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
F•••••• A•••• M••••••••• L••
Latest filing Sep 14, 2026
First filing on the tape May 31, 2019 · 12 filings
SEC status approved since Dec 19, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
94%
$107M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$19.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$114M as of Jul 10, 2026
Dec 18, 2025$104M then
HNW client RAUM$66.0M as of Jul 10, 2026
Mar 26, 2026$66.0M then
State-registered IARs (5.B.3)4 as of Jul 10, 2026
Dec 18, 20254 then
Employees (5.A)4 as of Jul 10, 2026
Dec 18, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $19.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $599,225derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.0M58%
- Individuals$41.4M36%
- Corporations and businesses$6.4M5.6%
- Individual clients
- 140reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 190reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• G••••••• T•••• | Houston, Tx | Jan 11, 2026 | 12 y | 1 |
| M•••••• M••••••• C••••• T••••• | Houston, Tx | Jan 11, 2026 | 12 y | 1 |
| L•••• M•••• A•••••• | Houston, Tx | Jan 11, 2026 | 14 y | 1 |
| P•••• A••••• C••••••• | Houston, Tx | Jan 11, 2026 | 10 y | 1 |
| L••• F••••• S••••• P•••• | Houston, Tx | Apr 17, 2026 | 10 y | 0 |
| S••••••• A• F•••••••• R•••• | Houston, Tx | Jul 6, 2026 | 17 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 headcount1 left over 36 months
Left, latest
- D•••• L••• Y• P•••• D••• to B••••• W••••• G•••• A•••••••Jun 18, 2024 · Other
Joined, latest
- D•••• L••• Y• P•••• D••• from B••••••• W••••• M••••••••• L••Jan 16, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• L••••••• J••••• M••••• · Ceo, Cco And Coocontrolsince 03/2019 · owns less than 5%
- J••••••• K•••••• K•• · Chief Financial Officersince 03/2019 · owns less than 5%
Entity owners
- F•••••• U••• L•• · Sole Memberdirect · owns 75% or more
- C••• D• B•••• F•••••• S••••• D• C••• · Sole Memberindirect · owns F of F•••••• U••• L••
Related persons
Schedule D 7.A
- C••• D• B•••• F•••••• S••••• D• C•••broker-dealern
- F•••••• I••••••••• L••broker-dealern
- F•••••• I••••••••• S••• D• C••• S••••••• O•••••••• D• F••••• D• I••••••••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 6 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jul 10, 2026 to Sep 14, 2026
- Succession · false to unsetJul 10, 2026 to Sep 14, 2026
- Accounts · 170 to 190Jan 21, 2026 to Mar 26, 2026
- HNW clients · unset to 34.0Jan 21, 2026 to Mar 26, 2026
- Individual clients · 154 to 140Jan 21, 2026 to Mar 26, 2026
- Discretionary RAUM · $34.9M to $51.2MJan 21, 2026 to Mar 26, 2026
- HNW RAUM · unset to 66044539.0Jan 21, 2026 to Mar 26, 2026
- Individual RAUM · $97.6M to $41.4MJan 21, 2026 to Mar 26, 2026
- Non-discretionary RAUM · $69.1M to $62.6MJan 21, 2026 to Mar 26, 2026
- RAUM · $104M to $114MJan 21, 2026 to Mar 26, 2026
- Accounts · 0 to 170Dec 12, 2019 to Dec 18, 2025
- Advisory employees · 1 to 4Dec 12, 2019 to Dec 18, 2025
- BD registered reps · 1 to 4Dec 12, 2019 to Dec 18, 2025
- Corporate clients · unset to 16.0Dec 12, 2019 to Dec 18, 2025
- Individual clients · unset to 154.0Dec 12, 2019 to Dec 18, 2025
- Employees · 1 to 4Dec 12, 2019 to Dec 18, 2025
- Financial planning clients · 0 to 0Dec 12, 2019 to Dec 18, 2025
- State-registered IARs · 1 to 4Dec 12, 2019 to Dec 18, 2025
- Discretionary RAUM · $0 to $34.9MDec 12, 2019 to Dec 18, 2025
- Individual RAUM · unset to 97628388.0Dec 12, 2019 to Dec 18, 2025
- Non-discretionary RAUM · $0 to $69.1MDec 12, 2019 to Dec 18, 2025
- RAUM · $0 to $104MDec 12, 2019 to Dec 18, 2025
Signals
2 dated events
- D•••• L••• Y• P•••• D••• left F•••••• A•••• M••••••••• L•• for B••••• W••••• G•••• A••••••• (registered 2025-07-14)Jun 18, 2024 · Advisor changed firm · fact
- F•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 31, 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
- 713-589-7121reportedpublic record, Form ADV, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $19.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026