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
E••••• F•••••••• G••••• L••
Latest filing May 1, 2026
First filing on the tape Mar 13, 2018 · 16 filings
SEC status approved since Jan 2, 2026
RAUM
$113M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
89%
$101M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$18.9M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$113M as of May 1, 2026
Nov 12, 2025$107M then
HNW client RAUM$70.0M as of May 1, 2026
Nov 12, 2025$68.7M then
State-registered IARs (5.B.3)6 as of May 1, 2026
Nov 12, 20256 then
Employees (5.A)11 as of May 1, 2026
Nov 12, 202511 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 1, 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
- $18.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $152,290derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 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, 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
- is an insurance broker or agent (6.A.6)
- 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$70.0M62%
- Individuals$31.4M28%
- Charitable organizations$11.8M10%
- Corporations and businesses$306,8010.3%
- Individual clients
- 232reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 20reported
- Accounts
- 745reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| D•••• J•• B•••••• | Celina, Tx | Apr 16, 2018 | 30 y | 2 |
| M•••••• J•••• G•••••• | Celina, Tx | May 4, 2018 | 14 y | 1 |
| B•••• W•••• B••••• | Peoria, Az | May 29, 2019 | 12 y | 0 |
| J•• A••••• B•••••• | Celina, Tx | Oct 28, 2020 | 13 y | 1 |
| J••• D•••• B•••••• | Corsicana, Tx | Jul 8, 2021 | 10 y | 0 |
| B•••••• B••• | Eugene, Or | May 9, 2022 | 15 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
- S•••• J•••• P••••••• to S••• F•••• I•••Apr 8, 2021 · RIA to RIA
Joined, latest
- J•• A••••• B•••••• from G• A• R••••• • C••••••Oct 28, 2020 · Affiliated broker-dealer or bank to independent RIA
- S•••• J•••• P••••••• from G• A• R••••• • C••••••May 16, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• J•••• G•••••• from T••••••• I••••••••• M••••••••• I•••May 4, 2018 · Other
- D•••• J•• B•••••• from G• A• R••••• • C••••••Apr 16, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• J•• · Managing Member & Chief Compliance Officercontrolsince 03/2018 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Celina, Tx | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bozeman, MT1 employees
- Campbell, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 710 to 745Nov 12, 2025 to Mar 24, 2026
- Charity clients · 17 to 20Nov 12, 2025 to Mar 24, 2026
- Corporate clients · 2 to 3Nov 12, 2025 to Mar 24, 2026
- HNW clients · 62 to 65Nov 12, 2025 to Mar 24, 2026
- Individual clients · 227 to 232Nov 12, 2025 to Mar 24, 2026
- Discretionary RAUM · $88.5M to $97.2MNov 12, 2025 to Mar 24, 2026
- HNW RAUM · $68.7M to $70.0MNov 12, 2025 to Mar 24, 2026
- Individual RAUM · $28.6M to $31.4MNov 12, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $18.3M to $16.2MNov 12, 2025 to Mar 24, 2026
- RAUM · $107M to $113MNov 12, 2025 to Mar 24, 2026
- Accounts · 205 to 710Sep 27, 2018 to Nov 12, 2025
- Advisory employees · 3 to 6Sep 27, 2018 to Nov 12, 2025
- Charity clients · unset to 17.0Sep 27, 2018 to Nov 12, 2025
- Corporate clients · unset to 2.0Sep 27, 2018 to Nov 12, 2025
- HNW clients · unset to 62.0Sep 27, 2018 to Nov 12, 2025
- Individual clients · 127 to 227Sep 27, 2018 to Nov 12, 2025
- Pension plan clients · unset to 0.0Sep 27, 2018 to Nov 12, 2025
- Pooled vehicle clients · unset to 0.0Sep 27, 2018 to Nov 12, 2025
- Employees · 3 to 11Sep 27, 2018 to Nov 12, 2025
- Financial planning clients · 0 to 0Sep 27, 2018 to Nov 12, 2025
- HQ city · BURLESON to Sep 27, 2018 to Nov 12, 2025
- HQ state · TX to Sep 27, 2018 to Nov 12, 2025
- State-registered IARs · 3 to 6Sep 27, 2018 to Nov 12, 2025
- Other offices · 2 to 5Sep 27, 2018 to Nov 12, 2025
- Discretionary RAUM · $22.2M to $88.5MSep 27, 2018 to Nov 12, 2025
- HNW RAUM · $2.8M to $68.7MSep 27, 2018 to Nov 12, 2025
- Individual RAUM · $22.6M to $28.6MSep 27, 2018 to Nov 12, 2025
- Non-discretionary RAUM · $3.2M to $18.3MSep 27, 2018 to Nov 12, 2025
- Pension RAUM · unset to 0.0Sep 27, 2018 to Nov 12, 2025
- Pooled vehicle RAUM · unset to 0.0Sep 27, 2018 to Nov 12, 2025
- RAUM · $25.3M to $107MSep 27, 2018 to Nov 12, 2025
- Advisory activities · 4 to 3Sep 5, 2018 to Sep 27, 2018
- Discretionary RAUM · $22.2M to $22.2MJul 19, 2018 to Aug 10, 2018
- RAUM · $25.3M to $25.3MJul 19, 2018 to Aug 10, 2018
- Accounts · 0 to 205May 15, 2018 to Jul 19, 2018
- Advisory employees · 1 to 3May 15, 2018 to Jul 19, 2018
- Individual clients · unset to 127.0May 15, 2018 to Jul 19, 2018
- Employees · 1 to 3May 15, 2018 to Jul 19, 2018
- State-registered IARs · 1 to 3May 15, 2018 to Jul 19, 2018
- Discretionary RAUM · $0 to $22.2MMay 15, 2018 to Jul 19, 2018
Signals
1 dated events
- F••• L•• filed its initial SEC registration (Form ADV)Mar 13, 2018 · ria f•••• adv filing · 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
- Website
- expandfinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-521-5451reportedpublic record, Form ADV, May 1, 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
- $18.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026