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•••• F••••••••
Legal name P•••• F••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape May 17, 2022 · 13 filings
SEC status approved since Jun 16, 2022
RAUM
$270M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$270M individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$18.0M
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$270M as of Feb 26, 2026
Mar 27, 2023$128M then
HNW client RAUM$149M as of Feb 26, 2026
Mar 27, 2023$76.8M then
State-registered IARs (5.B.3)13 as of Feb 26, 2026
Mar 27, 20238 then
Employees (5.A)13 as of Feb 26, 2026
Mar 27, 20238 then
Private funds: no history
RAUM +16% over the last fiscal year+28% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $18.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $149,542derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 0.8derived20 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M55%
- Individuals$121M45%
- Corporations and businesses$389,6330.1%
- Individual clients
- 588reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,808reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• R••••••••• | Houston, Tx | May 25, 2016 | 12 y | 1 |
| B•••• C• H••• | Houston, Tx | Jul 14, 2017 | 21 y | 2 |
| F••••••• D••• | Houston, Tx | Aug 9, 2017 | 18 y | 6 |
| A••• L•• P••••• | Houston, Tx | Jan 13, 2021 | 23 y | 1 |
| L•••••• R•••• E••••• | Houston, Tx | Jul 20, 2021 | 10 y | 0 |
| A••••• R••••• T••••• | Houston, Tx | Aug 3, 2022 | 10 y | 0 |
| K•••••••• M•••• M••••••• | Houston, Tx | Dec 2, 2022 | 10 y | 0 |
| Q•••••• X• | Houston, Tx | Dec 9, 2022 | 12 y | 0 |
| J•••••• F••••• | Omaha, Ne | Feb 6, 2023 | 11 y | 0 |
| M••• A•••••• L•••••• J••• | Houston, Tx | Feb 28, 2023 | 13 y | 0 |
| A••••• P••• E•••••• | Houston, Tx | Jul 10, 2023 | 10 y | 0 |
| T••••• B••• W•••••• | Houston, Tx | Oct 9, 2023 | 11 y | 0 |
| B•••••• K••• | Houston, Tx | Dec 19, 2025 | 14 y | 1 |
| C•••••• L••• A•••••• | Houston, Tx | Jun 26, 2026 | 11 y | 0 |
| J••••••• W••••• G•••••• | Houston, Tx | Jul 1, 2026 | 12 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••• R••• M•••• to P••••• C•••••• M•••••••••Aug 11, 2022 · RIA to a state-registered adviser
Joined, latest
- B•••••• K••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 19, 2025 · Wirehouse to independent RIA
- J••••• R••• M•••• from O•••••• I••••••••• A•••••••• L••Feb 17, 2022 · RIA to RIA
- A••• L•• P••••• from T••••••• I••••••••• M••••••••• I•••Jan 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- F••••••• D••• from A••••••••• F•••••••• S•••••••• L••Aug 9, 2017 · Affiliated broker-dealer or bank to independent RIA
- B•••• C• H••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 14, 2017 · Wirehouse to independent RIA
- M••• R••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 25, 2016 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• B••••• C• · Managing Membercontrolsince 01/2018 · owns 50% to 75%
- R••••••••• M••• · Cco & Managing Membercontrolsince 05/2016 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 15 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX1 employees
- Austin, TX1 employees
- Bellevue, WA1 employees
- Bellevue, WA1 employees
- Belton, TX1 employees
- B••••, TX1 employees
- Columbia, SC1 employees
- Greenville, SC1 employees
- Houston, TX1 employees
- Katy, TX1 employees
- Kirkland, WA1 employees
- League City, TX1 employees
- Monroe, LA1 employees
- Omaha, NE1 employees
- Pearland, TX1 employees
- Shreveport, LA1 employees
- Sugarland, TX1 employees
- The Woodlands, TX1 employees
- Waco, TX1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 26, 2026financial planning (Item 5.G.1): yes on the filing of 2025-11-21, no on the filing of 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Feb 26, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-11-21, no on the filing of 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,643 to 1,808Nov 21, 2025 to Feb 26, 2026
- Advisory activities · 3 to 1Nov 21, 2025 to Feb 26, 2026
- Corporate clients · 1.0 to unsetNov 21, 2025 to Feb 26, 2026
- HNW clients · 87 to 85Nov 21, 2025 to Feb 26, 2026
- Individual clients · 540 to 588Nov 21, 2025 to Feb 26, 2026
- Financial planning clients · 0 to Nov 21, 2025 to Feb 26, 2026
- Discretionary RAUM · $226M to $270MNov 21, 2025 to Feb 26, 2026
- HNW RAUM · $143M to $149MNov 21, 2025 to Feb 26, 2026
- Individual RAUM · $90.0M to $121MNov 21, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $7.2M to $0Nov 21, 2025 to Feb 26, 2026
- RAUM · $234M to $270MNov 21, 2025 to Feb 26, 2026
- Advisory employees · 12 to 13Mar 3, 2025 to Nov 21, 2025
- Employees · 12 to 13Mar 3, 2025 to Nov 21, 2025
- Financial planning clients · 0 to 0Mar 3, 2025 to Nov 21, 2025
- State-registered IARs · 12 to 13Mar 3, 2025 to Nov 21, 2025
- Accounts · 1,324 to 1,643Aug 22, 2024 to Mar 3, 2025
- HNW clients · 62 to 87Aug 22, 2024 to Mar 3, 2025
- Individual clients · 449 to 540Aug 22, 2024 to Mar 3, 2025
- Discretionary RAUM · $182M to $226MAug 22, 2024 to Mar 3, 2025
- HNW RAUM · $90.3M to $143MAug 22, 2024 to Mar 3, 2025
- Individual RAUM · $91.4M to $90.0MAug 22, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $0 to $7.2MAug 22, 2024 to Mar 3, 2025
- RAUM · $182M to $234MAug 22, 2024 to Mar 3, 2025
- Other offices · 18 to 19Apr 24, 2024 to May 31, 2024
- Other offices · 15 to 18Feb 7, 2024 to Apr 24, 2024
- Other offices · 0 to 15Jan 31, 2024 to Feb 7, 2024
- Accounts · 975 to 1,324Dec 1, 2023 to Jan 31, 2024
- Advisory employees · 11 to 12Dec 1, 2023 to Jan 31, 2024
- Corporate clients · 2 to 1Dec 1, 2023 to Jan 31, 2024
- HNW clients · 66 to 62Dec 1, 2023 to Jan 31, 2024
- Individual clients · 306 to 449Dec 1, 2023 to Jan 31, 2024
- Employees · 11 to 12Dec 1, 2023 to Jan 31, 2024
- State-registered IARs · 11 to 12Dec 1, 2023 to Jan 31, 2024
- Discretionary RAUM · $126M to $182MDec 1, 2023 to Jan 31, 2024
- HNW RAUM · $76.8M to $90.3MDec 1, 2023 to Jan 31, 2024
- Individual RAUM · $50.6M to $91.4MDec 1, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $1.3M to $0Dec 1, 2023 to Jan 31, 2024
- RAUM · $128M to $182MDec 1, 2023 to Jan 31, 2024
- Advisory employees · 12 to 11Aug 31, 2023 to Dec 1, 2023
- Employees · 12 to 11Aug 31, 2023 to Dec 1, 2023
Signals
3 dated events
- P•••• F•••••••• reported 15 offices beyond its principal office, up from 0 (2024-01-31 to 2024-02-07)Feb 7, 2024 · Office count change · derived
- J••••• R••• M•••• left P•••• F•••••••• for P••••• C•••••• M••••••••• (registered 2022-10-21)Aug 11, 2022 · Advisor changed firm · fact
- P•••• F•••••••• filed its initial SEC registration (Form ADV)May 17, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••• F•••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/prota-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-568-8171reportedpublic record, Form ADV, Feb 26, 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
- $18.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026