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
W••• W••••• M••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Sep 12, 2016 · 13 filings
SEC status approved since Oct 16, 2024
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.1M
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
13 filings and snapshots on the tape
RAUM$134M as of Feb 23, 2026
Feb 6, 2025$117M then
HNW client RAUM$132M as of Feb 23, 2026
Feb 6, 2025$115M then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Feb 6, 20251 then
Employees (5.A)2 as of Feb 23, 2026
Feb 6, 20253 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Feb 23, 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
- RAUM per advisor
- $67.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $300,181derivedRAUM 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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $746,000, 1 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$132M98%
- Individuals$2.1M1.5%
- Charitable organizations$2900.0%
- Individual clients
- n/areported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 447reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $746,000 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• A••••• J••••Certified Financial Planner | Frisco, Tx | Mar 14, 2017 | 18 y | 2 |
| M•••••• D•••• M•••••• | Frisco, Tx | Sep 15, 2025 | 11 y | 1 |
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
- J••••• P••• C••••••• to V••••••• A•••••••• I•••Apr 4, 2023 · Other
- R••• B•••• S•••••• to M••••• S••••••Apr 26, 2022 · Other
Joined, latest
- M•••••• D•••• M•••••• from A••••••••• F•••••••• S•••••••• L••Sep 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- B••••••• A••••• J•••• from A••••••••• F•••••••• S•••••••• L••Mar 14, 2017 · Other
- J••••• P••• C••••••• from A••••••••• F•••••••• S•••••••• L••Jan 6, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• B•••••••• A••••• · Member, President, Founder, And Chief Compliance Officercontrolsince 10/2016 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Frisco, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 458 to 447Nov 5, 2025 to Feb 23, 2026
- Advisory activities · 5 to 4Nov 5, 2025 to Feb 23, 2026
- HNW clients · 53 to 62Nov 5, 2025 to Feb 23, 2026
- Individual clients · 11.0 to unsetNov 5, 2025 to Feb 23, 2026
- Assets in custody · $79.5M to $746,000Nov 5, 2025 to Feb 23, 2026
- Employees · 4 to 2Nov 5, 2025 to Feb 23, 2026
- Discretionary RAUM · $116M to $134MNov 5, 2025 to Feb 23, 2026
- HNW RAUM · $115M to $132MNov 5, 2025 to Feb 23, 2026
- Individual RAUM · $2.0M to $2.1MNov 5, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $812,556 to $0Nov 5, 2025 to Feb 23, 2026
- RAUM · $117M to $134MNov 5, 2025 to Feb 23, 2026
- Advisory employees · 1 to 2May 19, 2025 to Nov 5, 2025
- Employees · 3 to 4May 19, 2025 to Nov 5, 2025
- State-registered IARs · 1 to 2May 19, 2025 to Nov 5, 2025
- Financial planning clients · 51-100 to 51-100Feb 6, 2025 to May 19, 2025
- Accounts · 392 to 458Sep 16, 2024 to Feb 6, 2025
- HNW clients · 33 to 53Sep 16, 2024 to Feb 6, 2025
- Individual clients · 36 to 11Sep 16, 2024 to Feb 6, 2025
- Assets in custody · $30.5M to $79.5MSep 16, 2024 to Feb 6, 2025
- Discretionary RAUM · $108M to $116MSep 16, 2024 to Feb 6, 2025
- HNW RAUM · $94.3M to $115MSep 16, 2024 to Feb 6, 2025
- Individual RAUM · $14.0M to $2.0MSep 16, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $731,084 to $812,556Sep 16, 2024 to Feb 6, 2025
- RAUM · $108M to $117MSep 16, 2024 to Feb 6, 2025
- Accounts · 46 to 392Mar 14, 2017 to Sep 16, 2024
- Advisory employees · 2 to 1Mar 14, 2017 to Sep 16, 2024
- Advisory activities · 4 to 5Mar 14, 2017 to Sep 16, 2024
- HNW clients · unset to 33.0Mar 14, 2017 to Sep 16, 2024
- Individual clients · unset to 36.0Mar 14, 2017 to Sep 16, 2024
- Assets in custody · unset to 30475130.0Mar 14, 2017 to Sep 16, 2024
- Custody of client assets · false to trueMar 14, 2017 to Sep 16, 2024
- Employees · 2 to 3Mar 14, 2017 to Sep 16, 2024
- Financial planning clients · 0 to 51-100Mar 14, 2017 to Sep 16, 2024
- HQ city · PLANO to FRISCOMar 14, 2017 to Sep 16, 2024
- State-registered IARs · 2 to 1Mar 14, 2017 to Sep 16, 2024
- Other offices · unset to 0.0Mar 14, 2017 to Sep 16, 2024
- Discretionary RAUM · $14.7M to $108MMar 14, 2017 to Sep 16, 2024
- HNW RAUM · unset to 94299184.0Mar 14, 2017 to Sep 16, 2024
- Individual RAUM · unset to 13953352.0Mar 14, 2017 to Sep 16, 2024
- Non-discretionary RAUM · $0 to $731,084Mar 14, 2017 to Sep 16, 2024
Signals
3 dated events
- J••••• P••• C••••••• left W••• W••••• M••••••••• L•• for V••••••• A•••••••• I••• (registered 2023-06-28)Apr 4, 2023 · Advisor changed firm · fact
- R••• B•••• S•••••• left W••• W••••• M••••••••• L•• for M••••• S•••••• (registered 2022-11-15)Apr 26, 2022 · Advisor changed firm · fact
- W••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 12, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/wavewealthreportedpublic record, Form ADV, Sep 19, 2026
- Website
- wavewm.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (972) 954-4100reportedpublic record, Form ADV, Feb 23, 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
- $67.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026