DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••••••••• S•••• • A••••••••• I•••
Latest filing Mar 2, 2026
First filing on the tape Oct 27, 2017 · 20 filings
SEC status approved since Nov 27, 2017
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$224M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$224M as of Mar 2, 2026
Mar 26, 2018$109M then
HNW client RAUM$182M as of Mar 2, 2026
Mar 26, 2018$79.3M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Mar 26, 20181 then
Employees (5.A)4 as of Mar 2, 2026
Mar 26, 20183 then
Private funds: no history
RAUM +9.1% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $74.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $609,258derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $224MreportedItem 5.I
- Custody
- $224M, 187 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
- 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)
- 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$182M81%
- Individuals$42.0M19%
- Individual clients
- 107reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 368reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $224M for 187 clientsreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• R•••••• B•••• M•••••••• | Houston, Tx | Nov 27, 2017 | 26 y | 2 |
| M•••••• W••••• S•••• | Houston, Tx | Mar 1, 2018 | 26 y | 2 |
| S•••••• H•••• B•••••• | Houston, Tx | Mar 14, 2022 | 10 y | 0 |
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
- M•••••• W••••• S•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 1, 2018 · Other
- J••• R•••••• B•••• M•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 27, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• J•••• R•••••• B•••• · President, Director, Chief Compliance Officercontrolsince 10/2017 · owns 50% to 75%
- S••••• M••••••• W••••• · Secretary, Treasurer, Directorcontrolsince 10/2017 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 334 to 368Jan 29, 2025 to Mar 2, 2026
- HNW clients · 77 to 80Jan 29, 2025 to Mar 2, 2026
- Individual clients · 99 to 107Jan 29, 2025 to Mar 2, 2026
- Assets in custody · $205M to $224MJan 29, 2025 to Mar 2, 2026
- Discretionary RAUM · $205M to $224MJan 29, 2025 to Mar 2, 2026
- HNW RAUM · $168M to $182MJan 29, 2025 to Mar 2, 2026
- Individual RAUM · $37.6M to $42.0MJan 29, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $293,910 to $378,779Jan 29, 2025 to Mar 2, 2026
- RAUM · $205M to $224MJan 29, 2025 to Mar 2, 2026
- Accounts · 323 to 334Mar 4, 2024 to Jan 29, 2025
- HNW clients · 64 to 77Mar 4, 2024 to Jan 29, 2025
- Individual clients · 100 to 99Mar 4, 2024 to Jan 29, 2025
- Assets in custody · $160M to $205MMar 4, 2024 to Jan 29, 2025
- Financial planning clients · unset to Mar 4, 2024 to Jan 29, 2025
- Discretionary RAUM · $173M to $205MMar 4, 2024 to Jan 29, 2025
- HNW RAUM · $132M to $168MMar 4, 2024 to Jan 29, 2025
- Individual RAUM · $41.5M to $37.6MMar 4, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $246,043 to $293,910Mar 4, 2024 to Jan 29, 2025
- RAUM · $173M to $205MMar 4, 2024 to Jan 29, 2025
- Accounts · 329 to 323Feb 14, 2023 to Mar 4, 2024
- HNW clients · 38 to 64Feb 14, 2023 to Mar 4, 2024
- Individual clients · 122 to 100Feb 14, 2023 to Mar 4, 2024
- Discretionary RAUM · $159M to $173MFeb 14, 2023 to Mar 4, 2024
- HNW RAUM · $119M to $132MFeb 14, 2023 to Mar 4, 2024
- Individual RAUM · $40.7M to $41.5MFeb 14, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $295,289 to $246,043Feb 14, 2023 to Mar 4, 2024
- RAUM · $160M to $173MFeb 14, 2023 to Mar 4, 2024
- Accounts · 297 to 329Feb 25, 2022 to Feb 14, 2023
- Advisory employees · 2 to 3Feb 25, 2022 to Feb 14, 2023
- HNW clients · 113 to 38Feb 25, 2022 to Feb 14, 2023
- Individual clients · 103 to 122Feb 25, 2022 to Feb 14, 2023
- Assets in custody · $173M to $160MFeb 25, 2022 to Feb 14, 2023
- State-registered IARs · 2 to 3Feb 25, 2022 to Feb 14, 2023
- Discretionary RAUM · $173M to $159MFeb 25, 2022 to Feb 14, 2023
- HNW RAUM · $137M to $119MFeb 25, 2022 to Feb 14, 2023
- Individual RAUM · $37.1M to $40.7MFeb 25, 2022 to Feb 14, 2023
- Non-discretionary RAUM · $322,193 to $295,289Feb 25, 2022 to Feb 14, 2023
- RAUM · $174M to $160MFeb 25, 2022 to Feb 14, 2023
- Accounts · 274 to 297Feb 23, 2021 to Feb 25, 2022
- HNW clients · 90 to 113Feb 23, 2021 to Feb 25, 2022
Signals
1 dated events
- M••••••••• S•••• • A••••••••• I••• filed its initial SEC registration (Form ADV)Oct 27, 2017 · 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 email
- b••••@m•••••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r••••@m•••••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-897-0700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 281-897-0702reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.m•••••.netreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 281-897-0700reportedpublic record, Form ADV, Mar 2, 2026
- Team page
- m•••••.netreportedpublished by the firm, firm site, Sep 16, 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
- $74.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026