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•••••• F•••••••• S••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Feb 26, 2019 · 15 filings
SEC status approved since Apr 25, 2022
RAUM
$208M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$198M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.3M
derived; firm RAUM over IAPD count
Employees
4
3 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$208M as of Mar 20, 2026
Mar 2, 2020$87.1M then
HNW client RAUM$95.1M as of Mar 20, 2026
Mar 2, 2020$23.5M then
State-registered IARs (5.B.3)3 as of Mar 20, 2026
Mar 2, 20201 then
Employees (5.A)4 as of Mar 20, 2026
Mar 2, 20204 then
Private funds: no history
RAUM +20% over the last fiscal year+18% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $69.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $251,579derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$103M49%
- High-net-worth individuals$95.1M46%
- Corporations and businesses$4.6M2.2%
- Pension and profit-sharing plans$3.7M1.8%
- Charitable organizations$1.7M0.8%
- Individual clients
- 329reported
- HNW clients
- 47reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 826reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $142M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| S•••••• M•••• P••••• | Austin, Tx | Nov 25, 2019 | 17 y | 3 |
| J•••• C•••••••• H••••• | Austin, Tx | Jul 28, 2025 | 12 y | 1 |
| B•••••• A••••• J•••••• | Austin, Tx | Oct 14, 2025 | 18 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R••••• E•••••••• N•••••• to C••••••••• L••Mar 28, 2025 · RIA to a state-registered adviser
Joined, latest
- B•••••• A••••• J•••••• from U••• F•••••••• P••••••• S•••••••Oct 14, 2025 · Other
- J•••• C•••••••• H••••• from L•• F•••••••• L••Jul 28, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••••• M•••• P••••• from G••••• F•••••••• P•••••• C••••••• I•••Nov 25, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• B••••••• A••••• · Coocontrolsince 03/2022 · owns less than 5%
- P•••••• S••••••• M•••• · Managing Member & Chief Compliance Officercontrolsince 05/2009 · 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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 20, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-03-28, yes on the filing of 2026-03-20peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 611 to 826Mar 28, 2025 to Mar 20, 2026
- Charity clients · 0 to 1Mar 28, 2025 to Mar 20, 2026
- Corporate clients · 0 to 2Mar 28, 2025 to Mar 20, 2026
- HNW clients · 43 to 47Mar 28, 2025 to Mar 20, 2026
- Individual clients · 274 to 329Mar 28, 2025 to Mar 20, 2026
- Pension plan clients · 0 to 1Mar 28, 2025 to Mar 20, 2026
- Employees · 5 to 4Mar 28, 2025 to Mar 20, 2026
- Financial planning clients · 101-250 to 251-500Mar 28, 2025 to Mar 20, 2026
- State-registered IARs · 2 to 3Mar 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $173M to $207MMar 28, 2025 to Mar 20, 2026
- HNW RAUM · $65.8M to $95.1MMar 28, 2025 to Mar 20, 2026
- Individual RAUM · $107M to $103MMar 28, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $184,089 to $607,668Mar 28, 2025 to Mar 20, 2026
- Pension RAUM · $0 to $3.7MMar 28, 2025 to Mar 20, 2026
- RAUM · $173M to $208MMar 28, 2025 to Mar 20, 2026
- Wrap assets (manager) · unset to 142418279.0Mar 28, 2025 to Mar 20, 2026
- Wrap assets (sponsor) · unset to 0.0Mar 28, 2025 to Mar 20, 2026
- Accounts · 306 to 611Mar 19, 2024 to Mar 28, 2025
- HNW clients · 37 to 43Mar 19, 2024 to Mar 28, 2025
- Individual clients · 269 to 274Mar 19, 2024 to Mar 28, 2025
- Employees · 6 to 5Mar 19, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 101-250Mar 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $148M to $173MMar 19, 2024 to Mar 28, 2025
- HNW RAUM · $58.5M to $65.8MMar 19, 2024 to Mar 28, 2025
- Individual RAUM · $89.8M to $107MMar 19, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $169,675 to $184,089Mar 19, 2024 to Mar 28, 2025
- RAUM · $148M to $173MMar 19, 2024 to Mar 28, 2025
- Accounts · 993 to 306Mar 29, 2023 to Mar 19, 2024
- Advisory activities · 3 to 4Mar 29, 2023 to Mar 19, 2024
- HNW clients · 28 to 37Mar 29, 2023 to Mar 19, 2024
- Individual clients · 257 to 269Mar 29, 2023 to Mar 19, 2024
- Assets in custody · 126331476.0 to unsetMar 29, 2023 to Mar 19, 2024
- Discretionary RAUM · $126M to $148MMar 29, 2023 to Mar 19, 2024
- HNW RAUM · $49.9M to $58.5MMar 29, 2023 to Mar 19, 2024
- Individual RAUM · $76.5M to $89.8MMar 29, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $199,929 to $169,675Mar 29, 2023 to Mar 19, 2024
- RAUM · $126M to $148MMar 29, 2023 to Mar 19, 2024
- Accounts · 914 to 993Jul 6, 2022 to Mar 29, 2023
- HNW clients · 33 to 28Jul 6, 2022 to Mar 29, 2023
- Individual clients · 245 to 257Jul 6, 2022 to Mar 29, 2023
Signals
3 dated events
- R••••• E•••••••• N•••••• left C•••••• F•••••••• S••••••• L•• for C••••••••• L•• (registered 2025-09-11)Mar 28, 2025 · Advisor changed firm · fact
- Andrea Barbara Johnson (Coo) appeared on Schedule A of C•••••• F•••••••• S••••••• L••Mar 25, 2022 · Control person joined · fact
- C•••••• F•••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2022 · 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 email
- info@capstarfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-215-9030reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-436-9009reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- capstarfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (512) 215-9030reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- capstarfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $69.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026