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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Former SEC-registered adviser

W••••••• W••••• M••••••••• L••

Former SEC-registered adviserRoanoke, TexasCRD 295033SEC 801-113142IAPD
Latest filing Mar 20, 2019
First filing on the tape Apr 3, 2018 · 8 filings
RAUM
$16.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$16.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$16.0M as of Mar 20, 2019
Apr 3, 2018$0 then
HNW client RAUM$3.8M as of Mar 20, 2019
Aug 6, 2018$3.0M then
State-registered IARs (5.B.3)1 as of Mar 20, 2019
Apr 3, 20181 then
Employees (5.A)4 as of Mar 20, 2019
Apr 3, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 2019; every figure names its basis
RAUM per advisor
$16.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$959,066derivedHNW RAUM over HNW clients
Average account
$109,301derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • Individuals$12.1M76%
  • High-net-worth individuals$3.8M24%
Individual clients
65reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
146reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••••• M••••••• D••• · Managing Member & Chief Compliance Officercontrol
    since 05/2018 · owns 50% to 75%
  • M•••••••• J•••• · Managing Member & Chief Executive Officercontrol
    since 05/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Roanoke, Tx · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 125 to 146
    Jan 29, 2019 to Mar 20, 2019
  • HNW clients · 5 to 4
    Jan 29, 2019 to Mar 20, 2019
  • Individual clients · 43 to 65
    Jan 29, 2019 to Mar 20, 2019
  • Employees · 3 to 4
    Jan 29, 2019 to Mar 20, 2019
  • Financial planning clients · 0 to 51-100
    Jan 29, 2019 to Mar 20, 2019
  • Discretionary RAUM · $13.7M to $16.0M
    Jan 29, 2019 to Mar 20, 2019
  • HNW RAUM · $3.0M to $3.8M
    Jan 29, 2019 to Mar 20, 2019
  • Individual RAUM · $11.7M to $12.1M
    Jan 29, 2019 to Mar 20, 2019
  • Non-discretionary RAUM · $1.0M to $0
    Jan 29, 2019 to Mar 20, 2019
  • RAUM · $14.7M to $16.0M
    Jan 29, 2019 to Mar 20, 2019
  • Accounts · 0 to 125
    May 17, 2018 to Aug 6, 2018
  • HNW clients · unset to 5.0
    May 17, 2018 to Aug 6, 2018
  • Individual clients · unset to 43.0
    May 17, 2018 to Aug 6, 2018
  • Discretionary RAUM · $0 to $13.7M
    May 17, 2018 to Aug 6, 2018
  • HNW RAUM · unset to 3000000.0
    May 17, 2018 to Aug 6, 2018
  • Individual RAUM · unset to 11700000.0
    May 17, 2018 to Aug 6, 2018
  • Non-discretionary RAUM · $0 to $1.0M
    May 17, 2018 to Aug 6, 2018
  • RAUM · $0 to $14.7M
    May 17, 2018 to Aug 6, 2018
  • Business name · M• F•••••••• to W••••••• W••••• M••••••••• L••
    Apr 3, 2018 to May 4, 2018
  • Legal name · M• F•••••••• to W••••••• W••••• M••••••••• L••
    Apr 3, 2018 to May 4, 2018
Signals
2 dated events
  • M•••••• J••••• L••• left W••••••• W••••• M••••••••• L•• for R••••••••• P••••••• O• A•••••• (registered 2023-03-24)
    Dec 31, 2023 · Advisor changed firm · fact
  • M• F•••••••• filed its initial SEC registration (Form ADV)
    Apr 3, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026