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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Latest filing Jan 14, 2026
First filing on the tape Sep 9, 2024 · 6 filings
SEC status approved since Oct 9, 2024
RAUM
$155M
reported, Item 5.F
Discretionary
34%
of RAUM
Private clients
96%
$149M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
1
1 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$155M as of Jan 14, 2026
Jan 15, 2025$128M then
HNW client RAUM$146M as of Jan 14, 2026
Jan 15, 2025$122M then
State-registered IARs (5.B.3)1 as of Jan 14, 2026
Jan 15, 20251 then
Employees (5.A)1 as of Jan 14, 2026
Jan 15, 20251 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 14, 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
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $909,701derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 34%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +34%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$146M98%
- Individuals$2.9M1.9%
- Individual clients
- 7reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 170reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 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••• D•••••• P•••••Certified Financial Planner | Dallas, Tx | Dec 22, 2017 | 30 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
- R••• D•••••• P••••• from A•••••• S•••••••• W•••••• I•••Dec 22, 2017 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• R•••• D•••••• · Chief Compliance Officer & Managing Membercontrolsince 10/2017 · 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 · 172 to 170Jul 25, 2025 to Jan 14, 2026
- HNW clients · 30 to 32Jul 25, 2025 to Jan 14, 2026
- Individual clients · 8 to 7Jul 25, 2025 to Jan 14, 2026
- Discretionary RAUM · $49.1M to $52.6MJul 25, 2025 to Jan 14, 2026
- HNW RAUM · $138M to $146MJul 25, 2025 to Jan 14, 2026
- Individual RAUM · $3.1M to $2.9MJul 25, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $97.6M to $102MJul 25, 2025 to Jan 14, 2026
- RAUM · $147M to $155MJul 25, 2025 to Jan 14, 2026
- Accounts · 129 to 172Feb 20, 2025 to Jul 25, 2025
- HNW clients · 26 to 30Feb 20, 2025 to Jul 25, 2025
- Individual clients · 3 to 8Feb 20, 2025 to Jul 25, 2025
- Financial planning clients · 26-50 to 26-50Feb 20, 2025 to Jul 25, 2025
- Discretionary RAUM · $35.3M to $49.1MFeb 20, 2025 to Jul 25, 2025
- HNW RAUM · $122M to $138MFeb 20, 2025 to Jul 25, 2025
- Individual RAUM · $1.4M to $3.1MFeb 20, 2025 to Jul 25, 2025
- Non-discretionary RAUM · $93.1M to $97.6MFeb 20, 2025 to Jul 25, 2025
- RAUM · $128M to $147MFeb 20, 2025 to Jul 25, 2025
- Accounts · 124 to 129Oct 18, 2024 to Jan 15, 2025
- HQ city · unset to Oct 18, 2024 to Jan 15, 2025
- HQ state · unset to Oct 18, 2024 to Jan 15, 2025
- Discretionary RAUM · $34.6M to $35.3MOct 18, 2024 to Jan 15, 2025
- HNW RAUM · $123M to $122MOct 18, 2024 to Jan 15, 2025
- Individual RAUM · $1.5M to $1.4MOct 18, 2024 to Jan 15, 2025
- Non-discretionary RAUM · $94.8M to $93.1MOct 18, 2024 to Jan 15, 2025
- RAUM · $129M to $128MOct 18, 2024 to Jan 15, 2025
- Charity clients · unset to 0.0Sep 9, 2024 to Oct 18, 2024
- Corporate clients · unset to 0.0Sep 9, 2024 to Oct 18, 2024
- HNW clients · 25 to 26Sep 9, 2024 to Oct 18, 2024
- Pension plan clients · unset to 0.0Sep 9, 2024 to Oct 18, 2024
- Pooled vehicle clients · unset to 0.0Sep 9, 2024 to Oct 18, 2024
- Discretionary RAUM · $34.2M to $34.6MSep 9, 2024 to Oct 18, 2024
- HNW RAUM · $110M to $123MSep 9, 2024 to Oct 18, 2024
- Individual RAUM · $1.5M to $1.5MSep 9, 2024 to Oct 18, 2024
- Non-discretionary RAUM · $82.6M to $94.8MSep 9, 2024 to Oct 18, 2024
- Pension RAUM · unset to 0.0Sep 9, 2024 to Oct 18, 2024
- Pooled vehicle RAUM · unset to 0.0Sep 9, 2024 to Oct 18, 2024
- RAUM · $117M to $129MSep 9, 2024 to Oct 18, 2024
Signals
1 dated events
- C•••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Sep 9, 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
- Principal office phone
- 512-399-3541reportedpublic record, Form ADV, Jan 14, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026