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••••••
Legal name A•••••• R•• L••
Latest filing May 26, 2026
First filing on the tape Jul 6, 2017 · 53 filings
SEC status approved since Aug 4, 2017
RAUM
$852M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$807M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$77.5M
derived; firm RAUM over IAPD count
Employees
17
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$852M as of May 26, 2026
Mar 30, 2018$242M then
HNW client RAUM$589M as of May 26, 2026
Mar 30, 2018$115M then
State-registered IARs (5.B.3)11 as of May 26, 2026
Mar 30, 20188 then
Employees (5.A)17 as of May 26, 2026
Mar 30, 20189 then
Private funds: no history
RAUM +17% over the last fiscal year+9.8% a year over threeIARs 11 to 11
Practice profile
derived from the filing of May 26, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $77.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $356,933derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +58%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $462MreportedItem 5.I
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$589M69%
- Individuals$218M26%
- Pension and profit-sharing plans$45.0M5.3%
- Individual clients
- 652reported
- HNW clients
- 526reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 2,387reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• P•••••• K•••••Certified Financial Planner | Dallas, Tx | Aug 4, 2017 | 21 y | 2 |
| J•••• M•••••• M••••••Certified Financial Planner | Dallas, Tx | Aug 4, 2017 | 18 y | 2 |
| K••• D•••••• W••••••Certified Financial Planner | Dallas, Tx | Aug 4, 2017 | 23 y | 2 |
| S•••• D••• H•••••Certified Financial Planner | Dallas, Tx | Aug 4, 2017 | 19 y | 2 |
| P••••• B••••• A••••Certified Financial Planner | Dallas, Tx | Aug 7, 2017 | 22 y | 2 |
| B•••••• J•••••• G•••••Certified Financial Planner | Dallas, Tx | Apr 6, 2022 | 23 y | 3 |
| K•••• R•••• B••••• | Dallas, Tx | Nov 29, 2022 | 13 y | 3 |
| R••• S•••Certified Financial Planner | Dallas, Tx | Oct 13, 2023 | 15 y | 3 |
| C••••• M••••• R•••••••Certified Financial Planner | Dallas, Tx | Oct 30, 2024 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- C•••••• P••••• R••••••• to S•••••••••May 8, 2025 · RIA to a newly registered adviser
- G•••••• V•••••• M••••••••• to H••••• F•••••••• S•••••••• L•••Oct 3, 2019 · RIA to RIA
Joined, latest
- J•••• R•••••• C•••••• from C••••••• A••••••• S•••••••• L••Oct 30, 2025 · RIA to RIA
- C••••• M••••• R••••••• from S•• I••••••••• M••••••••• C•••Oct 30, 2024 · Other
- R••• S••• from C•••••• S••••• • C••• I•••Oct 13, 2023 · Affiliated broker-dealer or bank to independent RIA
- K•••• R•••• B••••• from R•••••• J•••• • A••••••••• I•••Nov 29, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••••• J•••••• G••••• from F•••• F•••••••• E••••• C•••••••••Apr 6, 2022 · Affiliated broker-dealer or bank to independent RIA
- C•••••• P••••• R••••••• from B• R•••• W••••• A•••••••• I•••Dec 6, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••• R••• D••••• from W•• A•••••••• L•Sep 1, 2017 · Other
- G•••••• V•••••• M••••••••• from W•• A•••••••• L•Aug 31, 2017 · Other
- P••••• B••••• A•••• from W•• A•••••••• L•Aug 7, 2017 · Other
- K••• D•••••• W•••••• from W•• A•••••••• L•Aug 4, 2017 · Other
- A••• P•••••• K••••• from W•• A•••••••• L•Aug 4, 2017 · Other
- J•••• M•••••• M•••••• from W•• A•••••••• L•Aug 4, 2017 · Other
- S•••• D••• H••••• from W•• A•••••••• L•Aug 4, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from W•• A•••••••• L•Sep 20, 2017 · Dallas, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• J••••• M•••••• · Owner & Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
- H•••••• S••••• D••• · Membercontrolsince 11/2020 · owns 75% or more of T•• H••••• G••••• I••
- M••••••• J••••• M•••••• · Membercontrolsince 11/2020 · owns 75% or more of J•••• F••••••••• L••
Entity owners
- J•••• F••••••••• L•• · Ownerdirect · owns 50% to 75%
- T•• H••••• G••••• I•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- L• • H• C••• A•• A••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- R••••••Son, TX2 employees
- Walnut Creek, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Apr 8, 2026individual and HNW clients (Item 5.D) moved from 746.0 to 1,178.0 (+58.0%) between the annual amendments of 2025-03-21 and 2026-04-08; the peer median change was +5.0% (1216 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 2,411 to 2,387Mar 21, 2025 to Mar 31, 2026
- HNW clients · 208 to 526Mar 21, 2025 to Mar 31, 2026
- Individual clients · 538 to 652Mar 21, 2025 to Mar 31, 2026
- Employees · 16 to 17Mar 21, 2025 to Mar 31, 2026
- Discretionary RAUM · $691M to $807MMar 21, 2025 to Mar 31, 2026
- HNW RAUM · $510M to $589MMar 21, 2025 to Mar 31, 2026
- Individual RAUM · $181M to $218MMar 21, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $39.0M to $45.0MMar 21, 2025 to Mar 31, 2026
- Pension RAUM · $39.0M to $45.0MMar 21, 2025 to Mar 31, 2026
- RAUM · $730M to $852MMar 21, 2025 to Mar 31, 2026
- Accounts · 2,253 to 2,411Nov 4, 2024 to Mar 21, 2025
- HNW clients · 171 to 208Nov 4, 2024 to Mar 21, 2025
- Individual clients · 577 to 538Nov 4, 2024 to Mar 21, 2025
- Pension plan clients · 7 to 6Nov 4, 2024 to Mar 21, 2025
- Financial planning clients · More than 500 to 251-500Nov 4, 2024 to Mar 21, 2025
- Discretionary RAUM · $650M to $691MNov 4, 2024 to Mar 21, 2025
- HNW RAUM · $440M to $510MNov 4, 2024 to Mar 21, 2025
- Individual RAUM · $210M to $181MNov 4, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $45.0M to $39.0MNov 4, 2024 to Mar 21, 2025
- Pension RAUM · $45.0M to $39.0MNov 4, 2024 to Mar 21, 2025
- RAUM · $695M to $730MNov 4, 2024 to Mar 21, 2025
- Wrap assets (manager) · $194M to $0Nov 4, 2024 to Mar 21, 2025
- Advisory employees · 10 to 11Mar 18, 2024 to Nov 4, 2024
- Employees · 15 to 16Mar 18, 2024 to Nov 4, 2024
- State-registered IARs · 10 to 11Mar 18, 2024 to Nov 4, 2024
- Accounts · 2,296 to 2,253Oct 31, 2023 to Mar 18, 2024
- HNW clients · 185 to 171Oct 31, 2023 to Mar 18, 2024
- Individual clients · 791 to 577Oct 31, 2023 to Mar 18, 2024
- Discretionary RAUM · $603M to $650MOct 31, 2023 to Mar 18, 2024
- HNW RAUM · $394M to $440MOct 31, 2023 to Mar 18, 2024
- Individual RAUM · $209M to $210MOct 31, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $40.0M to $45.0MOct 31, 2023 to Mar 18, 2024
- Pension RAUM · $40.0M to $45.0MOct 31, 2023 to Mar 18, 2024
- RAUM · $643M to $695MOct 31, 2023 to Mar 18, 2024
- Wrap assets (manager) · $0 to $194MOct 31, 2023 to Mar 18, 2024
- Wrap assets (sponsor) · $166M to $0Oct 31, 2023 to Mar 18, 2024
- Advisory employees · 9 to 10Mar 16, 2023 to Oct 31, 2023
- Employees · 14 to 15Mar 16, 2023 to Oct 31, 2023
- State-registered IARs · 9 to 10Mar 16, 2023 to Oct 31, 2023
- Accounts · 2,868 to 2,296Feb 7, 2023 to Mar 16, 2023
Signals
7 dated events
- C•••••• P••••• R••••••• left Apeiron for Steadtrust (registered 2025-04-24)May 8, 2025 · Advisor changed firm · fact
- Apeiron reported RAUM $555.0M, up 52% from $364.0M (2021-10-18 to 2021-12-07)Dec 7, 2021 · RAUM change · derived
- Dale Scott Hammel (Owner) appeared on Schedule A of ApeironJun 16, 2020 · Control person joined · fact
- Douglas Kyle Walters (Managing Member) no longer on Schedule A of Apeiron (listed 2020-03-20, absent 2020-06-16)Jun 16, 2020 · Control person left · inference
- Michael James Marsden (Chief Compliance Officer) appeared on Schedule A of ApeironApr 26, 2019 · Control person joined · fact
- Nmn James Vasquez (Chief Compliance Officer) no longer on Schedule A of Apeiron (listed 2019-04-01, absent 2019-04-26)Apr 26, 2019 · Control person left · inference
- A•••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 6, 2017 · 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
- Business email
- info@apeironplanning.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 972-421-2068reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/apeiron-planning-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- apeironplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-421-2068reportedpublic record, Form ADV, May 26, 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
- $77.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026