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
L•••••••• H••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jul 2, 2025 · 3 filings
SEC status approved since Jul 24, 2025
RAUM
$278M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$265M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$46.4M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$278M as of Mar 27, 2026
Jul 2, 2025$171M then
HNW client RAUM$263M as of Mar 27, 2026
Jul 2, 2025$169M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Jul 2, 20255 then
Employees (5.A)8 as of Mar 27, 2026
Jul 2, 20257 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
- $46.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $69.8M, 32 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)
- 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)
- 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$263M95%
- Charitable organizations$13.8M5.0%
- Individuals$1.3M0.5%
- Individual clients
- 3reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 259reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.8M for 32 clientsreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• C•••• E•••• | Dallas, Tx | Jun 12, 2019 | 15 y | 1 |
| W•••••• H•••• L••••• | Dallas, Tx | Jun 13, 2019 | 19 y | 1 |
| A••••• G•••• B•••••• | Dallas, Tx | Jan 17, 2023 | 10 y | 1 |
| S••••• F•• W•••••• | Dallas, Tx | Dec 9, 2024 | 13 y | 0 |
| D••••• S•••••• H••••• | Dallas, Tx | Feb 4, 2026 | 10 y | 0 |
| S•••• A•••••• H••••• | Dallas, Tx | Feb 7, 2026 | 26 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
none on the tape
Joined, latest
- A••••• G•••• B•••••• from T•• W•••• G••••• L••Jan 17, 2023 · RIA to RIA
- W•••••• H•••• L••••• from C•••••• P•••• W••••• M••••••••• L••Jun 13, 2019 · RIA to RIA
- C•••••• C•••• E•••• from C•••••• P•••• W••••• M••••••••• L••Jun 12, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••• P•••• W••••• M••••••••• L••Jul 5, 2019 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• C••••••• C•••• · Chief Compliance Officercontrolsince 02/2019 · owns 50% to 75%
- L•••••• W••••••• H•••• · Managercontrolsince 02/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 220 to 259Jan 28, 2026 to Mar 27, 2026
- Advisory employees · 5 to 6Jan 28, 2026 to Mar 27, 2026
- Charity clients · unset to 1.0Jan 28, 2026 to Mar 27, 2026
- HNW clients · 49 to 53Jan 28, 2026 to Mar 27, 2026
- Assets in custody · $53.3M to $69.8MJan 28, 2026 to Mar 27, 2026
- Employees · 7 to 8Jan 28, 2026 to Mar 27, 2026
- State-registered IARs · 5 to 4Jan 28, 2026 to Mar 27, 2026
- Discretionary RAUM · $163M to $263MJan 28, 2026 to Mar 27, 2026
- HNW RAUM · $169M to $263MJan 28, 2026 to Mar 27, 2026
- Individual RAUM · $1.2M to $1.3MJan 28, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $7.7M to $15.0MJan 28, 2026 to Mar 27, 2026
- RAUM · $171M to $278MJan 28, 2026 to Mar 27, 2026
Signals
1 dated events
- L•••••••• H••• P•••••••• L•• reported RAUM $278.4M, up 63% from $170.7M (2026-01-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- L•••••••• H••• P•••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-225-1891reportedpublic record, Form ADV, Mar 27, 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
- $46.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026