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
T•• A••••••• G••••
Legal name S•••••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Jun 26, 2024 · 3 filings
SEC status approved since Jul 25, 2024
RAUM
$142M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$141M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.2M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$142M as of Feb 4, 2026
Jan 22, 2025$117M then
HNW client RAUM$84.4M as of Feb 4, 2026
Jan 22, 2025$69.5M then
State-registered IARs (5.B.3)2 as of Feb 4, 2026
Jan 22, 20252 then
Employees (5.A)5 as of Feb 4, 2026
Jan 22, 20254 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 4, 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
- $71.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $262,792derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $47.5MreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$84.4M59%
- Individuals$56.7M40%
- Charitable organizations$739,3610.5%
- Corporations and businesses$609,3590.4%
- Individual clients
- 157reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 542reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• L•••• R••••••Certified Financial Planner | Lubbock, Tx | Dec 7, 2017 | 18 y | 1 |
| J••• H••••• R••••••Certified Financial Planner | Lubbock, Tx | Dec 8, 2017 | 48 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• S•••••••• L•••• · Secretary/Treasurercontrolsince 11/2017 · owns 25% to 50%
- R••••••• J•••• H••••• · Presidentcontrolsince 06/1993 · owns less than 5%
- R••••••• S•••••• L•••• · Vice President And Chief Compliance Officercontrolsince 11/2017 · 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 |
|---|---|---|---|---|---|
| Lubbock, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 522 to 542Jan 22, 2025 to Feb 4, 2026
- HNW clients · 38 to 35Jan 22, 2025 to Feb 4, 2026
- Individual clients · 146 to 157Jan 22, 2025 to Feb 4, 2026
- Employees · 4 to 5Jan 22, 2025 to Feb 4, 2026
- Discretionary RAUM · $117M to $142MJan 22, 2025 to Feb 4, 2026
- HNW RAUM · $69.5M to $84.4MJan 22, 2025 to Feb 4, 2026
- Individual RAUM · $46.5M to $56.7MJan 22, 2025 to Feb 4, 2026
- RAUM · $117M to $142MJan 22, 2025 to Feb 4, 2026
- Accounts · 504 to 522Jun 26, 2024 to Jan 22, 2025
- Charity clients · 3 to 1Jun 26, 2024 to Jan 22, 2025
- Corporate clients · 2 to 1Jun 26, 2024 to Jan 22, 2025
- HNW clients · 28 to 38Jun 26, 2024 to Jan 22, 2025
- Individual clients · 155 to 146Jun 26, 2024 to Jan 22, 2025
- Financial planning clients · 0 to 0Jun 26, 2024 to Jan 22, 2025
- Discretionary RAUM · $110M to $117MJun 26, 2024 to Jan 22, 2025
- HNW RAUM · $57.1M to $69.5MJun 26, 2024 to Jan 22, 2025
- Individual RAUM · $51.3M to $46.5MJun 26, 2024 to Jan 22, 2025
- RAUM · $110M to $117MJun 26, 2024 to Jan 22, 2025
Signals
1 dated events
- T•• A••••••• G•••• filed its initial SEC registration (Form ADV)Jun 26, 2024 · 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
- Website
- w••.t•••••••••.net/NEW/THEADVISORSGROUPreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 806-794-3848reportedpublic record, Form ADV, Feb 4, 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
- $71.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026