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.
Former SEC-registered adviser
Miller Private Wealth LLC
Latest filing Dec 5, 2022
First filing on the tape Jul 23, 2019 · 20 filings
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$182M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$183M as of Jan 27, 2022
Jan 28, 2020$138M then
HNW client RAUM$146M as of Jan 27, 2022
Jan 28, 2020$108M then
State-registered IARs (5.B.3)2 as of Jan 27, 2022
Jan 28, 20203 then
Employees (5.A)2 as of Jan 27, 2022
Jan 28, 20203 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 4 to 7offices 0 to 1
Practice profile
derived from the filing of Dec 5, 2022; every figure names its basis
- RAUM per advisor
- $26.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $370,182derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $183MreportedItem 5.I
- Custody
- $7.0M, 8 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$146M80%
- Individuals$36.0M20%
- Corporations and businesses$831,0000.5%
- Charitable organizations$311,0000.2%
- Individual clients
- 179reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 494reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $7.0M for 8 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- William Gregory Chrisman to Four Quadrant Wealth Advisors, Inc.Feb 6, 2023 · RIA to RIA
- Jason F Sauer to Adaptation Financial Advisors Inc.Jan 27, 2022 · RIA to RIA
- Darrell Habben to MarinerJul 1, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- William Gregory Chrisman from Personal Wealth Partners LLCDec 5, 2022 · RIA to RIA
- Jason F Sauer from Drawbridge CapitalAug 30, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Tracy Miller · Chief Compliance Officer/Managing Membercontrolsince 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
- Red River Advisors LLCreal estaten
Offices
Schedule D 1.F, the 25 largest
- Oklahoma City, OK1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 7Nov 17, 2022 to Dec 5, 2022
- Employees · 5 to 7Nov 17, 2022 to Dec 5, 2022
- Insurance-licensed employees · 2 to 4Nov 17, 2022 to Dec 5, 2022
- State-registered IARs · 5 to 7Nov 17, 2022 to Dec 5, 2022
- Advisory employees · 3 to 5Nov 10, 2022 to Nov 17, 2022
- Employees · 3 to 5Nov 10, 2022 to Nov 17, 2022
- Insurance-licensed employees · 0 to 2Nov 10, 2022 to Nov 17, 2022
- State-registered IARs · 3 to 5Nov 10, 2022 to Nov 17, 2022
- Advisory employees · 4 to 3May 31, 2022 to Nov 10, 2022
- Employees · 4 to 3May 31, 2022 to Nov 10, 2022
- State-registered IARs · 4 to 3May 31, 2022 to Nov 10, 2022
- Advisory employees · 3 to 4Mar 29, 2022 to May 31, 2022
- Employees · 3 to 4Mar 29, 2022 to May 31, 2022
- State-registered IARs · 3 to 4Mar 29, 2022 to May 31, 2022
- Other offices · 0 to 1Mar 29, 2022 to May 31, 2022
- Advisory employees · 2 to 3Jan 27, 2022 to Mar 29, 2022
- Employees · 2 to 3Jan 27, 2022 to Mar 29, 2022
- State-registered IARs · 2 to 3Jan 27, 2022 to Mar 29, 2022
- Accounts · 462 to 494Jul 1, 2021 to Jan 27, 2022
- Advisory employees · 3 to 2Jul 1, 2021 to Jan 27, 2022
- Charity clients · 4 to 1Jul 1, 2021 to Jan 27, 2022
- Corporate clients · unset to 1.0Jul 1, 2021 to Jan 27, 2022
- HNW clients · 58 to 40Jul 1, 2021 to Jan 27, 2022
- Individual clients · 220 to 179Jul 1, 2021 to Jan 27, 2022
- Assets in custody · $1.5M to $7.0MJul 1, 2021 to Jan 27, 2022
- Employees · 3 to 2Jul 1, 2021 to Jan 27, 2022
- State-registered IARs · 3 to 2Jul 1, 2021 to Jan 27, 2022
- Discretionary RAUM · $159M to $183MJul 1, 2021 to Jan 27, 2022
- HNW RAUM · $105M to $146MJul 1, 2021 to Jan 27, 2022
- Individual RAUM · $52.9M to $36.0MJul 1, 2021 to Jan 27, 2022
- RAUM · $159M to $183MJul 1, 2021 to Jan 27, 2022
- Advisory employees · 4 to 3Feb 8, 2021 to Jul 1, 2021
- Employees · 4 to 3Feb 8, 2021 to Jul 1, 2021
- State-registered IARs · 4 to 3Feb 8, 2021 to Jul 1, 2021
- Accounts · 427 to 462Jun 18, 2020 to Feb 8, 2021
- HNW clients · 38 to 58Jun 18, 2020 to Feb 8, 2021
- Individual clients · 147 to 220Jun 18, 2020 to Feb 8, 2021
- Assets in custody · $100M to $1.5MJun 18, 2020 to Feb 8, 2021
- Discretionary RAUM · $138M to $159MJun 18, 2020 to Feb 8, 2021
- HNW RAUM · $108M to $105MJun 18, 2020 to Feb 8, 2021
Signals
5 dated events
- William Gregory Chrisman left Miller Private Wealth Llc for Four Quadrant Wealth Advisors, Inc. (registered 2023-10-04)Feb 6, 2023 · Advisor changed firm · fact
- Gabriel Wyatt no longer registered at Miller Private Wealth Llc; no later IA registration on IAPDFeb 6, 2023 · Advisor departure · fact
- David John Scott no longer registered at Miller Private Wealth Llc; no later IA registration on IAPDFeb 6, 2023 · Advisor departure · fact
- Jason F Sauer left Miller Private Wealth Llc for Adaptation Financial Advisors Inc. (registered 2021-12-08)Jan 27, 2022 · Advisor changed firm · fact
- Tm Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Jul 23, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026