DFX Intelligence

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P•••••••• F•••••••• P•••••••• L••

Independent wealth managerSEC-registered· Addison, Texaswebsite

Independent wealth manager, based in Addison, Texas, reporting $174M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $174M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +12%
Private clients: 97%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Mar 2026, RAUM $155M to $174M (+12.3%) on the Form ADV filed 24 Mar 2026, while advisors on the filing rose 1 to 2 and offices fell 5 to 4.

Every filed figure, and the identifiersCRD 291830 · SEC 801-123142 · 8 filingsShow

CRD 291830SEC 801-123142First filing on the tape Jan 3, 2022, latest Mar 24, 2026SEC status approved since Feb 2, 2022IAPD

RAUM

$174M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

97%

$170M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$87.1M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +19% a year over three years · the tape starts Jan 3, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$174M as of Mar 24, 2026

Jan 12, 2022$107M then

HNW client RAUM$163M as of Mar 24, 2026

Jan 12, 2022$102M then

State-registered IARs (5.B.3)2 as of Mar 24, 2026

Jan 12, 20221 then

Employees (5.A)2 as of Mar 24, 2026

Jan 12, 20221 then

Private funds: no history

RAUM +12% over the last fiscal year+19% a year over threeIARs 1 to 2offices 5 to 4

Practice profile

derived from the filing of Mar 24, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $87.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 35derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $507,799derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.4%derived
Compensation: hourly, fixed feesreportedItem 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)
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

93% high-net-worth individuals, 4.1% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$163M93%
Individuals$7.1M4.1%
Corporations and businesses$4.4M2.5%
Charitable organizations$128,9160.1%

Individual clients: 13reported
HNW clients: 57reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 343reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixed, hourlyreported
Class basis: RAUM: 97% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

P••• S•••••• M••••• from S•••••••• A••••••• L••
Jan 24, 2018 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
P••• S•••••• M•••••Certified Financial Planner	Addison, Tx	Jan 24, 2018	15 y	1
A•••••••• W•••••• W•••••	Addison, Tx	Feb 12, 2026	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••• P•••• S•••••• · Ceo, Cco & Managing Membercontrol
since 12/2017 · owns 75% or more
M•••••• C•••• · Partner
since 06/2023 · owns 5% to 10%
R•••••• N••• · Member
since 12/2022 · owns 5% to 10%

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
Addison, Tx · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

Atlanta, GA1 employee
Dallas, TX1 employee
Houston, TX1 employee
Phoenix, AZ1 employee
Southlake, TX1 employee

What changed

consecutive filings, newest first

Accounts · 319 to 343
Mar 4, 2025 to Mar 24, 2026
Advisory employees · 1 to 2
Mar 4, 2025 to Mar 24, 2026
Charity clients · 0 to 1
Mar 4, 2025 to Mar 24, 2026
Individual clients · 12 to 13
Mar 4, 2025 to Mar 24, 2026
HQ city · PLANO to ADDISON
Mar 4, 2025 to Mar 24, 2026

Full history · 39 changes

State-registered IARs · 1 to 2
Mar 4, 2025 to Mar 24, 2026
Other offices · 5 to 4
Mar 4, 2025 to Mar 24, 2026
Discretionary RAUM · $155M to $174M
Mar 4, 2025 to Mar 24, 2026
HNW RAUM · $146M to $163M
Mar 4, 2025 to Mar 24, 2026
Individual RAUM · $5.9M to $7.1M
Mar 4, 2025 to Mar 24, 2026
RAUM · $155M to $174M
Mar 4, 2025 to Mar 24, 2026
Accounts · 273 to 319
Jul 9, 2024 to Mar 4, 2025
HNW clients · 43 to 57
Jul 9, 2024 to Mar 4, 2025
Individual clients · 13 to 12
Jul 9, 2024 to Mar 4, 2025
Financial planning clients · 0 to 0
Jul 9, 2024 to Mar 4, 2025
Discretionary RAUM · $131M to $155M
Jul 9, 2024 to Mar 4, 2025
HNW RAUM · $117M to $146M
Jul 9, 2024 to Mar 4, 2025
Individual RAUM · $7.6M to $5.9M
Jul 9, 2024 to Mar 4, 2025
Non-discretionary RAUM · $2.0M to $0
Jul 9, 2024 to Mar 4, 2025
RAUM · $133M to $155M
Jul 9, 2024 to Mar 4, 2025
HQ city · SOUTHLAKE to PLANO
Jan 19, 2024 to Jul 9, 2024
Other offices · 4 to 5
Jan 19, 2024 to Jul 9, 2024
Accounts · 289 to 273
Jul 7, 2023 to Jan 19, 2024
Corporate clients · 0 to 1
Jul 7, 2023 to Jan 19, 2024
HNW clients · 35 to 43
Jul 7, 2023 to Jan 19, 2024
Individual clients · 11 to 13
Jul 7, 2023 to Jan 19, 2024
Discretionary RAUM · $96.1M to $131M
Jul 7, 2023 to Jan 19, 2024
HNW RAUM · $95.8M to $117M
Jul 7, 2023 to Jan 19, 2024
Individual RAUM · $6.8M to $7.6M
Jul 7, 2023 to Jan 19, 2024
Non-discretionary RAUM · $6.5M to $2.0M
Jul 7, 2023 to Jan 19, 2024
RAUM · $103M to $133M
Jul 7, 2023 to Jan 19, 2024
Accounts · 239 to 289
Jan 12, 2022 to Jan 4, 2023
Individual clients · 8 to 11
Jan 12, 2022 to Jan 4, 2023
Employees · 1 to 2
Jan 12, 2022 to Jan 4, 2023
Discretionary RAUM · $99.0M to $96.1M
Jan 12, 2022 to Jan 4, 2023
HNW RAUM · $102M to $95.8M
Jan 12, 2022 to Jan 4, 2023
Individual RAUM · $5.6M to $6.8M
Jan 12, 2022 to Jan 4, 2023
Non-discretionary RAUM · $8.2M to $6.5M
Jan 12, 2022 to Jan 4, 2023
RAUM · $107M to $103M
Jan 12, 2022 to Jan 4, 2023

Signals

3 dated events

••• Locked
Mar 24, 2026 · ria hq relocated · fact
••• Locked
Mar 24, 2026 · ria office closed · derived
••• Locked
Jan 3, 2022 · 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $87.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026