DFX Intelligence
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SEC-registered adviser
F••••• D•••••• A••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Feb 17, 2023 · 15 filings
SEC status approved since Mar 20, 2023
RAUM
$52.3M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$51.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$26.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$52.3M as of Feb 17, 2026
Feb 6, 2024$42.4M then
HNW client RAUM$39.7M as of Feb 17, 2026
Feb 6, 2024$35.9M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Feb 6, 20242 then
Employees (5.A)3 as of Feb 17, 2026
Feb 6, 20246 then
Private funds: no history
RAUM +8.7% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $26.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 179derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $222,777derivedHNW RAUM over HNW clients
- Average account
- $262,832derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +485%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- High-net-worth individuals$39.7M76%
- Individuals$11.5M22%
- Pension and profit-sharing plans$1.1M2.1%
- Individual clients
- 179reported
- HNW clients
- 178reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 199reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• C••••• | Lubbock, Tx | Aug 1, 2018 | 28 y | 0 |
| M•••• L••• A•••••••• | Lubbock, Tx | Sep 3, 2022 | 10 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••• L••• · Director Of Operations/Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- C•••••• M••••••• D•••• · Managing Membercontrolsince 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 |
|---|---|---|---|---|---|
| Lubbock, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 140 to 199Jan 29, 2025 to Jan 22, 2026
- HNW clients · 10 to 178Jan 29, 2025 to Jan 22, 2026
- Individual clients · 51 to 179Jan 29, 2025 to Jan 22, 2026
- Pension plan clients · 3 to 10Jan 29, 2025 to Jan 22, 2026
- Discretionary RAUM · $47.2M to $51.3MJan 29, 2025 to Jan 22, 2026
- HNW RAUM · $38.7M to $39.7MJan 29, 2025 to Jan 22, 2026
- Individual RAUM · $8.5M to $11.5MJan 29, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $901,530 to $966,407Jan 29, 2025 to Jan 22, 2026
- Pension RAUM · $937,742 to $1.1MJan 29, 2025 to Jan 22, 2026
- RAUM · $48.1M to $52.3MJan 29, 2025 to Jan 22, 2026
- Accounts · 87 to 140Dec 11, 2024 to Jan 29, 2025
- Individual clients · 23 to 51Dec 11, 2024 to Jan 29, 2025
- Employees · 4 to 3Dec 11, 2024 to Jan 29, 2025
- Financial planning clients · unset to Dec 11, 2024 to Jan 29, 2025
- Discretionary RAUM · $1.3M to $47.2MDec 11, 2024 to Jan 29, 2025
- HNW RAUM · $35.9M to $38.7MDec 11, 2024 to Jan 29, 2025
- Individual RAUM · $5.7M to $8.5MDec 11, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $41.2M to $901,530Dec 11, 2024 to Jan 29, 2025
- Pension RAUM · $804,762 to $937,742Dec 11, 2024 to Jan 29, 2025
- RAUM · $42.4M to $48.1MDec 11, 2024 to Jan 29, 2025
- Employees · 5 to 4Jun 21, 2024 to Nov 13, 2024
- Advisory employees · 3 to 2May 16, 2024 to Jun 21, 2024
- Employees · 6 to 5May 16, 2024 to Jun 21, 2024
- State-registered IARs · 3 to 2May 16, 2024 to Jun 21, 2024
- State-registered IARs · 2 to 3Feb 6, 2024 to Apr 10, 2024
- Accounts · 76 to 87Oct 27, 2023 to Feb 6, 2024
- Advisory employees · 2 to 3Oct 27, 2023 to Feb 6, 2024
- HNW clients · 9 to 10Oct 27, 2023 to Feb 6, 2024
- Individual clients · 16 to 23Oct 27, 2023 to Feb 6, 2024
- Pension plan clients · 5 to 3Oct 27, 2023 to Feb 6, 2024
- Discretionary RAUM · $39.0M to $1.3MOct 27, 2023 to Feb 6, 2024
- HNW RAUM · $34.2M to $35.9MOct 27, 2023 to Feb 6, 2024
- Individual RAUM · $5.1M to $5.7MOct 27, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $1.1M to $41.2MOct 27, 2023 to Feb 6, 2024
- Pension RAUM · $797,001 to $804,762Oct 27, 2023 to Feb 6, 2024
- RAUM · $40.1M to $42.4MOct 27, 2023 to Feb 6, 2024
- Employees · 5 to 6Apr 13, 2023 to Jul 21, 2023
Signals
1 dated events
- F••••• D•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 17, 2023 · 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
- 806-993-7023reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 806-993-7023reportedpublic record, Form ADV, Feb 17, 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
- $26.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026