DFX Intelligence
RIA Intelligence
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SEC-registered adviser
X••••• L•••• L••
Latest filing Jan 14, 2026
First filing on the tape Dec 18, 2020 · 24 filings
SEC status approved since Jan 15, 2021
RAUM
$3.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$1.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$3.3M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$3.3M as of Jan 14, 2026
Jan 5, 2022$2.0M then
HNW client RAUM$276,914 as of Jan 14, 2026
Jan 5, 2022$453,870 then
State-registered IARs (5.B.3)1 as of Jan 14, 2026
Jan 5, 20222 then
Employees (5.A)4 as of Jan 14, 2026
Jan 5, 20222 then
Private funds: no history
RAUM +196% over the last fiscal year+35% a year over threeIARs 1 to 1offices 2 to 1
Practice profile
derived from the filing of Jan 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $3.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $69,229derivedHNW RAUM over HNW clients
- Average account
- $30,534derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +196%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -32%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $3.3MreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$2.1M63%
- Individuals$965,27929%
- High-net-worth individuals$276,9148.3%
- Individual clients
- 104reported
- HNW clients
- 4reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 109reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.37 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• C••••••••• O•••••• | Austin, Tx | May 23, 2019 | 10 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
- L•••• O•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 8, 2022 · RIA to wirehouse
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• C••••••••• C••••••••• · Managing Partner, Chief Compliance Officercontrolsince 01/2019 · owns 50% to 75%
- H•••••••• O••••••• A•••••• · Partnersince 01/2019 · owns 10% to 25%
- T•••••••• O••••••• S••••• · Partnersince 01/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- X••••• T••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Bixby, OK1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jan 14, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-01-16, no on the filing of 2026-01-14peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 158 to 109Jan 16, 2025 to Jan 14, 2026
- Corporate clients · 0 to 1Jan 16, 2025 to Jan 14, 2026
- Individual clients · 154 to 104Jan 16, 2025 to Jan 14, 2026
- Other offices · 2 to 1Jan 16, 2025 to Jan 14, 2026
- Discretionary RAUM · $1.1M to $3.3MJan 16, 2025 to Jan 14, 2026
- HNW RAUM · $222,606 to $276,914Jan 16, 2025 to Jan 14, 2026
- Individual RAUM · $903,388 to $965,279Jan 16, 2025 to Jan 14, 2026
- RAUM · $1.1M to $3.3MJan 16, 2025 to Jan 14, 2026
- Related broker-dealer · true to falseJan 16, 2025 to Jan 14, 2026
- Accounts · 167 to 158Oct 28, 2024 to Jan 16, 2025
- HNW clients · 8 to 4Oct 28, 2024 to Jan 16, 2025
- Individual clients · 159 to 154Oct 28, 2024 to Jan 16, 2025
- Financial planning clients · unset to Oct 28, 2024 to Jan 16, 2025
- HQ city · unset to Oct 28, 2024 to Jan 16, 2025
- HQ state · unset to Oct 28, 2024 to Jan 16, 2025
- Discretionary RAUM · $1.4M to $1.1MOct 28, 2024 to Jan 16, 2025
- HNW RAUM · $342,394 to $222,606Oct 28, 2024 to Jan 16, 2025
- Individual RAUM · $1.1M to $903,388Oct 28, 2024 to Jan 16, 2025
- RAUM · $1.4M to $1.1MOct 28, 2024 to Jan 16, 2025
- Other offices · 1 to 2Feb 12, 2024 to Oct 28, 2024
- Accounts · 901 to 167Apr 7, 2023 to Feb 7, 2024
- Individual clients · 893 to 159Apr 7, 2023 to Feb 7, 2024
- Discretionary RAUM · $1.3M to $1.4MApr 7, 2023 to Feb 7, 2024
- HNW RAUM · $286,906 to $342,394Apr 7, 2023 to Feb 7, 2024
- Individual RAUM · $1.1M to $1.1MApr 7, 2023 to Feb 7, 2024
- RAUM · $1.3M to $1.4MApr 7, 2023 to Feb 7, 2024
- Accounts · 213 to 901Dec 20, 2022 to Jan 3, 2023
- Advisory activities · 3 to 2Dec 20, 2022 to Jan 3, 2023
- HNW clients · 9 to 8Dec 20, 2022 to Jan 3, 2023
- Individual clients · 204 to 893Dec 20, 2022 to Jan 3, 2023
- Employees · 6 to 4Dec 20, 2022 to Jan 3, 2023
- Discretionary RAUM · $2.0M to $1.3MDec 20, 2022 to Jan 3, 2023
- HNW RAUM · $453,870 to $286,906Dec 20, 2022 to Jan 3, 2023
- Individual RAUM · $1.6M to $1.1MDec 20, 2022 to Jan 3, 2023
- RAUM · $2.0M to $1.3MDec 20, 2022 to Jan 3, 2023
- Related broker-dealer · false to trueDec 20, 2022 to Jan 3, 2023
- Wrap assets (manager) · unset to 0.0Dec 20, 2022 to Jan 3, 2023
- Wrap assets (sponsor) · unset to 0.0Dec 20, 2022 to Jan 3, 2023
- Advisory employees · 5 to 1May 27, 2022 to Sep 6, 2022
- Employees · 5 to 6May 27, 2022 to Sep 6, 2022
Signals
2 dated events
- L•••• O•••• left X••••• L•••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-12-22)Jul 8, 2022 · Advisor changed firm · fact
- X••••• L•••• L•• filed its initial SEC registration (Form ADV)Dec 18, 2020 · 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
- Website
- x•••••.appreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (512) 843-2673reportedpublic record, Form ADV, Jan 14, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026