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
P••••••• W•••••
Legal name A•••••• F•••••••• C••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Mar 4, 2020 · 20 filings
SEC status approved since Apr 3, 2020
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$144M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$144M as of Mar 10, 2026
Feb 25, 2021$124M then
HNW client RAUM$111M as of Mar 10, 2026
Feb 25, 2021$60.6M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Feb 25, 20211 then
Employees (5.A)4 as of Mar 10, 2026
Feb 25, 20211 then
Private funds: no history
RAUM -13% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $900,921derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$111M77%
- Individuals$33.4M23%
- Individual clients
- 95reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 160reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J••••• P••••••• | Montgomery, Tx | May 1, 2020 | 30 y | 2 |
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
- W•••••• J••••• P••••••• from K•• F•••••••• S•••••••• I••May 1, 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
- H•••••• S••••••• M•••• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- P•••••••• W••••••• J••••• · Managing Membercontrolsince 07/2018 · 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.
What changed
consecutive filings, newest first
- Accounts · 166 to 160Mar 5, 2025 to Mar 10, 2026
- HNW clients · 77 to 65Mar 5, 2025 to Mar 10, 2026
- Individual clients · 89 to 95Mar 5, 2025 to Mar 10, 2026
- Discretionary RAUM · $165M to $144MMar 5, 2025 to Mar 10, 2026
- HNW RAUM · $133M to $111MMar 5, 2025 to Mar 10, 2026
- Individual RAUM · $32.3M to $33.4MMar 5, 2025 to Mar 10, 2026
- RAUM · $165M to $144MMar 5, 2025 to Mar 10, 2026
- Accounts · 172 to 166Dec 3, 2024 to Mar 5, 2025
- HNW clients · 54 to 77Dec 3, 2024 to Mar 5, 2025
- Individual clients · 118 to 89Dec 3, 2024 to Mar 5, 2025
- Employees · 3 to 4Dec 3, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Dec 3, 2024 to Mar 5, 2025
- Discretionary RAUM · $129M to $165MDec 3, 2024 to Mar 5, 2025
- HNW RAUM · $78.7M to $133MDec 3, 2024 to Mar 5, 2025
- Individual RAUM · $50.5M to $32.3MDec 3, 2024 to Mar 5, 2025
- RAUM · $129M to $165MDec 3, 2024 to Mar 5, 2025
- HQ city · CONROE to MONTGOMERYMar 19, 2024 to Dec 3, 2024
- Accounts · 167 to 172Mar 3, 2023 to Mar 19, 2024
- Advisory activities · 2 to 1Mar 3, 2023 to Mar 19, 2024
- HNW clients · 25 to 54Mar 3, 2023 to Mar 19, 2024
- Individual clients · 142 to 118Mar 3, 2023 to Mar 19, 2024
- Financial planning clients · 101-250 to 0Mar 3, 2023 to Mar 19, 2024
- State-registered IARs · 1 to 2Mar 3, 2023 to Mar 19, 2024
- Discretionary RAUM · $97.0M to $129MMar 3, 2023 to Mar 19, 2024
- HNW RAUM · $35.0M to $78.7MMar 3, 2023 to Mar 19, 2024
- Individual RAUM · $62.0M to $50.5MMar 3, 2023 to Mar 19, 2024
- RAUM · $97.0M to $129MMar 3, 2023 to Mar 19, 2024
- Accounts · 154 to 167May 12, 2022 to Mar 3, 2023
- Advisory employees · 1 to 2May 12, 2022 to Mar 3, 2023
- Advisory activities · 1 to 2May 12, 2022 to Mar 3, 2023
- HNW clients · 52 to 25May 12, 2022 to Mar 3, 2023
- Individual clients · 102 to 142May 12, 2022 to Mar 3, 2023
- Employees · 1 to 3May 12, 2022 to Mar 3, 2023
- Discretionary RAUM · $135M to $97.0MMay 12, 2022 to Mar 3, 2023
- HNW RAUM · $76.9M to $35.0MMay 12, 2022 to Mar 3, 2023
- Individual RAUM · $57.8M to $62.0MMay 12, 2022 to Mar 3, 2023
- RAUM · $135M to $97.0MMay 12, 2022 to Mar 3, 2023
- Accounts · 173 to 154Oct 5, 2021 to Mar 11, 2022
- HNW clients · 54 to 52Oct 5, 2021 to Mar 11, 2022
- Individual clients · 88 to 102Oct 5, 2021 to Mar 11, 2022
Signals
2 dated events
- Mario Suzanne Hammer (Chief Compliance Officer) appeared on Schedule A of P••••••• W•••••Jul 23, 2021 · Control person joined · fact
- A•••••• P•••• A••••••• filed its initial SEC registration (Form ADV)Mar 4, 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
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (936) 444-2583reportedpublic record, Form ADV, Mar 10, 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
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026