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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Latest filing Mar 10, 2026
First filing on the tape May 14, 2025 · 3 filings
SEC status approved since May 12, 2025
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$123M as of Mar 10, 2026
May 14, 2025$114M then
HNW client RAUM$104M as of Mar 10, 2026
May 14, 2025$92.7M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
May 14, 20251 then
Employees (5.A)1 as of Mar 10, 2026
May 14, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $484,493derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M84%
- Individuals$19.4M16%
- Corporations and businesses$14,5400.0%
- Individual clients
- 44reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 254reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- S•••• A•••• U••••• to P••••• A•••••••Apr 14, 2026 · RIA to RIA
Joined, latest
- S•••• A•••• U••••• from C•••••• S••••• • C••• I•••Mar 19, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Montgomery, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Insurance-licensed employees · 0 to 1Feb 23, 2026 to Mar 10, 2026
- Accounts · 274 to 254May 14, 2025 to Feb 23, 2026
- Corporate clients · 0 to 1May 14, 2025 to Feb 23, 2026
- HNW clients · 53 to 43May 14, 2025 to Feb 23, 2026
- Individual clients · 65 to 44May 14, 2025 to Feb 23, 2026
- Financial planning clients · 101-250 to 51-100May 14, 2025 to Feb 23, 2026
- Discretionary RAUM · $114M to $123MMay 14, 2025 to Feb 23, 2026
- HNW RAUM · $92.7M to $104MMay 14, 2025 to Feb 23, 2026
- Individual RAUM · $20.9M to $19.4MMay 14, 2025 to Feb 23, 2026
- RAUM · $114M to $123MMay 14, 2025 to Feb 23, 2026
Signals
2 dated events
- F•••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $123.1M)May 1, 2026 · Left the SEC roster · derived
- S•••• A•••• U••••• left F•••• L•• for P••••• A••••••• (registered 2026-02-27)Apr 14, 2026 · Advisor changed firm · 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