DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••• C••••••
Legal name B••••• C••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Aug 11, 2017 · 22 filings
SEC status approved since Sep 12, 2017
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$103M as of Mar 25, 2026
Mar 26, 2018$102M then
HNW client RAUM$99.9M as of Mar 25, 2026
Mar 26, 2018$96.3M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 26, 20181 then
Employees (5.A)3 as of Mar 25, 2026
Mar 26, 20182 then
Private funds: no history
RAUM +13% over the last fiscal year-4.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $596,099derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.9M97%
- Individuals$2.7M2.6%
- Individual clients
- 4reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 172reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• A•••••• F•••Certified Financial Planner | Austin, Tx | Sep 15, 2017 | 25 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
- L••••• E•••••••• E•••••••• L•••••• to K••••• A••••••• S•••••••• L••Oct 29, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- L••••• E•••••••• E•••••••• L•••••• from U•• F•••••••• S••••••• I•••Oct 10, 2018 · Wirehouse to independent RIA
- R•••••• A•••••• F••• from R•••••• J•••• • A••••••••• I•••Sep 15, 2017 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• R••••••• A•••••• · Chief Compliance Officer/Managing Membercontrolsince 07/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 212 to 172Oct 28, 2025 to Mar 25, 2026
- HNW clients · 25 to 28Oct 28, 2025 to Mar 25, 2026
- Individual clients · 7 to 4Oct 28, 2025 to Mar 25, 2026
- Financial planning clients · 11-25 to 26-50Oct 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $90.5M to $103MOct 28, 2025 to Mar 25, 2026
- HNW RAUM · $86.3M to $99.9MOct 28, 2025 to Mar 25, 2026
- Individual RAUM · $4.3M to $2.7MOct 28, 2025 to Mar 25, 2026
- RAUM · $90.5M to $103MOct 28, 2025 to Mar 25, 2026
- RAUM · $126M to $90.5MMar 27, 2024 to Mar 28, 2025
- Accounts · 216 to 212Mar 27, 2024 to Mar 28, 2025
- HNW clients · 28 to 25Mar 27, 2024 to Mar 28, 2025
- Individual clients · 10 to 7Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 11-25Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $126M to $90.5MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $121M to $86.3MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $4.9M to $4.3MMar 27, 2024 to Mar 28, 2025
- Accounts · 277 to 216Mar 31, 2023 to Mar 27, 2024
- HNW clients · 32 to 28Mar 31, 2023 to Mar 27, 2024
- Individual clients · 9 to 10Mar 31, 2023 to Mar 27, 2024
- Employees · 4 to 3Mar 31, 2023 to Mar 27, 2024
- State-registered IARs · 2 to 1Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $117M to $126MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $113M to $121MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $3.8M to $4.9MMar 31, 2023 to Mar 27, 2024
- RAUM · $117M to $126MMar 31, 2023 to Mar 27, 2024
- Accounts · 304 to 277Mar 30, 2022 to Feb 23, 2023
- HNW clients · 31 to 32Mar 30, 2022 to Feb 23, 2023
- Individual clients · 10 to 9Mar 30, 2022 to Feb 23, 2023
- Discretionary RAUM · $128M to $117MMar 30, 2022 to Feb 23, 2023
- HNW RAUM · $124M to $113MMar 30, 2022 to Feb 23, 2023
- Individual RAUM · $4.1M to $3.8MMar 30, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $1.0M to $0Mar 30, 2022 to Feb 23, 2023
- RAUM · $129M to $117MMar 30, 2022 to Feb 23, 2023
- Accounts · 274 to 304Sep 2, 2021 to Mar 30, 2022
- Advisory employees · 1 to 2Sep 2, 2021 to Mar 30, 2022
- HNW clients · 29 to 31Sep 2, 2021 to Mar 30, 2022
- Individual clients · 11 to 10Sep 2, 2021 to Mar 30, 2022
- Employees · 2 to 4Sep 2, 2021 to Mar 30, 2022
- State-registered IARs · 1 to 2Sep 2, 2021 to Mar 30, 2022
- Discretionary RAUM · $113M to $128MSep 2, 2021 to Mar 30, 2022
Signals
1 dated events
- B••••• C•••••• filed its initial SEC registration (Form ADV)Aug 11, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B••••• C•••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 512-750-9136reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••CAPITALGROUP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 512-827-0826reportedpublic record, Form ADV, Mar 25, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026