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
A••••••••• W••••• A••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Nov 3, 2020 · 14 filings
SEC status approved since Dec 3, 2020
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$183M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$184M as of Jul 2, 2026
Mar 10, 2021$122M then
HNW client RAUM$83.2M as of Jul 2, 2026
Mar 10, 2021$40.0M then
State-registered IARs (5.B.3)3 as of Jul 2, 2026
Mar 10, 20213 then
Employees (5.A)5 as of Jul 2, 2026
Mar 10, 202110 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 2, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $46.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $198,376derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $184MreportedItem 5.I
- Custody
- $45.3M, 166 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$99.3M54%
- High-net-worth individuals$83.2M45%
- Pension and profit-sharing plans$1.0M0.6%
- Corporations and businesses$540,7690.3%
- Charitable organizations$11,7190.0%
- Individual clients
- 379reported
- HNW clients
- 40reported
- Pension plan clients
- 7reported
- Charitable clients
- 1reported
- Accounts
- 928reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $45.3M for 166 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• M• E•••• | New Braunfels, Tx | May 9, 2017 | 17 y | 1 |
| C•••••••• B••••••• M•••• | Campbell, Ca | Aug 23, 2018 | 12 y | 0 |
| J•••• B••••• | New Braunfels, Tx | Feb 24, 2020 | 12 y | 0 |
| S••••• E••••• N••••• | New Braunfels, Tx | Feb 7, 2025 | 12 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
none on the tape
Joined, latest
- S••••• E••••• N••••• from F•••• C•••••• A••••••• S•••••••Feb 7, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•••• M• E•••• from G••••• F•••••••• P•••••• C••••••• I•••May 9, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• J••••• M• · Ceocontrolsince 11/2016 · owns 75% or more
- K•••••• T•••••• D••••• · Chief Compliance Officersince 08/2022 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••••• F•••••••• • I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New Braunfels, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Campbell, CA2 employees
- New Braunfels, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 0.0% to 45.0% between the annual amendments of 2025-03-25 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- HQ city · MORGAN HILL to NEW BRAUNFELSMar 30, 2026 to Jul 2, 2026
- HQ state · CA to TXMar 30, 2026 to Jul 2, 2026
- Accounts · 850 to 928Jul 2, 2025 to Mar 30, 2026
- Corporate clients · 4 to 5Jul 2, 2025 to Mar 30, 2026
- HNW clients · 0 to 40Jul 2, 2025 to Mar 30, 2026
- Individual clients · 388 to 379Jul 2, 2025 to Mar 30, 2026
- Pension plan clients · 18 to 7Jul 2, 2025 to Mar 30, 2026
- Assets in custody · $9.4M to $45.3MJul 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $155M to $184MJul 2, 2025 to Mar 30, 2026
- HNW RAUM · $0 to $83.2MJul 2, 2025 to Mar 30, 2026
- Individual RAUM · $153M to $99.3MJul 2, 2025 to Mar 30, 2026
- Pension RAUM · $1.4M to $1.0MJul 2, 2025 to Mar 30, 2026
- RAUM · $155M to $184MJul 2, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 101-250Mar 25, 2025 to Jul 2, 2025
- Accounts · 785 to 850Mar 26, 2024 to Mar 25, 2025
- Charity clients · 0 to 1Mar 26, 2024 to Mar 25, 2025
- Individual clients · 365 to 388Mar 26, 2024 to Mar 25, 2025
- Pension plan clients · 19 to 18Mar 26, 2024 to Mar 25, 2025
- Assets in custody · unset to 9394398.0Mar 26, 2024 to Mar 25, 2025
- Custody of client assets · false to trueMar 26, 2024 to Mar 25, 2025
- Employees · 8 to 5Mar 26, 2024 to Mar 25, 2025
- State-registered IARs · 4 to 3Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $125M to $155MMar 26, 2024 to Mar 25, 2025
- Individual RAUM · $123M to $153MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · $1.4M to $1.4MMar 26, 2024 to Mar 25, 2025
- RAUM · $125M to $155MMar 26, 2024 to Mar 25, 2025
- Wrap assets (manager) · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 26, 2024 to Mar 25, 2025
- Accounts · 2,303 to 785Mar 28, 2023 to Mar 26, 2024
- Charity clients · 1 to 0Mar 28, 2023 to Mar 26, 2024
- Corporate clients · 1 to 4Mar 28, 2023 to Mar 26, 2024
- HNW clients · 49 to 0Mar 28, 2023 to Mar 26, 2024
- Individual clients · 338 to 365Mar 28, 2023 to Mar 26, 2024
- Pension plan clients · 0 to 19Mar 28, 2023 to Mar 26, 2024
- Employees · 9 to 8Mar 28, 2023 to Mar 26, 2024
- Other offices · 1 to 2Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $132M to $125MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $66.6M to $0Mar 28, 2023 to Mar 26, 2024
- Individual RAUM · $62.3M to $123MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $0 to $1.4MMar 28, 2023 to Mar 26, 2024
Signals
3 dated events
- B••••••• C•••••••• M•••• L••• (Coo) no longer on Schedule A of A••••••••• W••••• A••••••• L•• (listed 2023-03-28, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- B••••••• C•••••••• M•••• L••• (Coo) appeared on Schedule A of A••••••••• W••••• A••••••• L••Mar 10, 2021 · Control person joined · fact
- R••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 2020 · ria f•••• adv filing · 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/authentikos-advisoryreportedpublic record, Form ADV, Sep 19, 2026
- Website
- A•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (877) 457-4567reportedpublic record, Form ADV, Jul 2, 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
- $46.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026