DFX Intelligence

RIA Intelligence

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SEC-registered adviser

L••• H•••• W••••• M••••••••• L••

Independent wealth managerAustin, TexasCRD 286175SEC 801-121498website IAPD

Latest filing Feb 20, 2026

First filing on the tape May 14, 2021 · 9 filings

SEC status approved since Jun 11, 2021

RAUM

$207M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$206M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$69.0M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$207M as of Feb 20, 2026

Feb 8, 2022$161M then

HNW client RAUM$68.5M as of Feb 20, 2026

Feb 8, 2022$83.1M then

State-registered IARs (5.B.3)3 as of Feb 20, 2026

Feb 8, 20223 then

Employees (5.A)4 as of Feb 20, 2026

Feb 8, 20223 then

Private funds: no history

RAUM +18% over the last fiscal year+8.8% a year over threeIARs 3 to 3offices 0 to 1

Practice profile

derived from the filing of Feb 20, 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
Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: $69.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 76derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $276,233derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 1.5derived2 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: -3.4%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$138M67%
High-net-worth individuals$68.5M33%
Corporations and businesses$540,0000.3%
Charitable organizations$2,4700.0%

Individual clients: 200reported
HNW clients: 29reported
Pension plan clients: 0reported
Charitable clients: n/areported
Accounts: 749reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
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

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• E••••• C••••••Certified Financial Planner	Austin, Tx	Feb 17, 2017	23 y	1
J••• C•••••• M•••••Certified Financial Planner	Longview, Tx	Feb 23, 2017	23 y	2
K••• J•••• G•••••	Austin, Tx	Mar 21, 2021	29 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

A•••••••• C•••••••• E•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
Oct 28, 2019 · RIA to affiliated broker-dealer or bank

Joined, latest

K••• J•••• G••••• from W•••• F•••• A•••••••
Mar 21, 2021 · Wirehouse to independent RIA
J••• C•••••• M••••• from M••••• S••••••
Feb 23, 2017 · Wirehouse to independent RIA
J•••• E••••• C•••••• from A••••••••• F•••••••• S•••••••• L••
Feb 17, 2017 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• J••••• E••••• · Managing Membercontrol
since 02/2017 · owns 50% to 75%
M•••••• J•••• C•••••• · Managing Member, Chief Compliance Officercontrol
since 02/2017 · owns 25% to 50%

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
Austin, Tx · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 742 to 749
Aug 4, 2025 to Feb 20, 2026
Charity clients · 0.0 to unset
Aug 4, 2025 to Feb 20, 2026
Corporate clients · 0.0 to unset
Aug 4, 2025 to Feb 20, 2026
HNW clients · 36 to 29
Aug 4, 2025 to Feb 20, 2026
Individual clients · 201 to 200
Aug 4, 2025 to Feb 20, 2026
Financial planning clients · 26-50 to 11-25
Aug 4, 2025 to Feb 20, 2026
Discretionary RAUM · $167M to $207M
Aug 4, 2025 to Feb 20, 2026
HNW RAUM · $84.2M to $68.5M
Aug 4, 2025 to Feb 20, 2026
Individual RAUM · $91.3M to $138M
Aug 4, 2025 to Feb 20, 2026
Non-discretionary RAUM · $8.7M to $0
Aug 4, 2025 to Feb 20, 2026
RAUM · $175M to $207M
Aug 4, 2025 to Feb 20, 2026
Other offices · 0 to 1
Mar 27, 2025 to Aug 4, 2025
Accounts · 738 to 742
Mar 13, 2024 to Mar 27, 2025
HNW clients · 38 to 36
Mar 13, 2024 to Mar 27, 2025
Individual clients · 185 to 201
Mar 13, 2024 to Mar 27, 2025
Employees · 3 to 4
Mar 13, 2024 to Mar 27, 2025
Financial planning clients · 26-50 to 26-50
Mar 13, 2024 to Mar 27, 2025
Discretionary RAUM · $168M to $167M
Mar 13, 2024 to Mar 27, 2025
HNW RAUM · $87.9M to $84.2M
Mar 13, 2024 to Mar 27, 2025
Individual RAUM · $79.7M to $91.3M
Mar 13, 2024 to Mar 27, 2025
Non-discretionary RAUM · $0 to $8.7M
Mar 13, 2024 to Mar 27, 2025
RAUM · $168M to $175M
Mar 13, 2024 to Mar 27, 2025
Accounts · 723 to 738
Sep 5, 2023 to Mar 13, 2024
Individual clients · 191 to 185
Sep 5, 2023 to Mar 13, 2024
Employees · 4 to 3
Sep 5, 2023 to Mar 13, 2024
Financial planning clients · 0 to 26-50
Sep 5, 2023 to Mar 13, 2024
Discretionary RAUM · $161M to $168M
Sep 5, 2023 to Mar 13, 2024
HNW RAUM · $87.2M to $87.9M
Sep 5, 2023 to Mar 13, 2024
Individual RAUM · $73.3M to $79.7M
Sep 5, 2023 to Mar 13, 2024
RAUM · $161M to $168M
Sep 5, 2023 to Mar 13, 2024
Accounts · 694 to 723
Sep 8, 2022 to Mar 30, 2023
Corporate clients · unset to 0.0
Sep 8, 2022 to Mar 30, 2023
HNW clients · 31 to 38
Sep 8, 2022 to Mar 30, 2023
Individual clients · 196 to 191
Sep 8, 2022 to Mar 30, 2023
Employees · 3 to 4
Sep 8, 2022 to Mar 30, 2023
Financial planning clients · 1-10 to 0
Sep 8, 2022 to Mar 30, 2023
Discretionary RAUM · $161M to $161M
Sep 8, 2022 to Mar 30, 2023
HNW RAUM · $83.1M to $87.2M
Sep 8, 2022 to Mar 30, 2023
Individual RAUM · $75.6M to $73.3M
Sep 8, 2022 to Mar 30, 2023
RAUM · $161M to $161M
Sep 8, 2022 to Mar 30, 2023

Signals

1 dated events

L••• H•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
May 14, 2021 · 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 email: info@lakehillswm.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 512-580-4740reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 903-803-4222reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 903-803-4296reportedpublished by the firm, firm site, Sep 16, 2026
Website: lakehillswm.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (512) 580-4740reportedpublic record, Form ADV, Feb 20, 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: $69.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026