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
E•••••••• A••••••• S•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Apr 24, 2025 · 7 filings
SEC status approved since Mar 10, 2025
RAUM
$121M
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
99%
$120M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$17.3M
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$121M as of Mar 27, 2026
Apr 24, 2025$103M then
HNW client RAUM$49.9M as of Mar 27, 2026
Apr 24, 2025$42.6M then
State-registered IARs (5.B.3)7 as of Mar 27, 2026
Apr 24, 20257 then
Employees (5.A)14 as of Mar 27, 2026
Apr 24, 202512 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 7 to 7
Practice profile
derived from the filing of Sep 17, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $17.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $120,421derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$69.7M57%
- High-net-worth individuals$49.9M41%
- Corporations and businesses$1.2M1.0%
- Charitable organizations$526,4430.4%
- Individual clients
- 392reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 1,007reported
- Financial planning clients
- 1,000reported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• E••••• D••••• | Katy, Tx | Feb 6, 2017 | 27 y | 1 |
| J••• L•• P••••••• | Katy, Tx | Jan 5, 2018 | 31 y | 2 |
| J•••• W••••• C••••••Certified Financial Planner | Katy, Tx | May 20, 2019 | 14 y | 1 |
| D•••• J•• S•••••••Certified Financial Planner, Chartered Financial Consultant | Katy, Tx | Apr 17, 2020 | 15 y | 4 |
| S•••• M•••••• H••••• | Katy, Tx | Jun 26, 2022 | 24 y | 3 |
| D•••• M••••••• B•••••• | Katy, Tx | May 11, 2023 | 12 y | 1 |
| T••••• H••••• P•••• | Fort Worth, Tx | Jul 25, 2024 | 26 y | 5 |
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
- T•••• P••••• to O•••• W•••••• I•••Jan 21, 2022 · RIA to affiliated broker-dealer or bank
- A•••••• C•••• to U•• F•••••••• S••••••• I•••Nov 14, 2018 · RIA to wirehouse
Joined, latest
- T••••• H••••• P•••• from P••••••••• W••••• M••••••••• L••Jul 25, 2024 · Other
- D•••• M••••••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 11, 2023 · Wirehouse to independent RIA
- S•••• M•••••• H••••• from A••••••• F•••••••• A•••••••• L••Jun 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••• J•• S••••••• from A• W••••• M••••••••• L••Apr 17, 2020 · RIA to RIA
- J•••• W••••• C•••••• from M•• F•••••••• S•••••••• I•••May 20, 2019 · RIA to RIA
- J••• L•• P••••••• from L••••••• C•••••• M••••••••• I•••Jan 5, 2018 · Other
- N••••• E••••• D••••• from N••••••••• S••••••••• L••Feb 6, 2017 · Other
- A•••••• C•••• from U•• F•••••••• S••••••• I•••Aug 11, 2016 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• M••••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- C••••••• J••••• W••••• · President, Chief Executive Officer, Chief Financial Officer, Managercontrolsince 03/2024 · owns 75% or more
- S•••••••• D••••• J•• · Partner, Membercontrolsince 01/2021 · owns less than 5%
- P••••• T•••••• H••••• · Partner, Membersince 07/2024 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Katy, Tx · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Mar 27, 2026 to Sep 10, 2026
- Succession · false to unsetMar 27, 2026 to Sep 10, 2026
- Accounts · 901 to 1,007Sep 15, 2025 to Feb 12, 2026
- Corporate clients · 8 to 6Sep 15, 2025 to Feb 12, 2026
- HNW clients · 30 to 33Sep 15, 2025 to Feb 12, 2026
- Individual clients · 369 to 392Sep 15, 2025 to Feb 12, 2026
- Assets in custody · $835,566 to $111,294Sep 15, 2025 to Feb 12, 2026
- Employees · 11 to 14Sep 15, 2025 to Feb 12, 2026
- Discretionary RAUM · $47.0M to $53.1MSep 15, 2025 to Feb 12, 2026
- HNW RAUM · $42.6M to $49.9MSep 15, 2025 to Feb 12, 2026
- Individual RAUM · $57.4M to $69.7MSep 15, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $55.6M to $68.2MSep 15, 2025 to Feb 12, 2026
- RAUM · $103M to $121MSep 15, 2025 to Feb 12, 2026
- Employees · 12 to 11Apr 24, 2025 to May 27, 2025
- Financial planning clients · More than 500 to More than 500Apr 24, 2025 to May 27, 2025
Signals
1 dated events
- T•••• P••••• left E•••••••• A••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2022-03-21)Jan 21, 2022 · 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
- Business phone
- 281-371-6300reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/60063194reportedpublic record, Form ADV, Sep 18, 2026
- Website
- EASADVICE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-371-6300reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- EASADVICE.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- EASADVICE.COM/who-we-arereportedpublished 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
- $17.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026