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.
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SEC-registered adviser
P•••••••• A••••• L••
Latest filing May 7, 2026
First filing on the tape Mar 26, 2025 · 3 filings
SEC status approved since Mar 20, 2025
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$149M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$25.1M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$151M as of May 7, 2026
Mar 26, 2025$101M then
HNW client RAUM$54.0M as of May 7, 2026
Mar 26, 2025$26.0M then
State-registered IARs (5.B.3)6 as of May 7, 2026
Mar 26, 20256 then
Employees (5.A)6 as of May 7, 2026
Mar 26, 20256 then
Private funds: no history
RAUM +49% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of May 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $25.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $148,737derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$95.5M63%
- High-net-worth individuals$54.0M36%
- Charitable organizations$701,3420.5%
- Corporations and businesses$359,6070.2%
- Other investment advisers$161,7650.1%
- Individual clients
- 417reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 1,013reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• L••• S•••• | Oak Point, Tx | Jan 19, 2016 | 13 y | 1 |
| J•• D•••• B•••••• | Oak Point, Tx | Feb 12, 2016 | 11 y | 0 |
| A•••••• S••••• R•••• | Keller, Tx | May 5, 2016 | 12 y | 1 |
| J••••••• D•••• M••••••• | Oak Point, Tx | Mar 20, 2020 | 10 y | 0 |
| G•••••••• D•• L•••• | Little Elm, Tx | Nov 11, 2021 | 17 y | 0 |
| D••••• T••••• | Little Elm, Tx | Feb 6, 2023 | 11 y | 0 |
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
- A•••••• S••••• R•••• from G••••••• A•••••••• L••May 5, 2016 · Other
- C•••• L••• S•••• from G••••••• A•••••••• L••Jan 19, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G••••••• A•••••••• L••Jan 18, 2016 · Arden Hills, Mn
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 |
|---|---|---|---|---|---|
| Oak Point, Tx | 3 | 0 | 0 | ||
| Little Elm, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 26, 2026RAUM (Item 5.F) moved from $100,812,551 to $143,604,941 (+42.0%) between the annual amendments of 2025-03-26 and 2026-02-26; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- RAUM · $144M to $151MFeb 26, 2026 to May 7, 2026
- Accounts · 992 to 1,013Feb 26, 2026 to May 7, 2026
- Individual clients · 407 to 417Feb 26, 2026 to May 7, 2026
- Discretionary RAUM · $144M to $151MFeb 26, 2026 to May 7, 2026
- HNW RAUM · $53.5M to $54.0MFeb 26, 2026 to May 7, 2026
- Individual RAUM · $88.9M to $95.5MFeb 26, 2026 to May 7, 2026
- Accounts · 786 to 992Mar 26, 2025 to Feb 26, 2026
- Corporate clients · 0 to 1Mar 26, 2025 to Feb 26, 2026
- HNW clients · 18 to 42Mar 26, 2025 to Feb 26, 2026
- Individual clients · 358 to 407Mar 26, 2025 to Feb 26, 2026
- Financial planning clients · 51-100 to 251-500Mar 26, 2025 to Feb 26, 2026
- Discretionary RAUM · $101M to $144MMar 26, 2025 to Feb 26, 2026
- HNW RAUM · $26.0M to $53.5MMar 26, 2025 to Feb 26, 2026
- Individual RAUM · $74.0M to $88.9MMar 26, 2025 to Feb 26, 2026
- RAUM · $101M to $144MMar 26, 2025 to Feb 26, 2026
Signals
No event on the tape.
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
- P••••••••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-987-9651reportedpublic record, Form ADV, May 7, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- p•••••••••.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
- $25.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026