DFX Intelligence
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SEC-registered adviser
E•••• M•••••••• • M•••••••• L••
Latest filing Jun 3, 2026
First filing on the tape Jun 26, 2017 · 31 filings
SEC status approved since Aug 10, 2017
RAUM
$652M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
98%
$641M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$652M as of Jun 3, 2026
Mar 22, 2018$348M then
HNW client RAUM$422M as of Jun 3, 2026
Mar 22, 2018$135M then
State-registered IARs (5.B.3)6 as of Jun 3, 2026
Mar 22, 20184 then
Employees (5.A)9 as of Jun 3, 2026
Mar 22, 20184 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 6 to 6offices 0 to 1
Practice profile
derived from the filing of Jun 3, 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
- 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
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $372,676derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 61%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, pension consultingreportedItem 5.G
- Custody
- $13.9M, 33 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$422M65%
- Individuals$219M34%
- Charitable organizations$10.4M1.6%
- Corporations and businesses$1.3M0.2%
- Individual clients
- 579reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 1,750reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.9M for 33 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•• S•••• M••••••••Certified Financial Planner | Stafford, Tx | Aug 22, 2017 | 14 y | 1 |
| R•••••• D••• E•••• | Stafford, Tx | Aug 22, 2017 | 41 y | 3 |
| S•••• D•••• M••••••••Certified Financial Planner | Stafford, Tx | Aug 22, 2017 | 40 y | 3 |
| D••••• T••••• M••••••• | Stafford, Tx | Aug 22, 2017 | 39 y | 3 |
| D•••• A•••• H••••••••• | Stafford, Tx | Oct 23, 2020 | 14 y | 0 |
| Z•••••• F••••••••• A••• | Stafford, Tx | May 11, 2022 | 14 y | 0 |
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
- I•• S•••• M•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 22, 2017 · Other
- R•••••• D••• E•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 22, 2017 · Other
- S•••• D•••• M•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 22, 2017 · Other
- D••••• T••••• M••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 22, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 5, 2017 · Stafford, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• Z••••••• F••••••••• · Membercontrolsince 04/2024 · owns 10% to 25%
- E••••• R••••••• D••• · Membercontrolsince 09/1997 · owns 25% to 50%
- H••••••••• D••••• A•••• · Membercontrolsince 10/2021 · owns 10% to 25%
- M••••••••• I••• S•••• · Managing Membercontrolsince 04/2018 · owns 10% to 25%
- M••••••••• S••••• D•••• · Membercontrolsince 09/1997 · owns 25% to 50%
- M•••••••• D•••••• T••••• · Membercontrolsince 09/1997 · owns 10% to 25%
- D••••••• M•••• P•••••• · Chief Compliance Officersince 01/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Stafford, Tx · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 30, 2026 to Jun 3, 2026
- Accounts · 1,629 to 1,750Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 4 to 2Mar 28, 2025 to Mar 30, 2026
- Charity clients · 5 to 4Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 2 to 4Mar 28, 2025 to Mar 30, 2026
- HNW clients · 54 to 68Mar 28, 2025 to Mar 30, 2026
- Individual clients · 578 to 579Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 1.0 to unsetMar 28, 2025 to Mar 30, 2026
- Assets in custody · $8.5M to $13.9MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $346M to $396MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $343M to $422MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $217M to $219MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $224M to $256MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $37,304 to $0Mar 28, 2025 to Mar 30, 2026
- RAUM · $570M to $652MMar 28, 2025 to Mar 30, 2026
- Wrap assets (manager) · 0.0 to unsetMar 28, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 28, 2025 to Mar 30, 2026
- Accounts · 615 to 1,629Jan 30, 2025 to Mar 28, 2025
- Corporate clients · 1 to 2Jan 30, 2025 to Mar 28, 2025
- HNW clients · 48 to 54Jan 30, 2025 to Mar 28, 2025
- Individual clients · 561 to 578Jan 30, 2025 to Mar 28, 2025
- Pension plan clients · unset to 1.0Jan 30, 2025 to Mar 28, 2025
- Assets in custody · $37.0M to $8.5MJan 30, 2025 to Mar 28, 2025
- Financial planning clients · 1-10 to 0Jan 30, 2025 to Mar 28, 2025
- Discretionary RAUM · $304M to $346MJan 30, 2025 to Mar 28, 2025
- HNW RAUM · $295M to $343MJan 30, 2025 to Mar 28, 2025
- Individual RAUM · $201M to $217MJan 30, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $201M to $224MJan 30, 2025 to Mar 28, 2025
- Pension RAUM · unset to 37304.0Jan 30, 2025 to Mar 28, 2025
- RAUM · $505M to $570MJan 30, 2025 to Mar 28, 2025
- Accounts · 1,367 to 615Nov 15, 2023 to Mar 29, 2024
- HNW clients · 45 to 48Nov 15, 2023 to Mar 29, 2024
- Individual clients · 528 to 561Nov 15, 2023 to Mar 29, 2024
- Pension plan clients · 1.0 to unsetNov 15, 2023 to Mar 29, 2024
- Assets in custody · $24.0M to $37.0MNov 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $273M to $304MNov 15, 2023 to Mar 29, 2024
- HNW RAUM · $269M to $295MNov 15, 2023 to Mar 29, 2024
- Individual RAUM · $178M to $201MNov 15, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $183M to $201MNov 15, 2023 to Mar 29, 2024
- Pension RAUM · 1638989.0 to unsetNov 15, 2023 to Mar 29, 2024
Signals
3 dated events
- ••• LockedApr 5, 2024 · Control person joined · fact
- ••• LockedMar 31, 2022 · Control person joined · fact
- ••• LockedJun 26, 2017 · 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
- 281-491-5245reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-491-5260reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-995-0283reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.e••••.comreportedpublic record, Form ADV, Jun 3, 2026
- Principal office phone
- 281-491-5260reportedpublic record, Form ADV, Jun 3, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026