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
R••••••• W••••• M••••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 3, 2021 · 12 filings
SEC status approved since Apr 2, 2021
RAUM
$275M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$261M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$138M
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
12 filings and snapshots on the tape
RAUM$275M as of Apr 30, 2026
Mar 1, 2022$138M then
HNW client RAUM$251M as of Apr 30, 2026
Mar 1, 2022$123M then
State-registered IARs (5.B.3)2 as of Apr 30, 2026
Mar 1, 20222 then
Employees (5.A)2 as of Apr 30, 2026
Mar 1, 20222 then
Private funds: no history
RAUM +28% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 30, 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
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $593,952derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.2%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
- +28%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- High-net-worth individuals$251M91%
- Pension and profit-sharing plans$10.5M3.8%
- Individuals$10.0M3.6%
- Charitable organizations$3.7M1.3%
- Individual clients
- 22reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 463reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| R••• W•••••• H•••Certified Financial Planner | Dallas, Tx | May 15, 2017 | 27 y | 2 |
| F••••••• L••••••• M•••••Certified Financial Planner | Dallas, Tx | Sep 21, 2018 | 15 y | 3 |
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••••••• L••••••• M••••• from L•• F•••••••• C••••••• L••Sep 21, 2018 · RIA to RIA
- R••• W•••••• H••• from P••••••• F•••••••• A•••••••• I•••May 15, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• R•••• W•••••• · President And Chief Compliance Officercontrolsince 04/2017 · 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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Apr 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-02-11, yes on the filing of 2026-04-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 4 to 5Feb 11, 2026 to Apr 30, 2026
- Accounts · 427 to 463Feb 14, 2025 to Feb 11, 2026
- Individual clients · 20 to 22Feb 14, 2025 to Feb 11, 2026
- Discretionary RAUM · $207M to $265MFeb 14, 2025 to Feb 11, 2026
- HNW RAUM · $196M to $251MFeb 14, 2025 to Feb 11, 2026
- Individual RAUM · $8.0M to $10.0MFeb 14, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $8.2M to $10.5MFeb 14, 2025 to Feb 11, 2026
- Pension RAUM · $8.2M to $10.5MFeb 14, 2025 to Feb 11, 2026
- RAUM · $215M to $275MFeb 14, 2025 to Feb 11, 2026
- Financial planning clients · 51-100 to 51-100Jan 21, 2025 to Feb 14, 2025
- Accounts · 349 to 427Apr 29, 2024 to Jan 21, 2025
- HNW clients · 41 to 52Apr 29, 2024 to Jan 21, 2025
- Individual clients · 15 to 20Apr 29, 2024 to Jan 21, 2025
- Discretionary RAUM · $164M to $207MApr 29, 2024 to Jan 21, 2025
- HNW RAUM · $155M to $196MApr 29, 2024 to Jan 21, 2025
- Individual RAUM · $5.0M to $8.0MApr 29, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $6.9M to $8.2MApr 29, 2024 to Jan 21, 2025
- Pension RAUM · $6.9M to $8.2MApr 29, 2024 to Jan 21, 2025
- RAUM · $171M to $215MApr 29, 2024 to Jan 21, 2025
- Accounts · 306 to 349Apr 27, 2023 to Mar 20, 2024
- HNW clients · 39 to 41Apr 27, 2023 to Mar 20, 2024
- Individual clients · 17 to 15Apr 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $127M to $164MApr 27, 2023 to Mar 20, 2024
- HNW RAUM · $119M to $155MApr 27, 2023 to Mar 20, 2024
- Individual RAUM · $5.1M to $5.0MApr 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $5.3M to $6.9MApr 27, 2023 to Mar 20, 2024
- Pension RAUM · $5.3M to $6.9MApr 27, 2023 to Mar 20, 2024
- RAUM · $133M to $171MApr 27, 2023 to Mar 20, 2024
- Accounts · 286 to 306Apr 28, 2022 to Feb 27, 2023
- HNW clients · 36 to 39Apr 28, 2022 to Feb 27, 2023
- Individual clients · 15 to 17Apr 28, 2022 to Feb 27, 2023
- Assets in custody · 91000000.0 to unsetApr 28, 2022 to Feb 27, 2023
- Custody of client assets · true to falseApr 28, 2022 to Feb 27, 2023
- Discretionary RAUM · $133M to $127MApr 28, 2022 to Feb 27, 2023
- HNW RAUM · $123M to $119MApr 28, 2022 to Feb 27, 2023
- Individual RAUM · $6.7M to $5.1MApr 28, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $5.7M to $5.3MApr 28, 2022 to Feb 27, 2023
- Pension RAUM · $5.7M to $5.3MApr 28, 2022 to Feb 27, 2023
- RAUM · $138M to $133MApr 28, 2022 to Feb 27, 2023
- Accounts · 258 to 286Mar 3, 2021 to Mar 1, 2022
Signals
1 dated events
- R••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 3, 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 phone
- 214-220-8989reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/roserockwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- roserockfoundations.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (214) 220-8989reportedpublic record, Form ADV, Apr 30, 2026
- Team page
- roserockfoundations.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026