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.
SEC-registered adviser
Outlook Wealth Advisors, LLC
Latest filing Mar 6, 2026
First filing on the tape May 29, 2018 · 26 filings
SEC status approved since Jun 28, 2018
RAUM
$594M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$594M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$99.0M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$594M as of Mar 6, 2026
Mar 21, 2019$296M then
HNW client RAUM$446M as of Mar 6, 2026
Mar 21, 2019$151M then
State-registered IARs (5.B.3)5 as of Mar 6, 2026
Mar 21, 20194 then
Employees (5.A)11 as of Mar 6, 2026
Mar 21, 201910 then
Private funds: no history
RAUM +9.3% over the last fiscal year+11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 6, 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
- RAUM per advisor
- $99.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $241,244derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.9derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $248M, 395 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$446M75%
- Individuals$148M25%
- Individual clients
- 381reported
- HNW clients
- 188reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,461reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $248M for 395 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Allen NeuenschwanderCertified Financial Planner | The Woodlands, Tx | Jun 28, 2018 | 26 y | 2 |
| James Allen NeuenschwanderCertified Financial Planner | The Woodlands, Tx | Jun 28, 2018 | 40 y | 4 |
| Elsa CazaresCertified Financial Planner | The Woodlands, Tx | Jun 28, 2018 | 30 y | 1 |
| William Lavan Graves | The Woodlands, Tx | Jan 11, 2024 | 15 y | 3 |
| Cameron Trey Judy | The Woodlands, Tx | Sep 5, 2025 | 22 y | 2 |
| Nicholas Daniel Castellano | The Woodlands, Tx | Apr 13, 2026 | 18 y | 7 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Jennifer Aguirre to United Advisors AmericaJul 25, 2024 · RIA to RIA
- William C Artzberger to Fisher InvestmentsAug 31, 2020 · RIA to RIA
- William Clinton Mcnutt to Mercer Global Advisors Inc.Oct 5, 2018 · Other
Joined, latest
- Nicholas Daniel Castellano from Ae Wealth Management, LLCApr 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- Cameron Trey Judy from Ameriprise Financial Services, LLCSep 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- William Lavan Graves from Park Avenue Securities LLCJan 11, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jennifer Aguirre from Navy Federal Investment Services, LLCOct 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- William C Artzberger from Edward JonesDec 11, 2018 · Other
- Michael Allen Neuenschwander from Global Financial Private Capital, Inc.Jun 28, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- William Clinton Mcnutt from Global Financial Private Capital, Inc.Jun 28, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- James Allen Neuenschwander from Global Financial Private Capital, Inc.Jun 28, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Elsa Cazares from Sanders Morris LLCJun 28, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Global Financial Private Capital, Inc.Jan 10, 2019 · Shenandoah, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allen James Neuenschwander · Presidentcontrolsince 05/2018 · owns less than 5%
- Allen Michael Neuenschwander · Vice Presidentcontrolsince 05/2018 · owns less than 5%
- Elsa Cazares · Membercontrolsince 05/2018 · owns F of Outlook Wealth Financial Services, LLC
- Allen James Neuenschwander · Managing Membercontrolsince 05/2018 · owns 50% to 75% of Outlook Wealth Financial Services, LLC
- Allen Michael Neuenschwander · Membercontrolsince 05/2018 · owns 25% to 50% of Outlook Wealth Financial Services, LLC
- Graves Stacy Fleming · Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- Outlook Wealth Financial Services, LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Outlook Wealth Insurance Services, LLCreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Houston, TX5 employees
- College Station, TX5 employees
- Houston, TX5 employees
- Baytown, TX5 employees
- Sugar Land, TX5 employees
- Kingwood, TX5 employees
- Houston, TX3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 6, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-08-26, no on the filing of 2026-03-06peers: independent wealth managers, $500M to $1B (1,483)
- account count surgeChange between filings · filing Mar 6, 2026accounts (Item 5.F.2.f) moved from 570.0 to 2,461.0 (+332.0%) between the annual amendments of 2025-03-12 and 2026-03-06; the peer median change was +6.0% (1256 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 570 to 2,461Aug 26, 2025 to Mar 6, 2026
- Advisory employees · 4 to 5Aug 26, 2025 to Mar 6, 2026
- HNW clients · 168 to 188Aug 26, 2025 to Mar 6, 2026
- Individual clients · 402 to 381Aug 26, 2025 to Mar 6, 2026
- Assets in custody · $452M to $248MAug 26, 2025 to Mar 6, 2026
- Employees · 10 to 11Aug 26, 2025 to Mar 6, 2026
- State-registered IARs · 4 to 5Aug 26, 2025 to Mar 6, 2026
- Discretionary RAUM · $543M to $594MAug 26, 2025 to Mar 6, 2026
- HNW RAUM · $396M to $446MAug 26, 2025 to Mar 6, 2026
- Individual RAUM · $147M to $148MAug 26, 2025 to Mar 6, 2026
- RAUM · $543M to $594MAug 26, 2025 to Mar 6, 2026
- Wrap assets (manager) · 0.0 to unsetAug 26, 2025 to Mar 6, 2026
- Wrap assets (sponsor) · 0.0 to unsetAug 26, 2025 to Mar 6, 2026
- Accounts · 2,561 to 570Mar 14, 2024 to Mar 12, 2025
- Advisory employees · 5 to 4Mar 14, 2024 to Mar 12, 2025
- HNW clients · 183 to 168Mar 14, 2024 to Mar 12, 2025
- Individual clients · 368 to 402Mar 14, 2024 to Mar 12, 2025
- Assets in custody · $197M to $452MMar 14, 2024 to Mar 12, 2025
- Employees · 11 to 10Mar 14, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 14, 2024 to Mar 12, 2025
- State-registered IARs · 5 to 4Mar 14, 2024 to Mar 12, 2025
- Other offices · 7 to 6Mar 14, 2024 to Mar 12, 2025
- Discretionary RAUM · $463M to $543MMar 14, 2024 to Mar 12, 2025
- HNW RAUM · $351M to $396MMar 14, 2024 to Mar 12, 2025
- Individual RAUM · $112M to $147MMar 14, 2024 to Mar 12, 2025
- RAUM · $463M to $543MMar 14, 2024 to Mar 12, 2025
- Accounts · 2,615 to 2,561Nov 21, 2023 to Mar 6, 2024
- Advisory employees · 4 to 5Nov 21, 2023 to Mar 6, 2024
- Advisory activities · 5 to 4Nov 21, 2023 to Mar 6, 2024
- HNW clients · 125 to 183Nov 21, 2023 to Mar 6, 2024
- Individual clients · 418 to 368Nov 21, 2023 to Mar 6, 2024
- Assets in custody · $176M to $197MNov 21, 2023 to Mar 6, 2024
- State-registered IARs · 4 to 5Nov 21, 2023 to Mar 6, 2024
- Discretionary RAUM · $431M to $463MNov 21, 2023 to Mar 6, 2024
- HNW RAUM · $282M to $351MNov 21, 2023 to Mar 6, 2024
- Individual RAUM · $149M to $112MNov 21, 2023 to Mar 6, 2024
- RAUM · $431M to $463MNov 21, 2023 to Mar 6, 2024
- Accounts · 2,497 to 2,615Mar 31, 2022 to Mar 16, 2023
- HNW clients · 142 to 125Mar 31, 2022 to Mar 16, 2023
- Individual clients · 372 to 418Mar 31, 2022 to Mar 16, 2023
Signals
5 dated events
- Jennifer Aguirre left Outlook Wealth Advisors, Llc for United Advisors America (registered 2024-09-26)Jul 25, 2024 · Advisor changed firm · fact
- Fatina Solomon (Chief Compliance Officer) no longer on Schedule A of Outlook Wealth Advisors, Llc (listed 2024-03-06, absent 2024-03-13)Mar 13, 2024 · Control person left · inference
- Graves Stacy Fleming (Chief Compliance Officer) appeared on Schedule A of Outlook Wealth Advisors, LlcMar 13, 2024 · Control person joined · fact
- Fatina Solomon (Chief Compliance Officer) appeared on Schedule A of Outlook Wealth Advisors, LlcAug 3, 2023 · Control person joined · fact
- Outlook Wealth Advisors, Llc filed its initial SEC registration (Form ADV)May 29, 2018 · 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
- Firm profile
- linkedin.com/company/outlook-wealth-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- OUTLOOKWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 281-872-1515reportedpublic record, Form ADV, Mar 6, 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
- $99.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026