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
C•••• S•• F••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Mar 8, 2021 · 7 filings
SEC status approved since Apr 7, 2021
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$141M as of Mar 30, 2026
Feb 22, 2022$116M then
HNW client RAUM$110M as of Mar 30, 2026
Feb 22, 2022$93.9M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Feb 22, 20223 then
Employees (5.A)3 as of Mar 30, 2026
Feb 22, 20223 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 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
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $471,680derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, 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
- High-net-worth individuals$110M78%
- Individuals$30.4M22%
- Other investment advisers$102,7520.1%
- Individual clients
- 90reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 298reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• L•••• S••••Certified Financial Planner | Prosper, Tx | Oct 11, 2018 | 43 y | 2 |
| J••• W••••• P•••••• | Prosper, Tx | Oct 11, 2018 | 29 y | 2 |
| A••••• L•••• H•••••Certified Financial Planner | Prosper, Tx | Oct 11, 2018 | 28 y | 2 |
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
- R•••• L•••• S•••• from L•• F•••••••• L••Oct 11, 2018 · RIA to RIA
- J••• W••••• P•••••• from L•• F•••••••• L••Oct 11, 2018 · RIA to RIA
- A••••• L•••• H••••• from L•• F•••••••• L••Oct 11, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from L•• F•••••••• L••Dec 20, 2018 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• A•••••• L•••• · Limited Partner/Chief Compliance Officercontrolsince 08/2018 · owns 25% to 50%
- P••••••• J•••• W••••• · Limited Partnercontrolsince 08/2018 · owns 25% to 50%
- S••••• R••••• L•••• · Limited Partnercontrolsince 08/2018 · owns 25% to 50%
- H•••••• A•••••• L•••• · Managing Membercontrolsince 08/2018 · owns 25% to 50% of C•••• S•• F••••••••• L••
- P••••••• J•••• W••••• · Managing Membercontrolsince 08/2018 · owns 25% to 50% of C•••• S•• F••••••••• L••
- S••••• R••••• L•••• · Managing Membercontrolsince 08/2018 · owns 25% to 50% of C•••• S•• F••••••••• L••
Entity owners
- C•••• S•• F••••••••• L•• · General Partnerdirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Prosper, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 279 to 298Mar 27, 2025 to Mar 30, 2026
- Individual clients · 89 to 90Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $124M to $141MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $101M to $110MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $22.8M to $30.4MMar 27, 2025 to Mar 30, 2026
- RAUM · $124M to $141MMar 27, 2025 to Mar 30, 2026
- Accounts · 292 to 279Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $107M to $124MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $88.7M to $101MMar 26, 2024 to Mar 27, 2025
- Individual RAUM · $18.2M to $22.8MMar 26, 2024 to Mar 27, 2025
- RAUM · $107M to $124MMar 26, 2024 to Mar 27, 2025
- Accounts · 30 to 292Mar 22, 2023 to Mar 26, 2024
- HNW clients · 36 to 35Mar 22, 2023 to Mar 26, 2024
- Individual clients · 107 to 89Mar 22, 2023 to Mar 26, 2024
- Financial planning clients · 0 to 101-250Mar 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $98.4M to $107MMar 22, 2023 to Mar 26, 2024
- HNW RAUM · $80.7M to $88.7MMar 22, 2023 to Mar 26, 2024
- Individual RAUM · $17.7M to $18.2MMar 22, 2023 to Mar 26, 2024
- RAUM · $98.4M to $107MMar 22, 2023 to Mar 26, 2024
- Accounts · 300 to 30Aug 26, 2022 to Mar 22, 2023
- HNW clients · 42 to 36Aug 26, 2022 to Mar 22, 2023
- Individual clients · 89 to 107Aug 26, 2022 to Mar 22, 2023
- Discretionary RAUM · $116M to $98.4MAug 26, 2022 to Mar 22, 2023
- HNW RAUM · $93.9M to $80.7MAug 26, 2022 to Mar 22, 2023
- Individual RAUM · $22.3M to $17.7MAug 26, 2022 to Mar 22, 2023
- RAUM · $116M to $98.4MAug 26, 2022 to Mar 22, 2023
- Accounts · 288 to 300Mar 8, 2021 to Feb 22, 2022
- HNW clients · 33 to 42Mar 8, 2021 to Feb 22, 2022
- Individual clients · 94 to 89Mar 8, 2021 to Feb 22, 2022
- HQ city · PLANO to PROSPERMar 8, 2021 to Feb 22, 2022
- Discretionary RAUM · $105M to $116MMar 8, 2021 to Feb 22, 2022
- HNW RAUM · $77.9M to $93.9MMar 8, 2021 to Feb 22, 2022
- Individual RAUM · $27.5M to $22.3MMar 8, 2021 to Feb 22, 2022
- RAUM · $105M to $116MMar 8, 2021 to Feb 22, 2022
Signals
1 dated events
- C•••• S•• F••••••••• L• filed its initial SEC registration (Form ADV)Mar 8, 2021 · 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
- Website
- c••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-440-3615reportedpublic record, Form ADV, Mar 30, 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
- $46.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026