DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• T•••• C•••••• A•••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Jun 24, 2026 · 1 filings
SEC status approved since Jun 24, 2026
RAUM
$167M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $167M
HNW client RAUM: $167M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
Practice profile
derived from the filing of Jun 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $83.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $164MreportedItem 5.I
- 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
- High-net-worth individuals$167M100%
- Individual clients
- n/areported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 59reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••• M•••• | New Braunfels, Tx | May 22, 2017 | 16 y | 3 |
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
- J•••• E••• M•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 22, 2017 · Other
- G•••••• S•••• S••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 24, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 5, 2016 · New Braunfels, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• G••••••• S•••• · Cco, Ceocontrolsince 05/2016 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New Braunfels, Tx · principal | 2 | 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
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
- Business email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 830-387-4110reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 830-387-4110reportedpublic record, Form ADV, Jun 24, 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
- $83.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026