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
I••••••••• W••••• S•••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 12, 2019 · 34 filings
SEC status approved since Apr 12, 2019
RAUM
$961M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$961M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$961M as of Mar 12, 2026
Mar 30, 2020$28.7M then
HNW client RAUM$38.4M as of Mar 12, 2026
Mar 30, 2020$22.8M then
State-registered IARs (5.B.3)6 as of Mar 12, 2026
Mar 30, 20202 then
Employees (5.A)6 as of Mar 12, 2026
Mar 30, 20202 then
Private funds: no history
RAUM +52% over the last fiscal year+113% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Mar 12, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 526derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $300,321derivedHNW RAUM over HNW clients
- Average account
- $304,508derivedRAUM 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
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $627M, 2,021 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
- 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)
- 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
- Individuals$923M96%
- High-net-worth individuals$38.4M4.0%
- Individual clients
- 3,028reported
- HNW clients
- 128reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3,156reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $627M for 2,021 clientsreported
- Compensation
- % of AUM, commissionsreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- M•••••• S••••• to S•••• F••• I••••••••• M••••••••• C••••Sep 30, 2025 · Other
Joined, latest
- M•••••• S••••• from W••••••• C••••••May 14, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••• T••••• · Ceocontrolsince 03/2019 · owns less than 5%
- W•••••••• B••••••• H•••••• · Membercontrolsince 03/2019 · owns 5% to 10%
- C••••••• J•••• T••••• · Membercontrolsince 12/2012 · owns 75% or more of W••••••• C•••••• M••••••••• L••
- S••••••••• G•••• J••••• · Chief Compliance Officersince 03/2019 · owns less than 5%
Entity owners
- W••••••• C••••••• L••• · Memberdirect · owns 75% or more
- W••••••• C•••••• M••••••••• L•• · Memberindirect · owns 50% to 75% of W••••••• C••••••• L•••
Related persons
Schedule D 7.A
- W••••••• C••••••investment adviseryRAUM $2.3B
Advisers that list I••••••••• W••••• S•••••••• L•• as a related person
- 133705 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 6 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Mar 12, 2026private clients per advisor of 526.0 against a peer median of 63.5 (1211 comparable advisers, 100.0th percentile, 12.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,211) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $632,396,939 to $961,026,206 (+52.0%) between the annual amendments of 2025-03-21 and 2026-03-12; the peer median change was +16.0% (1385 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 2,473 to 3,156Sep 29, 2025 to Mar 12, 2026
- Advisory employees · 4 to 6Sep 29, 2025 to Mar 12, 2026
- HNW clients · 97 to 128Sep 29, 2025 to Mar 12, 2026
- Individual clients · 2,376 to 3,028Sep 29, 2025 to Mar 12, 2026
- Assets in custody · $66.3M to $627MSep 29, 2025 to Mar 12, 2026
- Employees · 5 to 6Sep 29, 2025 to Mar 12, 2026
- State-registered IARs · 4 to 6Sep 29, 2025 to Mar 12, 2026
- Discretionary RAUM · $632M to $961MSep 29, 2025 to Mar 12, 2026
- HNW RAUM · $25.3M to $38.4MSep 29, 2025 to Mar 12, 2026
- Individual RAUM · $607M to $923MSep 29, 2025 to Mar 12, 2026
- RAUM · $632M to $961MSep 29, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0May 27, 2025 to Sep 29, 2025
- Accounts · 703 to 2,473Dec 19, 2024 to Mar 21, 2025
- Advisory employees · 1 to 4Dec 19, 2024 to Mar 21, 2025
- HNW clients · 40 to 97Dec 19, 2024 to Mar 21, 2025
- Individual clients · 512 to 2,376Dec 19, 2024 to Mar 21, 2025
- Employees · 2 to 5Dec 19, 2024 to Mar 21, 2025
- Insurance-licensed employees · 1 to 0Dec 19, 2024 to Mar 21, 2025
- State-registered IARs · 1 to 4Dec 19, 2024 to Mar 21, 2025
- Discretionary RAUM · $277M to $632MDec 19, 2024 to Mar 21, 2025
- HNW RAUM · $83.2M to $25.3MDec 19, 2024 to Mar 21, 2025
- Individual RAUM · $194M to $607MDec 19, 2024 to Mar 21, 2025
- RAUM · $277M to $632MDec 19, 2024 to Mar 21, 2025
- Accounts · 514 to 703Dec 8, 2023 to Feb 20, 2024
- HNW clients · 20 to 40Dec 8, 2023 to Feb 20, 2024
- Individual clients · 494 to 512Dec 8, 2023 to Feb 20, 2024
- Discretionary RAUM · $99.8M to $277MDec 8, 2023 to Feb 20, 2024
- HNW RAUM · $29.0M to $83.2MDec 8, 2023 to Feb 20, 2024
- Individual RAUM · $70.8M to $194MDec 8, 2023 to Feb 20, 2024
- RAUM · $99.8M to $277MDec 8, 2023 to Feb 20, 2024
- Accounts · 148 to 514Jan 26, 2023 to Feb 22, 2023
- HNW clients · unset to 20.0Jan 26, 2023 to Feb 22, 2023
- Individual clients · unset to 494.0Jan 26, 2023 to Feb 22, 2023
- Assets in custody · $1.8M to $66.3MJan 26, 2023 to Feb 22, 2023
- Discretionary RAUM · $57.5M to $99.8MJan 26, 2023 to Feb 22, 2023
- HNW RAUM · unset to 29046410.0Jan 26, 2023 to Feb 22, 2023
- Individual RAUM · unset to 70752989.0Jan 26, 2023 to Feb 22, 2023
- RAUM · $57.5M to $99.8MJan 26, 2023 to Feb 22, 2023
- Custody of client assets · false to trueJul 12, 2022 to Oct 20, 2022
- Accounts · 75 to 148Mar 1, 2021 to Mar 21, 2022
Signals
6 dated events
- I••••••••• W••••• S•••••••• L•• reported RAUM $961.0M, up 52% from $632.4M (2025-09-29 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- M•••••• S••••• left I••••••••• W••••• S•••••••• L•• for S•••• F••• I••••••••• M••••••••• C•••• (registered 2025-10-10)Sep 30, 2025 · Advisor changed firm · fact
- I••••••••• W••••• S•••••••• L•• reported RAUM $632.4M, up 128% from $277.4M (2024-12-19 to 2025-03-21)Mar 21, 2025 · RAUM change · derived
- I••••••••• W••••• S•••••••• L•• reported RAUM $277.4M, up 178% from $99.8M (2023-12-08 to 2024-02-20)Feb 20, 2024 · RAUM change · derived
- Hampton Bennett Woodward (Member) appeared on Schedule A of I••••••••• W••••• S•••••••• L••May 6, 2019 · Control person joined · fact
- I••••••••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Mar 12, 2019 · 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
- Principal office phone
- 877-699-3258reportedpublic record, Form ADV, Mar 12, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026