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
9•• G••••
Legal name M•• F•••••••• L••
Latest filing Feb 2, 2026
First filing on the tape Jul 10, 2023 · 6 filings
SEC status approved since Aug 9, 2023
RAUM
$245M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$241M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$81.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$245M as of Feb 2, 2026
Feb 14, 2024$142M then
HNW client RAUM$213M as of Feb 2, 2026
Feb 14, 2024$106M then
State-registered IARs (5.B.3)2 as of Feb 2, 2026
Feb 14, 20242 then
Employees (5.A)2 as of Feb 2, 2026
Feb 14, 20243 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $81.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $312,462derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $64.8M, 47 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$213M87%
- Individuals$28.0M11%
- Corporations and businesses$2.3M0.9%
- Charitable organizations$1.5M0.6%
- Individual clients
- 121reported
- HNW clients
- 83reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 783reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.8M for 47 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• D••••• M••••••••Certified Financial Planner | Austin, Tx | Sep 29, 2017 | 14 y | 2 |
| K•••••• S•••••• L••••••Certified Financial Planner | Austin, Tx | Nov 26, 2018 | 24 y | 10 |
| T••••••• P••• L•••••• | Austin, Tx | Nov 26, 2018 | 20 y | 1 |
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
- K•••••• S•••••• L•••••• from 9•• G••••Nov 26, 2018 · Other
- T••••••• P••• L•••••• from 9•• G••••Nov 26, 2018 · Other
- P•••• D••••• M•••••••• from K••••• A••••••• S•••••••• L••Sep 29, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• K••••••• S•••••• · Ceo And Managing Membercontrolsince 01/2020 · owns 50% to 75%
- M••••••••• P••••• D••••• · Chief Compliance Officer And Managing Membercontrolsince 08/2017 · 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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 668 to 783Mar 25, 2025 to Feb 2, 2026
- Charity clients · 1 to 5Mar 25, 2025 to Feb 2, 2026
- HNW clients · 79 to 83Mar 25, 2025 to Feb 2, 2026
- Individual clients · 100 to 121Mar 25, 2025 to Feb 2, 2026
- Assets in custody · $45.2M to $64.8MMar 25, 2025 to Feb 2, 2026
- Discretionary RAUM · $186M to $243MMar 25, 2025 to Feb 2, 2026
- HNW RAUM · $166M to $213MMar 25, 2025 to Feb 2, 2026
- Individual RAUM · $18.6M to $28.0MMar 25, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $1.2M to $1.4MMar 25, 2025 to Feb 2, 2026
- RAUM · $187M to $245MMar 25, 2025 to Feb 2, 2026
- Accounts · 553 to 668Aug 14, 2024 to Mar 25, 2025
- Corporate clients · 4 to 5Aug 14, 2024 to Mar 25, 2025
- HNW clients · 62 to 79Aug 14, 2024 to Mar 25, 2025
- Assets in custody · $38.9M to $45.2MAug 14, 2024 to Mar 25, 2025
- Employees · 3 to 2Aug 14, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Aug 14, 2024 to Mar 25, 2025
- Discretionary RAUM · $141M to $186MAug 14, 2024 to Mar 25, 2025
- HNW RAUM · $106M to $166MAug 14, 2024 to Mar 25, 2025
- Individual RAUM · $34.9M to $18.6MAug 14, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $1.1M to $1.2MAug 14, 2024 to Mar 25, 2025
- RAUM · $142M to $187MAug 14, 2024 to Mar 25, 2025
- Accounts · 436 to 553Jul 14, 2023 to Feb 14, 2024
- Corporate clients · 3 to 4Jul 14, 2023 to Feb 14, 2024
- HNW clients · 44 to 62Jul 14, 2023 to Feb 14, 2024
- Individual clients · 104 to 100Jul 14, 2023 to Feb 14, 2024
- Assets in custody · $17.4M to $38.9MJul 14, 2023 to Feb 14, 2024
- Financial planning clients · 1-10 to 0Jul 14, 2023 to Feb 14, 2024
- Discretionary RAUM · $106M to $141MJul 14, 2023 to Feb 14, 2024
- HNW RAUM · $83.4M to $106MJul 14, 2023 to Feb 14, 2024
- Individual RAUM · $22.3M to $34.9MJul 14, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $982,547 to $1.1MJul 14, 2023 to Feb 14, 2024
- RAUM · $107M to $142MJul 14, 2023 to Feb 14, 2024
Signals
1 dated events
- 9•• G•••• filed its initial SEC registration (Form ADV)Jul 10, 2023 · 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
- 512-853-9597reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/994groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- 9•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (512) 853-9597reportedpublic record, Form ADV, Feb 2, 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
- $81.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026