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
R••••• A•••••••
Legal name R••••• A••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 4, 2022 · 22 filings
SEC status approved since May 5, 2022
RAUM
$368M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$349M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$91.9M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$368M as of Mar 25, 2026
Feb 3, 2023$150M then
HNW client RAUM$348M as of Mar 25, 2026
Feb 3, 2023$148M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Feb 3, 20232 then
Employees (5.A)8 as of Mar 25, 2026
Feb 3, 20235 then
Private funds3 as of Jul 4, 2025
Feb 3, 20235 then
RAUM +17% over the last fiscal year+35% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $91.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $938,241derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$348M95%
- Charitable organizations$18.7M5.1%
- Individuals$1.4M0.4%
- Individual clients
- 2reported
- HNW clients
- 57reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 392reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• B• R•••••••Certified Financial Planner, Chartered Financial Analyst | A•••••, Tx | Mar 28, 2019 | 19 y | 3 |
| C•••••• F•••••••• H••• | A•••••, Tx | Dec 8, 2020 | 10 y | 0 |
| A••••• R•••••• | A•••••, Tx | Jun 8, 2023 | 10 y | 0 |
| W•••••• D••• P•••••••• | A•••••, Tx | Sep 29, 2023 | 11 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
- A••• R•••••• H••• to B•••••••• W•••••• L••Oct 4, 2022 · RIA to RIA
- J•• M••••• G•••••• to M••••• W••••• A•••••••Feb 7, 2020 · RIA to RIA
Joined, latest
- A••• R•••••• H••• from A••••••••• L••Apr 5, 2019 · RIA to RIA
- J•• M••••• G•••••• from A••••••••• L••Apr 4, 2019 · RIA to RIA
- A••• B• R••••••• from A••••••••• L••Mar 28, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• L••Apr 2, 2019 · A•••••, Tx
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J••••• R••••••• H•••• L•• | Real Estate Fund | $7.0M | 41 | Apr 4, 2022 |
| R••• A•• S••••••• L•• | Real Estate Fund | $1.9M | 10 | Apr 4, 2022 |
| 3••• B•••••• L•• | Real Estate Fund | $1.7M | 3 | Jan 3, 2023 |
| A••• M••••• H••••• L•no longer reported | Real Estate Fund | $1.3M | 11 | Apr 4, 2022 |
| A••••• D••••• L••no longer reported | Real Estate Fund | $700,000 | 7 | Apr 4, 2022 |
Owners and control persons
Schedule A and B, latest filing
- R•••••••• A•••• B• · Principal/Chief Compliance Officercontrolsince 01/2019 · owns 50% to 75%
- W•••••• R•••• C••••••••• · Principalcontrolsince 01/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••• R•••••••investment companyy
- A••• M••••• H•••• G•• L••pooled vehicle sponsorn
- R••••• D••••••••• G••••• L••pooled vehicle sponsorn
- R••• W•••••investment companyy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| A•••••, Tx · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 327 to 392Oct 28, 2025 to Mar 25, 2026
- HNW clients · 47 to 57Oct 28, 2025 to Mar 25, 2026
- Individual clients · 7 to 2Oct 28, 2025 to Mar 25, 2026
- Employees · 7 to 8Oct 28, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 4Oct 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $315M to $368MOct 28, 2025 to Mar 25, 2026
- HNW RAUM · $280M to $348MOct 28, 2025 to Mar 25, 2026
- Individual RAUM · $4.4M to $1.4MOct 28, 2025 to Mar 25, 2026
- RAUM · $315M to $368MOct 28, 2025 to Mar 25, 2026
- Assets in custody · 314654363.0 to unsetJul 4, 2025 to Oct 28, 2025
- Custody of client assets · true to falseJul 4, 2025 to Oct 28, 2025
- Private funds · 3 to unsetJul 4, 2025 to Oct 28, 2025
- Advisory employees · 4 to 5Jun 18, 2025 to Jul 4, 2025
- Employees · 6 to 7Jun 18, 2025 to Jul 4, 2025
- Financial planning clients · 26-50 to 26-50Jun 18, 2025 to Jul 4, 2025
- State-registered IARs · 4 to 5Jun 18, 2025 to Jul 4, 2025
- HNW clients · 7 to 47Feb 28, 2025 to Jun 18, 2025
- Individual clients · 47 to 7Feb 28, 2025 to Jun 18, 2025
- Employees · 5 to 6Jan 24, 2025 to Feb 28, 2025
- Accounts · 271 to 327Dec 17, 2024 to Jan 24, 2025
- Charity clients · 0 to 1Dec 17, 2024 to Jan 24, 2025
- HNW clients · 42 to 7Dec 17, 2024 to Jan 24, 2025
- Individual clients · 5 to 47Dec 17, 2024 to Jan 24, 2025
- Assets in custody · $204M to $315MDec 17, 2024 to Jan 24, 2025
- Discretionary RAUM · $204M to $315MDec 17, 2024 to Jan 24, 2025
- HNW RAUM · $199M to $280MDec 17, 2024 to Jan 24, 2025
- Individual RAUM · $4.7M to $4.4MDec 17, 2024 to Jan 24, 2025
- RAUM · $204M to $315MDec 17, 2024 to Jan 24, 2025
- Accounts · 152 to 271Oct 31, 2023 to Mar 18, 2024
- HNW clients · 29 to 42Oct 31, 2023 to Mar 18, 2024
- Assets in custody · $150M to $204MOct 31, 2023 to Mar 18, 2024
- Employees · 4 to 5Oct 31, 2023 to Mar 18, 2024
- Private funds · 5 to 3Oct 31, 2023 to Mar 18, 2024
- Discretionary RAUM · $150M to $204MOct 31, 2023 to Mar 18, 2024
- HNW RAUM · $148M to $199MOct 31, 2023 to Mar 18, 2024
- Individual RAUM · $1.7M to $4.7MOct 31, 2023 to Mar 18, 2024
- RAUM · $150M to $204MOct 31, 2023 to Mar 18, 2024
- Employees · 7 to 4Oct 9, 2023 to Oct 12, 2023
- Advisory employees · 3 to 4Jul 7, 2023 to Oct 9, 2023
- Employees · 6 to 7Jul 7, 2023 to Oct 9, 2023
Signals
3 dated events
- R••••• A••••••• reported RAUM $314.7M, up 54% from $203.8M (2024-12-17 to 2025-01-24)Jan 24, 2025 · RAUM change · derived
- A••• R•••••• H••• left R••••• A••••••• for B•••••••• W•••••• L•• (registered 2022-10-03)Oct 4, 2022 · Advisor changed firm · fact
- R••••• A••••••• filed its initial SEC registration (Form ADV)Apr 4, 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
- Principal office phone
- 512-222-6968reportedpublic record, Form ADV, Mar 25, 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
- $91.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
R••••• A••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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