DFX Intelligence

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T•• M••••• F•••••••• G••••• L••

Independent wealth managerSEC-registered· Houston, Texaswebsite

Independent wealth manager, based in Houston, Texas, reporting $335M of regulatory assets across 2 registered advisors.

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

As of 2026-05-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $335M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: -22%
Private clients: 98% of RAUM, $329M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-05-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -22% over the last fiscal year, to $335M.
2026-05-01
RAUM a year earlier $429MRAUM now $335M
hourly charges (Item 5.E.2): no on the filing of 2026-04-13, yes on the filing of 2026-05-01
2026-05-01
hourly charges (Item 5.E.2) 1
6 published business contact points are on record, each with its source.
Contact points 6

Every filed figure, and the identifiersCRD 299404 · SEC 801-114342 · 21 filingsShow

CRD 299404SEC 801-114342First filing on the tape Oct 26, 2018, latest May 1, 2026SEC status approved since Dec 3, 2018IAPD

RAUM

$335M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

98%

$329M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$168M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$335M as of May 1, 2026

Mar 8, 2019$52.1M then

HNW client RAUM$293M as of May 1, 2026

Mar 8, 2019$51.8M then

State-registered IARs (5.B.3)2 as of May 1, 2026

Mar 8, 20191 then

Employees (5.A)3 as of May 1, 2026

Mar 8, 20192 then

Private funds: no history

RAUM -22% over the last fiscal year+18% a year over threeIARs 2 to 2

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
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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $168MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 64derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.8MderivedHNW RAUM over HNW clients
Average account: $947,060derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 1.8%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: -22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program: $331MreportedItem 5.I
Custody: $248,607, 2 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$293M87%
Individuals$36.4M11%
Charitable organizations$5.9M1.8%

Individual clients: 84reported
HNW clients: 43reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 354reported
Financial planning clients: 11-25reported
Wrap fee programs: $68.9M sponsored, $0 managedreported
Custody of client assets: $248,607 for 2 clientsreported
Compensation: % of AUM, fixed, hourlyreported
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
D•••• W•••• M•••••	Houston, Tx	Dec 3, 2018	34 y	1
S•••••• C••••••• S••••	Houston, Tx	Mar 2, 2021	32 y	1

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

S•••••• C••••••• S•••• from E•••• S••••••••• L••
Mar 2, 2021 · Affiliated broker-dealer or bank to independent RIA
D•••• W•••• M••••• from E•••• S••••••••• L••
Dec 3, 2018 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••• D••••• W•••• · Ceocontrol
since 11/2018 · owns 75% or more
M•••••• L••• A•• · Chief Compliance Officer / Cfocontrol
since 02/2021 · 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
Houston, Tx · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

compensation changedChange between filings · filing May 1, 2026
hourly charges (Item 5.E.2): no on the filing of 2026-04-13, yes on the filing of 2026-05-01
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 358 to 354
Apr 30, 2025 to Mar 24, 2026
HNW clients · 41 to 43
Apr 30, 2025 to Mar 24, 2026
Discretionary RAUM · $429M to $330M
Apr 30, 2025 to Mar 24, 2026
HNW RAUM · $387M to $293M
Apr 30, 2025 to Mar 24, 2026
Individual RAUM · $36.3M to $36.4M
Apr 30, 2025 to Mar 24, 2026
Non-discretionary RAUM · $2,414 to $5.4M
Apr 30, 2025 to Mar 24, 2026
RAUM · $429M to $335M
Apr 30, 2025 to Mar 24, 2026
Wrap assets (sponsor) · $145M to $68.9M
Apr 30, 2025 to Mar 24, 2026
Accounts · 343 to 358
Apr 1, 2024 to Apr 30, 2025
HNW clients · 47 to 41
Apr 1, 2024 to Apr 30, 2025
Individual clients · 75 to 84
Apr 1, 2024 to Apr 30, 2025
Assets in custody · unset to 248607.0
Apr 1, 2024 to Apr 30, 2025
Custody of client assets · false to true
Apr 1, 2024 to Apr 30, 2025
Employees · 4 to 3
Apr 1, 2024 to Apr 30, 2025
Financial planning clients · 11-25 to 11-25
Apr 1, 2024 to Apr 30, 2025
Discretionary RAUM · $381M to $429M
Apr 1, 2024 to Apr 30, 2025
HNW RAUM · $352M to $387M
Apr 1, 2024 to Apr 30, 2025
Individual RAUM · $24.7M to $36.3M
Apr 1, 2024 to Apr 30, 2025
Non-discretionary RAUM · $2,411 to $2,414
Apr 1, 2024 to Apr 30, 2025
RAUM · $381M to $429M
Apr 1, 2024 to Apr 30, 2025
Wrap assets (sponsor) · $28.8M to $145M
Apr 1, 2024 to Apr 30, 2025
Accounts · 406 to 343
Mar 31, 2023 to Apr 1, 2024
Advisory employees · 1 to 2
Mar 31, 2023 to Apr 1, 2024
Advisory activities · 3 to 5
Mar 31, 2023 to Apr 1, 2024
HNW clients · 41 to 47
Mar 31, 2023 to Apr 1, 2024
Individual clients · 81 to 75
Mar 31, 2023 to Apr 1, 2024
Employees · 3 to 4
Mar 31, 2023 to Apr 1, 2024
State-registered IARs · 1 to 2
Mar 31, 2023 to Apr 1, 2024
Discretionary RAUM · $207M to $381M
Mar 31, 2023 to Apr 1, 2024
HNW RAUM · $180M to $352M
Mar 31, 2023 to Apr 1, 2024
Individual RAUM · $24.6M to $24.7M
Mar 31, 2023 to Apr 1, 2024
Non-discretionary RAUM · $500 to $2,411
Mar 31, 2023 to Apr 1, 2024
RAUM · $207M to $381M
Mar 31, 2023 to Apr 1, 2024
Wrap assets (sponsor) · $44.9M to $28.8M
Mar 31, 2023 to Apr 1, 2024
Accounts · 403 to 406
Mar 31, 2022 to Mar 31, 2023
Advisory employees · 2 to 1
Mar 31, 2022 to Mar 31, 2023
Charity clients · unset to 1.0
Mar 31, 2022 to Mar 31, 2023
HNW clients · 40 to 41
Mar 31, 2022 to Mar 31, 2023
Individual clients · 75 to 81
Mar 31, 2022 to Mar 31, 2023
State-registered IARs · 2 to 1
Mar 31, 2022 to Mar 31, 2023

Signals

4 dated events

••• Locked
Apr 1, 2024 · RAUM change · derived
••• Locked
Mar 19, 2021 · Control person joined · fact
••• Locked
Mar 27, 2019 · RAUM change · derived
••• Locked
Oct 26, 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.

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, May 1, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 1, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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: $168Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026