DFX Intelligence

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S••• A••••••• L••

Independent wealth managerSEC-registered· Houston, Texaswebsite

Independent wealth manager, based in Houston, Texas, reporting $3.5M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $3.5M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: -36%
Private clients: 100% of RAUM, $3.5M

Advisors Advisor movement Where the RAUM sits

As of 2026-04-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -36% over the last fiscal year, to $3.5M.
2026-04-09
RAUM a year earlier $5.4MRAUM now $3.5M
accounts (Item 5.F.2.f) moved from 645.0 to 200.0 (-69.0%) between the annual amendments of 2025-04-01 and 2026-04-09; the peer median change was +2.0% (133 comparable advisers, 5.0th percentile of changes)
2026-04-09
accounts (Item 5.F.2.f) 200Peer median 0.0229357798165138
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 306053 · SEC 801-118060 · 18 filingsShow

CRD 306053SEC 801-118060First filing on the tape Jan 10, 2020, latest Apr 9, 2026SEC status approved since Feb 7, 2020IAPD

RAUM

$3.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$3.5M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$3.5M as of Apr 9, 2026

Mar 26, 2021$0 then

HNW client RAUM$0 as of Apr 9, 2026

Mar 26, 2021$0 then

State-registered IARs (5.B.3)0 as of Apr 9, 2026

Mar 26, 20210 then

Employees (5.A)7 as of Apr 9, 2026

Mar 26, 202112 then

Private funds: no history

RAUM -36% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Apr 9, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $17,500derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -36%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -69%derived
Compensation: otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$3.5M100%

Individual clients: 200reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 200reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

N•••••••• A•••••• M•••••• · Chief Executive Officercontrol
since 11/2018 · owns less than 5%
W••••• A•••• C••••••••• · President / Chief Operating Officer / Interim Chief Investment Officercontrol
since 06/2019 · owns less than 5%
N•••••••• A•••••• M•••••• · Shareholdercontrol
since 11/2018 · owns 75% or more of F••••• H•••••••• I••
C•••••••• S••••••• J• · Chief Compliance Officer
since 03/2022 · owns less than 5%

Entity owners

F••••• H•••••••• I•• · Managing Member
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

account count collapseChange between filings · filing Apr 9, 2026
accounts (Item 5.F.2.f) moved from 645.0 to 200.0 (-69.0%) between the annual amendments of 2025-04-01 and 2026-04-09; the peer median change was +2.0% (133 comparable advisers, 5.0th percentile of changes)
peers: independent wealth managers, under $100M (133) · 5.3% percentile
client count collapseChange between filings · filing Apr 9, 2026
individual and HNW clients (Item 5.D) moved from 645.0 to 200.0 (-69.0%) between the annual amendments of 2025-04-01 and 2026-04-09; the peer median change was 0.0% (119 comparable advisers, 3.0th percentile of changes)
peers: independent wealth managers, under $100M (119) · 3.4% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 645 to 200
Apr 1, 2025 to Nov 4, 2025
Advisory employees · 4 to 0
Apr 1, 2025 to Nov 4, 2025
Advisory activities · 1 to 2
Apr 1, 2025 to Nov 4, 2025
Individual clients · 645 to 200
Apr 1, 2025 to Nov 4, 2025
Employees · 10 to 7
Apr 1, 2025 to Nov 4, 2025
Discretionary RAUM · $5.4M to $3.5M
Apr 1, 2025 to Nov 4, 2025
Individual RAUM · $5.4M to $3.5M
Apr 1, 2025 to Nov 4, 2025
RAUM · $5.4M to $3.5M
Apr 1, 2025 to Nov 4, 2025
Accounts · 1,562 to 645
Apr 2, 2024 to Apr 1, 2025
Individual clients · 1,562 to 645
Apr 2, 2024 to Apr 1, 2025
Employees · 20 to 10
Apr 2, 2024 to Apr 1, 2025
Financial planning clients · unset to
Apr 2, 2024 to Apr 1, 2025
Discretionary RAUM · $18.5M to $5.4M
Apr 2, 2024 to Apr 1, 2025
Individual RAUM · $18.5M to $5.4M
Apr 2, 2024 to Apr 1, 2025
RAUM · $18.5M to $5.4M
Apr 2, 2024 to Apr 1, 2025
Accounts · unset to 1562.0
Nov 15, 2023 to Apr 2, 2024
Individual clients · 0 to 1,562
Nov 15, 2023 to Apr 2, 2024
Employees · 25 to 20
Nov 15, 2023 to Apr 2, 2024
Discretionary RAUM · unset to 18539935.0
Nov 15, 2023 to Apr 2, 2024
Individual RAUM · $0 to $18.5M
Nov 15, 2023 to Apr 2, 2024
Non-discretionary RAUM · unset to 0.0
Nov 15, 2023 to Apr 2, 2024
RAUM · unset to 18539935.0
Nov 15, 2023 to Apr 2, 2024
Advisory employees · 5 to 4
Apr 5, 2023 to Nov 2, 2023
Employees · 20 to 25
Aug 9, 2022 to Apr 5, 2023
Accounts · 0.0 to unset
Jan 31, 2022 to Mar 31, 2022
Advisory employees · 4 to 5
Jan 31, 2022 to Mar 31, 2022
Employees · 17 to 20
Jan 31, 2022 to Mar 31, 2022
Discretionary RAUM · 0.0 to unset
Jan 31, 2022 to Mar 31, 2022
Non-discretionary RAUM · 0.0 to unset
Jan 31, 2022 to Mar 31, 2022
RAUM · 0.0 to unset
Jan 31, 2022 to Mar 31, 2022
Employees · 12 to 17
Apr 14, 2021 to Jan 31, 2022
Advisory employees · 5 to 4
Jan 29, 2021 to Mar 26, 2021
Employees · 8 to 12
Jun 23, 2020 to Jan 29, 2021
Other offices · 1 to 0
Jun 23, 2020 to Jan 29, 2021
Other offices · 0 to 1
Jan 10, 2020 to Jan 30, 2020

Signals

3 dated events

••• Locked
Apr 9, 2026 · ria principal change · derived
••• Locked
Mar 31, 2022 · Control person left · inference
••• Locked
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

Website: ••• Lockedreportedpublic record, Form ADV, Apr 9, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 9, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026