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
C••••••••• W••••• A••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Jun 16, 2025 · 4 filings
SEC status approved since Jun 30, 2025
RAUM
$157M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$156M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$31.4M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$157M as of Jul 8, 2026
Jun 16, 2025$140M then
HNW client RAUM$93.2M as of Jul 8, 2026
Jun 16, 2025$83.2M then
State-registered IARs (5.B.3)5 as of Jul 8, 2026
Jun 16, 20255 then
Employees (5.A)7 as of Jul 8, 2026
Jun 16, 20256 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 8, 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
- $31.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $285,985derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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$93.2M59%
- Individuals$62.7M40%
- Corporations and businesses$1.0M0.7%
- Charitable organizations$36,6790.0%
- Individual clients
- 183reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 549reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• R•• N••••• | Coppell, Tx | Aug 11, 2017 | 32 y | 4 |
| R••••• S•••• M•••••• | Coppell, Tx | Apr 26, 2021 | 20 y | 3 |
| D•••••• R•• N••••• | Coppell, Tx | Apr 28, 2021 | 28 y | 5 |
| D•••••• G••••• B•••••••Certified Financial Planner | Coppell, Tx | Aug 30, 2024 | 18 y | 2 |
| C••••• R•• B•••••••Chartered Financial Consultant | Coppell, Tx | Sep 1, 2024 | 34 y | 4 |
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
- C••••• R•• B••••••• from B••••••• F•••••••• P•••••••• L••Sep 1, 2024 · Other
- D•••••• G••••• B••••••• from B••••••• F•••••••• P•••••••• L••Aug 30, 2024 · Other
- D•••••• R•• N••••• from F•••• A•••••• S••••••••• L••Apr 28, 2021 · RIA to RIA
- R••••• S•••• M•••••• from R• S•••• M•••••• F••••••••Apr 26, 2021 · Other
- D•••••• R•• N••••• from G••••• W••••• M••••••••• I•••Aug 11, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••••• F•••••••• P•••••••• L••Dec 31, 2024 · Lake Charles, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• D••••••• R•• · Chief Compliance Officercontrolsince 02/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Coppell, Tx · principal | 5 | 0 | 0 | ||
| Lake Charles, La | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 552 to 549Jul 8, 2025 to Mar 26, 2026
- Charity clients · unset to 1.0Jul 8, 2025 to Mar 26, 2026
- Corporate clients · unset to 1.0Jul 8, 2025 to Mar 26, 2026
- Individual clients · 189 to 183Jul 8, 2025 to Mar 26, 2026
- Employees · 6 to 7Jul 8, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 0Jul 8, 2025 to Mar 26, 2026
- Discretionary RAUM · $138M to $155MJul 8, 2025 to Mar 26, 2026
- HNW RAUM · $83.2M to $93.2MJul 8, 2025 to Mar 26, 2026
- Individual RAUM · $56.6M to $62.7MJul 8, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.9M to $2.0MJul 8, 2025 to Mar 26, 2026
- RAUM · $140M to $157MJul 8, 2025 to Mar 26, 2026
- Financial planning clients · 1-10 to 1-10Jun 16, 2025 to Jul 8, 2025
Signals
1 dated events
- 2 advisors left B••••••• F•••••••• P•••••••• L•• (Lake Charles, LA) for C••••••••• W••••• A••••••• L•• on the same dayDec 31, 2024 · Team lift-out · derived
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
- advice@collectivewealthadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- andrea@collectivewealthadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- dr@collectivewealthadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- scott@collectivewealthadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- trey@collectivewealthadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 214-427-1427reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 337-562-9500reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 602-830-0808reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SOVEREIGNWEALTHMGMT/ABOUTreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/collectivewealthadvisors/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- collectivewealthadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-427-1427reportedpublic record, Form ADV, Jul 8, 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
- $31.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026