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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Former SEC-registered adviser
C•••• R••• A•••••••• L••
Latest filing May 13, 2024
First filing on the tape Jan 27, 2016 · 27 filings
RAUM
$430M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$427M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$430M as of Mar 5, 2024
Mar 17, 2017$196M then
HNW client RAUM$419M as of Mar 5, 2024
Mar 21, 2018$169M then
State-registered IARs (5.B.3)6 as of Mar 5, 2024
Mar 17, 20173 then
Employees (5.A)7 as of Mar 5, 2024
Mar 17, 20174 then
Private funds: no history
RAUM +7.6% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 13, 2024; every figure names its basis
- RAUM per advisor
- $71.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $754,229derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$419M97%
- Individuals$8.4M2.0%
- Charitable organizations$2.5M0.6%
- Individual clients
- 67reported
- HNW clients
- 145reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 570reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- R•••• W••••• M••••• to T••• N•••• A•••••••• L••Sep 17, 2024 · RIA to RIA
- C•••• B••••• L••• to T••• N•••• A•••••••• L••Sep 17, 2024 · RIA to RIA
- R•••• G•••• I••••••• to T••• N•••• A•••••••• L••Sep 17, 2024 · RIA to RIA
- C•••••• F•••••• H••• to T••• N•••• A•••••••• L••Sep 17, 2024 · RIA to RIA
- A•••• R••••• L••• to T••• N•••• A•••••••• L••Sep 17, 2024 · RIA to RIA
- W•••••• T••••••• S•••••• to T••• N•••• A•••••••• L••Sep 17, 2024 · RIA to RIA
Joined, latest
- C•••• B••••• L••• from P•••••• W••••• A••••••• G••••Dec 22, 2020 · RIA to RIA
- R•••• G•••• I••••••• from M••••• I••••••• • C••••••• P•••Nov 27, 2019 · Other
- R•••• W••••• M••••• from L••••• A•••• M••••••••• L••Mar 3, 2016 · Other
- C•••••• F•••••• H••• from M••••••••• C•••••• M••••••••• L••Feb 19, 2016 · Other
- W•••••• T••••••• S•••••• from M••••••••• C•••••• M••••••••• L••Feb 19, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for T••• N•••• A•••••••• L••Sep 17, 2024 · Kerrville, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• C••••••• F•••••• · Membercontrolsince 12/2015 · owns 25% to 50%
- M•••••• R••••• W••••• · Member And Chief Investment Officercontrolsince 03/2016 · owns 25% to 50%
- S••••••• W••••••• T••••••• · Member And Chief Compliance Officercontrolsince 12/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
- R•••• I•••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx | 0 | 0 | 0 | ||
| Dallas, Tx | 0 | 0 | 0 | ||
| Kerrville, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX1 employees
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 567 to 570Mar 27, 2023 to Mar 5, 2024
- Charity clients · 3 to 2Mar 27, 2023 to Mar 5, 2024
- HNW clients · 143 to 145Mar 27, 2023 to Mar 5, 2024
- Individual clients · 72 to 67Mar 27, 2023 to Mar 5, 2024
- Discretionary RAUM · $400M to $430MMar 27, 2023 to Mar 5, 2024
- HNW RAUM · $388M to $419MMar 27, 2023 to Mar 5, 2024
- Individual RAUM · $10.3M to $8.4MMar 27, 2023 to Mar 5, 2024
- RAUM · $400M to $430MMar 27, 2023 to Mar 5, 2024
- Accounts · 501 to 567Nov 8, 2022 to Mar 10, 2023
- Advisory activities · 4 to 3Nov 8, 2022 to Mar 10, 2023
- Charity clients · 2 to 3Nov 8, 2022 to Mar 10, 2023
- Corporate clients · 2 to 0Nov 8, 2022 to Mar 10, 2023
- HNW clients · 120 to 143Nov 8, 2022 to Mar 10, 2023
- Individual clients · 65 to 72Nov 8, 2022 to Mar 10, 2023
- Pension plan clients · unset to 0.0Nov 8, 2022 to Mar 10, 2023
- Pooled vehicle clients · unset to 0.0Nov 8, 2022 to Mar 10, 2023
- HQ city · KERRIVILLE to KERRVILLENov 8, 2022 to Mar 10, 2023
- Discretionary RAUM · $389M to $400MNov 8, 2022 to Mar 10, 2023
- HNW RAUM · $372M to $388MNov 8, 2022 to Mar 10, 2023
- Individual RAUM · $11.7M to $10.3MNov 8, 2022 to Mar 10, 2023
- Pooled vehicle RAUM · unset to 0.0Nov 8, 2022 to Mar 10, 2023
- RAUM · $389M to $400MNov 8, 2022 to Mar 10, 2023
- HQ city · AUSTIN to KERRIVILLEMar 22, 2022 to Aug 9, 2022
- Accounts · 417 to 501Nov 11, 2021 to Mar 22, 2022
- Charity clients · 1 to 2Nov 11, 2021 to Mar 22, 2022
- Corporate clients · 1 to 2Nov 11, 2021 to Mar 22, 2022
- HNW clients · 84 to 120Nov 11, 2021 to Mar 22, 2022
- Individual clients · 58 to 65Nov 11, 2021 to Mar 22, 2022
- Employees · 6 to 7Nov 11, 2021 to Mar 22, 2022
- State-registered IARs · 5 to 6Nov 11, 2021 to Mar 22, 2022
- Discretionary RAUM · $292M to $389MNov 11, 2021 to Mar 22, 2022
- HNW RAUM · $276M to $372MNov 11, 2021 to Mar 22, 2022
- Individual RAUM · $12.8M to $11.7MNov 11, 2021 to Mar 22, 2022
- RAUM · $292M to $389MNov 11, 2021 to Mar 22, 2022
- Accounts · 468 to 417Jul 6, 2020 to Mar 19, 2021
- Advisory employees · 4 to 6Jul 6, 2020 to Mar 19, 2021
- Corporate clients · unset to 1.0Jul 6, 2020 to Mar 19, 2021
- HNW clients · 79 to 84Jul 6, 2020 to Mar 19, 2021
- Individual clients · 73 to 58Jul 6, 2020 to Mar 19, 2021
- Employees · 4 to 6Jul 6, 2020 to Mar 19, 2021
Signals
8 dated events
- C•••• R••• A•••••••• L••'s advisors moved to T••• N•••• A•••••••• L•• (Kerrville, TX): 6 of 6 registered, on the same daySep 17, 2024 · Firm absorbed (people side) · derived
- R•••• G•••• I••••••• left C•••• R••• A•••••••• L•• for T••• N•••• A•••••••• L•• (registered 2024-09-17)Sep 17, 2024 · Advisor changed firm · fact
- R•••• W••••• M••••• left C•••• R••• A•••••••• L•• for T••• N•••• A•••••••• L•• (registered 2024-09-17)Sep 17, 2024 · Advisor changed firm · fact
- W•••••• T••••••• S•••••• left C•••• R••• A•••••••• L•• for T••• N•••• A•••••••• L•• (registered 2024-09-17)Sep 17, 2024 · Advisor changed firm · fact
- C•••••• F•••••• H••• left C•••• R••• A•••••••• L•• for T••• N•••• A•••••••• L•• (registered 2024-09-17)Sep 17, 2024 · Advisor changed firm · fact
- C•••• B••••• L••• left C•••• R••• A•••••••• L•• for T••• N•••• A•••••••• L•• (registered 2024-09-17)Sep 17, 2024 · Advisor changed firm · fact
- A•••• R••••• L••• left C•••• R••• A•••••••• L•• for T••• N•••• A•••••••• L•• (registered 2024-09-17)Sep 17, 2024 · Advisor changed firm · fact
- C•••• R••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 27, 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.
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
- Former SEC-registered adviserderiveda 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