Mar 27, 2026
- State-registered IARs · 16 to 14May 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $91.2M to $89.2MMay 1, 2025 to Mar 27, 2026
- HNW RAUM · $18.2M to $14.8MMay 1, 2025 to Mar 27, 2026
- Individual RAUM · $73.0M to $74.4MMay 1, 2025 to Mar 27, 2026
- RAUM · $91.2M to $89.2MMay 1, 2025 to Mar 27, 2026
- Accounts · 677 to 1,081Aug 28, 2024 to May 1, 2025
- Advisory employees · 17 to 15Aug 28, 2024 to May 1, 2025
- HNW clients · unset to 17.0Aug 28, 2024 to May 1, 2025
- Individual clients · 674 to 1,065Aug 28, 2024 to May 1, 2025
- Assets in custody · 68426036.0 to unsetAug 28, 2024 to May 1, 2025
- Custody of client assets · true to falseAug 28, 2024 to May 1, 2025
- Employees · 43 to 40Aug 28, 2024 to May 1, 2025
- Financial planning clients · 0 to More than 500Aug 28, 2024 to May 1, 2025
- HQ city · MEXIA to Aug 28, 2024 to May 1, 2025
- HQ state · TX to Aug 28, 2024 to May 1, 2025
- State-registered IARs · 18 to 16Aug 28, 2024 to May 1, 2025
- Discretionary RAUM · $59.8M to $91.2MAug 28, 2024 to May 1, 2025
- HNW RAUM · $3.9M to $18.2MAug 28, 2024 to May 1, 2025
- Individual RAUM · $64.6M to $73.0MAug 28, 2024 to May 1, 2025
- Non-discretionary RAUM · $8.6M to $0Aug 28, 2024 to May 1, 2025
- RAUM · $68.4M to $91.2MAug 28, 2024 to May 1, 2025
- Financial planning clients · 251-500 to 0Jun 18, 2024 to Aug 28, 2024
- Accounts · 627 to 677Mar 25, 2024 to May 22, 2024
- Individual clients · 624 to 674Mar 25, 2024 to May 22, 2024
- Assets in custody · unset to 68426036.0Mar 25, 2024 to May 22, 2024
- Custody of client assets · false to trueMar 25, 2024 to May 22, 2024
- Discretionary RAUM · $77.7M to $59.8MMar 25, 2024 to May 22, 2024
- HNW RAUM · $4.3M to $3.9MMar 25, 2024 to May 22, 2024
- Individual RAUM · $73.4M to $64.6MMar 25, 2024 to May 22, 2024
- Non-discretionary RAUM · $0 to $8.6MMar 25, 2024 to May 22, 2024
- RAUM · $77.7M to $68.4MMar 25, 2024 to May 22, 2024
- Accounts · 351 to 627Feb 14, 2024 to Mar 25, 2024
- Advisory employees · 11 to 17Feb 14, 2024 to Mar 25, 2024
Signals
5 dated events
- D•••• V••••••••• left Tradeway for I•••••••• I•••••••• (registered 2026-09-15)Sep 9, 2026 · Advisor changed firm · fact
- C•••• C•••••• (Chief Financial Officer) appeared on Schedule A of TradewayMay 22, 2024 · Control person joined · fact
- D•••• B•••• (Chief Compliance Officer) appeared on Schedule A of TradewayAug 20, 2019 · Control person joined · fact
- Tradeway reported 20 state-registered advisory representatives, up from 10 (2017-12-12 to 2018-03-26)Mar 26, 2018 · Advisor headcount change · derived
- N••••••••• O• W••• S••••• filed its initial SEC registration (Form ADV)Mar 22, 2016 · 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
- gotradeway.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 877-777-0703reportedpublic record, Form ADV, Mar 27, 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
- $7.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026