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
A••••• M•••• M••••••••• C•••••••••
Latest filing May 26, 2026
First filing on the tape Jan 10, 2020 · 24 filings
SEC status approved since Feb 7, 2020
RAUM
$296M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
54%
$159M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
2
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$296M as of May 26, 2026
Jan 12, 2021$138M then
HNW client RAUM$158M as of May 26, 2026
Jan 12, 2021$57.2M then
State-registered IARs (5.B.3)1 as of May 26, 2026
Jan 12, 20211 then
Employees (5.A)2 as of May 26, 2026
Jan 12, 20211 then
Private funds: no history
RAUM +20% over the last fiscal year+23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$158M53%
- Pension and profit-sharing plans$137M46%
- Individuals$1.4M0.5%
- Individual clients
- 4reported
- HNW clients
- 68reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 276reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.54 fund_share=0.0 institutional_share=0.46 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D•••••• A•••••Certified Financial Planner | A•••••, Tx | Feb 13, 2020 | 28 y | 3 |
| V•••• L••• A••••• | Austin, Tx | Jun 25, 2026 | 30 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
- S••••• D•••••• A••••• from M•• I•••••••• S•••••••• L••Feb 13, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• S••••• D•••••• · President And Ccocontrolsince 05/2018 · 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 |
|---|---|---|---|---|---|
| A•••••, Tx · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing May 26, 2026institutional share of RAUM of 46% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 15.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
- Employees · 1 to 2Feb 18, 2026 to May 26, 2026
- Accounts · 85 to 276Apr 29, 2025 to Feb 18, 2026
- HNW clients · 63 to 68Apr 29, 2025 to Feb 18, 2026
- Individual clients · 11 to 4Apr 29, 2025 to Feb 18, 2026
- Discretionary RAUM · $160M to $200MApr 29, 2025 to Feb 18, 2026
- HNW RAUM · $133M to $158MApr 29, 2025 to Feb 18, 2026
- Individual RAUM · $2.2M to $1.4MApr 29, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $87.3M to $96.5MApr 29, 2025 to Feb 18, 2026
- Pension RAUM · $112M to $137MApr 29, 2025 to Feb 18, 2026
- RAUM · $247M to $296MApr 29, 2025 to Feb 18, 2026
- Accounts · 251 to 85Apr 30, 2024 to Apr 29, 2025
- HNW clients · 58 to 63Apr 30, 2024 to Apr 29, 2025
- Pension plan clients · 12 to 11Apr 30, 2024 to Apr 29, 2025
- Financial planning clients · 0 to 0Apr 30, 2024 to Apr 29, 2025
- Discretionary RAUM · $139M to $160MApr 30, 2024 to Apr 29, 2025
- HNW RAUM · $115M to $133MApr 30, 2024 to Apr 29, 2025
- Individual RAUM · $1.9M to $2.2MApr 30, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $74.8M to $87.3MApr 30, 2024 to Apr 29, 2025
- Pension RAUM · $96.5M to $112MApr 30, 2024 to Apr 29, 2025
- RAUM · $214M to $247MApr 30, 2024 to Apr 29, 2025
- Accounts · 220 to 251Oct 28, 2023 to Mar 5, 2024
- Pension plan clients · 11 to 12Oct 28, 2023 to Mar 5, 2024
- Discretionary RAUM · $100.0M to $139MOct 28, 2023 to Mar 5, 2024
- HNW RAUM · $79.1M to $115MOct 28, 2023 to Mar 5, 2024
- Individual RAUM · $2.5M to $1.9MOct 28, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $58.3M to $74.8MOct 28, 2023 to Mar 5, 2024
- Pension RAUM · $76.7M to $96.5MOct 28, 2023 to Mar 5, 2024
- RAUM · $158M to $214MOct 28, 2023 to Mar 5, 2024
- Accounts · 189 to 220Dec 13, 2022 to Mar 17, 2023
- Charity clients · unset to 0.0Dec 13, 2022 to Mar 17, 2023
- Corporate clients · unset to 0.0Dec 13, 2022 to Mar 17, 2023
- HNW clients · 51 to 58Dec 13, 2022 to Mar 17, 2023
- Individual clients · 7 to 11Dec 13, 2022 to Mar 17, 2023
- Pooled vehicle clients · unset to 0.0Dec 13, 2022 to Mar 17, 2023
- Discretionary RAUM · $98.1M to $100.0MDec 13, 2022 to Mar 17, 2023
- HNW RAUM · $73.7M to $79.1MDec 13, 2022 to Mar 17, 2023
- Individual RAUM · $1.5M to $2.5MDec 13, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $67.4M to $58.3MDec 13, 2022 to Mar 17, 2023
- Pension RAUM · $90.3M to $76.7MDec 13, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · unset to 0.0Dec 13, 2022 to Mar 17, 2023
Signals
1 dated events
- A••••• M•••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)Jan 10, 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
- Business phone
- 512-607-5008reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (512) 607-5008reportedpublic record, Form ADV, May 26, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026