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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Former SEC-registered adviser
E•••••• W••••• P•••••••• L••
Latest filing Jan 23, 2024
First filing on the tape Jul 31, 2017 · 24 filings
RAUM
$664M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$664M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$664M as of Mar 20, 2023
Feb 20, 2018$94.8M then
HNW client RAUM$84.5M as of Mar 20, 2023
Feb 20, 2018$58.9M then
State-registered IARs (5.B.3)7 as of Mar 20, 2023
Feb 20, 20183 then
Employees (5.A)7 as of Mar 20, 2023
Feb 20, 20183 then
Private funds: no history
RAUM +15% over the last fiscal year+51% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jan 23, 2024; every figure names its basis
- RAUM per advisor
- $94.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $546,870derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -67%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $12.5M, 19 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$580M87%
- Individuals$84.5M13%
- Individual clients
- 201reported
- HNW clients
- 222reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,215reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.5M for 19 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- G•••••• S•••• P••••• to C•••••••Mar 26, 2024 · Other
- B•••• K•••• J•••• to C•••••••Mar 26, 2024 · Other
- A••••• A••• D•••••• to C•••••••Mar 26, 2024 · Other
- A••••• Y••••• B•••• to C•••••••Mar 26, 2024 · Other
- D••••• G••••• F••••• to I••••••••• W••••• P•••••••Mar 26, 2024 · RIA to a state-registered adviser
- T••••• P••••• to C•••••••Mar 26, 2024 · Other
- P•••••• J••••• B•••• to C•••••••Mar 26, 2024 · Other
- C•••••• A••••• M••••• to G•••••• F•••••••• C•••••••••Oct 13, 2022 · RIA to RIA
- J••• A•••••• D••• to F•••• H•••••• A•••••••• I••Nov 24, 2020 · RIA to RIA
- C•••••• A••••• B•••• to A••••••••• F•••••••• S•••••••• L••Dec 6, 2017 · Other
Joined, latest
- D••••• G••••• F••••• from B•••••••• A•••• M••••••••• L••Oct 11, 2022 · RIA to RIA
- B•••• K•••• J•••• from C•••••• A•••• M••••••••• L••Jun 2, 2022 · RIA to RIA
- G•••••• S•••• P••••• from A•••••• G••••• I•••••••• M•••••• A••••••• L••Sep 18, 2017 · Other
- C•••••• A••••• B•••• from R•• C•••••• M••••••• L••Aug 31, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• P••••• from A•••• G••••• A•••••••• L••Aug 31, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• G••••••• S•••• · Managing Partnercontrolsince 06/2017 · owns 25% to 50%
- P••••••• F••••• L••• · Director Of Business Development, Sr. Family Wealth Advisor, Partnersince 01/2020 · owns 25% to 50%
- P•••••• T•••••• S•••• · Director Of Financial Planning, Family Wealth Advisor, Chief Compliance Officer, Partnersince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- C•••••••investment advisernRAUM $1237B
- C••••••• Financial Advisorsbroker-dealernRAUM $116B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 25, 2023 to Jan 23, 2024
- Related broker-dealer · false to trueMar 25, 2023 to Jan 23, 2024
- HNW clients · 201 to 222Mar 20, 2023 to Mar 25, 2023
- Individual clients · 222 to 201Mar 20, 2023 to Mar 25, 2023
- HNW RAUM · $84.5M to $580MMar 20, 2023 to Mar 25, 2023
- Individual RAUM · $580M to $84.5MMar 20, 2023 to Mar 25, 2023
- Accounts · 912 to 1,215Oct 13, 2022 to Mar 20, 2023
- Advisory employees · 6 to 7Oct 13, 2022 to Mar 20, 2023
- HNW clients · 1,167 to 201Oct 13, 2022 to Mar 20, 2023
- Individual clients · 126 to 222Oct 13, 2022 to Mar 20, 2023
- Assets in custody · $11.0M to $12.5MOct 13, 2022 to Mar 20, 2023
- State-registered IARs · 6 to 7Oct 13, 2022 to Mar 20, 2023
- Discretionary RAUM · $579M to $664MOct 13, 2022 to Mar 20, 2023
- HNW RAUM · $519M to $84.5MOct 13, 2022 to Mar 20, 2023
- Individual RAUM · $60.0M to $580MOct 13, 2022 to Mar 20, 2023
- RAUM · $579M to $664MOct 13, 2022 to Mar 20, 2023
- Accounts · 580 to 912Sep 28, 2021 to Mar 22, 2022
- HNW clients · 104 to 1,167Sep 28, 2021 to Mar 22, 2022
- Individual clients · 88 to 126Sep 28, 2021 to Mar 22, 2022
- Assets in custody · $5.2M to $11.0MSep 28, 2021 to Mar 22, 2022
- Employees · 6 to 7Sep 28, 2021 to Mar 22, 2022
- Financial planning clients · 1-10 to 0Sep 28, 2021 to Mar 22, 2022
- Discretionary RAUM · $301M to $579MSep 28, 2021 to Mar 22, 2022
- HNW RAUM · $277M to $519MSep 28, 2021 to Mar 22, 2022
- Individual RAUM · $24.6M to $60.0MSep 28, 2021 to Mar 22, 2022
- RAUM · $301M to $579MSep 28, 2021 to Mar 22, 2022
- Advisory employees · 7 to 6Mar 5, 2021 to Sep 28, 2021
- Employees · 7 to 6Mar 5, 2021 to Sep 28, 2021
- State-registered IARs · 7 to 6Mar 5, 2021 to Sep 28, 2021
- Accounts · 480 to 580Nov 2, 2020 to Mar 5, 2021
- Advisory employees · 4 to 7Nov 2, 2020 to Mar 5, 2021
- HNW clients · 71 to 104Nov 2, 2020 to Mar 5, 2021
- Individual clients · 64 to 88Nov 2, 2020 to Mar 5, 2021
- Assets in custody · $1.9M to $5.2MNov 2, 2020 to Mar 5, 2021
- Employees · 6 to 7Nov 2, 2020 to Mar 5, 2021
- Financial planning clients · 0 to 1-10Nov 2, 2020 to Mar 5, 2021
- State-registered IARs · 5 to 7Nov 2, 2020 to Mar 5, 2021
- Discretionary RAUM · $190M to $301MNov 2, 2020 to Mar 5, 2021
- HNW RAUM · $170M to $277MNov 2, 2020 to Mar 5, 2021
- Individual RAUM · $22.6M to $24.6MNov 2, 2020 to Mar 5, 2021
Signals
12 dated events
- E•••••• W••••• P•••••••• L••'s advisors moved to C••••••• (The Woodlands, TX): 6 of 7 registered, on the same dayMar 26, 2024 · Firm absorbed (people side) · derived
- T••••• P••••• left E•••••• W••••• P•••••••• L•• for C••••••• (registered 2024-01-18)Mar 26, 2024 · Advisor changed firm · fact
- P•••••• J••••• B•••• left E•••••• W••••• P•••••••• L•• for C••••••• (registered 2024-01-18)Mar 26, 2024 · Advisor changed firm · fact
- D••••• G••••• F••••• left E•••••• W••••• P•••••••• L•• for I••••••••• W••••• P••••••• (registered 2024-01-10)Mar 26, 2024 · Advisor changed firm · fact
- B•••• K•••• J•••• left E•••••• W••••• P•••••••• L•• for C••••••• (registered 2024-01-18)Mar 26, 2024 · Advisor changed firm · fact
- A••••• A••• D•••••• left E•••••• W••••• P•••••••• L•• for C••••••• (registered 2024-01-18)Mar 26, 2024 · Advisor changed firm · fact
- A••••• Y••••• B•••• left E•••••• W••••• P•••••••• L•• for C••••••• (registered 2024-01-18)Mar 26, 2024 · Advisor changed firm · fact
- G•••••• S•••• P••••• left E•••••• W••••• P•••••••• L•• for C••••••• (registered 2024-01-18)Mar 26, 2024 · Advisor changed firm · fact
- C•••••• A••••• M••••• left E•••••• W••••• P•••••••• L•• for G•••••• F•••••••• C••••••••• (registered 2022-10-31)Oct 13, 2022 · Advisor changed firm · fact
- E•••••• W••••• P•••••••• L•• reported RAUM $579.2M, up 92% from $301.5M (2021-09-28 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- E•••••• W••••• P•••••••• L•• reported RAUM $301.5M, up 57% from $192.4M (2020-11-02 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- E•••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 31, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026