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
A•••• W••••• A•••••••
Legal name A•••• W••••• A•••••••• I•••
Latest filing Aug 28, 2026
First filing on the tape Jun 22, 2026 · 2 filings
SEC status approved since Jul 22, 2026
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$118M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$121M as of Aug 28, 2026
Jun 22, 2026$121M then
HNW client RAUM$68.2M as of Aug 28, 2026
Jun 22, 2026$68.2M then
State-registered IARs (5.B.3)2 as of Aug 28, 2026
Jun 22, 20262 then
Employees (5.A)2 as of Aug 28, 2026
Jun 22, 20262 then
Private funds: no history
Practice profile
derived from the filing of Aug 28, 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
- RAUM per advisor
- $60.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $234,950derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$68.2M56%
- Individuals$50.2M41%
- Charitable organizations$2.9M2.4%
- Individual clients
- 153reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 516reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| D••••• L•• S••••••Certified Financial Planner | San Antonio, Tx | Dec 7, 2017 | 15 y | 2 |
| M••••••• H••••• L••Certified Financial Planner | San Antonio, Tx | Oct 29, 2024 | 13 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 headcount1 left over 36 months
Left, latest
- S•••• E••••• L•••••• to F•••••••• L••• A•••••••Dec 6, 2024 · RIA to RIA
Joined, latest
- D••••• L•• S•••••• from U••• F•••••••• A•••••••Dec 7, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Lynchburg, Va · principal | 2 | 0 | 0 | ||
| San Antonio, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · AUBURN to LYNCHBURGJun 22, 2026 to Aug 28, 2026
- HQ state · CA to VAJun 22, 2026 to Aug 28, 2026
- Other offices · 1 to 2Jun 22, 2026 to Aug 28, 2026
Signals
1 dated events
- S•••• E••••• L•••••• left A•••• W••••• A••••••• for F•••••••• L••• A••••••• (registered 2024-11-21)Dec 6, 2024 · Advisor changed firm · 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
- info@a••••wealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- dan@a••••wealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- natasha@a••••wealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 210-331-7107reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 210-541-9967reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/arrow-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 210-541-9967reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- arrowwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- arrowwealthadvisors.com/who-we-arereportedpublished 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
- $60.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026