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
F•••••• W••••• M••••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Aug 7, 2024 · 3 filings
SEC status approved since Sep 9, 2024
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$128M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$135M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$135M as of Mar 6, 2026
Mar 11, 2025$119M then
HNW client RAUM$103M as of Mar 6, 2026
Mar 11, 2025$85.8M then
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 11, 20251 then
Employees (5.A)1 as of Mar 6, 2026
Mar 11, 20251 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $399,001derivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $3.0M, 41 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$103M76%
- Individuals$24.8M18%
- Corporations and businesses$7.5M5.5%
- Individual clients
- 86reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 339reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 41 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 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 |
|---|---|---|---|---|
| F•••••••• C•••••• F•••••• | Missouri City, Tx | Jul 28, 2016 | 25 y | 2 |
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
- F•••••••• C•••••• F•••••• from N••• F•••••••• G••••• I•••Jul 28, 2016 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• F••••••••• C•••••• · President/Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Houston, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 342 to 339Mar 11, 2025 to Mar 6, 2026
- Corporate clients · 5 to 4Mar 11, 2025 to Mar 6, 2026
- HNW clients · 32 to 60Mar 11, 2025 to Mar 6, 2026
- Individual clients · 110 to 86Mar 11, 2025 to Mar 6, 2026
- Discretionary RAUM · $119M to $135MMar 11, 2025 to Mar 6, 2026
- HNW RAUM · $85.8M to $103MMar 11, 2025 to Mar 6, 2026
- Individual RAUM · $26.4M to $24.8MMar 11, 2025 to Mar 6, 2026
- RAUM · $119M to $135MMar 11, 2025 to Mar 6, 2026
- Accounts · 360 to 342Aug 7, 2024 to Mar 11, 2025
- Corporate clients · 4 to 5Aug 7, 2024 to Mar 11, 2025
- HNW clients · 29 to 32Aug 7, 2024 to Mar 11, 2025
- Individual clients · 118 to 110Aug 7, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Aug 7, 2024 to Mar 11, 2025
- Discretionary RAUM · $110M to $119MAug 7, 2024 to Mar 11, 2025
- HNW RAUM · $73.6M to $85.8MAug 7, 2024 to Mar 11, 2025
- Individual RAUM · $31.8M to $26.4MAug 7, 2024 to Mar 11, 2025
- RAUM · $110M to $119MAug 7, 2024 to Mar 11, 2025
Signals
1 dated events
- F•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Aug 7, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 281-403-1818reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-123-1234reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 281-403-1818reportedpublic record, Form ADV, Mar 6, 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
- $135Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026