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
R••• F•••••••• P••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Jul 21, 2020 · 26 filings
SEC status approved since Aug 20, 2020
RAUM
$460M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$459M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$460M as of Feb 19, 2026
Mar 16, 2021$316M then
HNW client RAUM$415M as of Feb 19, 2026
Mar 16, 2021$274M then
State-registered IARs (5.B.3)3 as of Feb 19, 2026
Mar 16, 20213 then
Employees (5.A)4 as of Feb 19, 2026
Mar 16, 20215 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $649,887derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- 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
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $20.9M, 4 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)
- 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$415M90%
- Individuals$44.4M9.6%
- State and municipal entities$628,9880.1%
- Individual clients
- 111reported
- HNW clients
- 156reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 708reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $16.9M managedreported
- Custody of client assets
- $20.9M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A••••• R•••Certified Financial Planner | Kingwood, Tx | Oct 2, 2020 | 14 y | 1 |
| E••• A•••• J••••••Certified Financial Planner | Kingwood, Tx | Oct 2, 2020 | 13 y | 1 |
| P•••• B•••• R•••Certified Financial Planner | Kingwood, Tx | Oct 2, 2020 | 42 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
- J•••• A••••• R••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- E••• A•••• J•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••• B•••• R••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 2, 2020 · Kingwood, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• E•••• A•••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- R•••• P••••• B•••• · Founder, President And Managing Membercontrolsince 03/2010 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Kingwood, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Feb 19, 2026RAUM per registered advisor of $153,373,419 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 725 to 708Jun 9, 2025 to Feb 19, 2026
- HNW clients · 145 to 156Jun 9, 2025 to Feb 19, 2026
- Individual clients · 124 to 111Jun 9, 2025 to Feb 19, 2026
- Assets in custody · $7.9M to $20.9MJun 9, 2025 to Feb 19, 2026
- Other offices · 0 to 1Jun 9, 2025 to Feb 19, 2026
- Discretionary RAUM · $401M to $460MJun 9, 2025 to Feb 19, 2026
- HNW RAUM · $353M to $415MJun 9, 2025 to Feb 19, 2026
- Individual RAUM · $47.0M to $44.4MJun 9, 2025 to Feb 19, 2026
- RAUM · $401M to $460MJun 9, 2025 to Feb 19, 2026
- Wrap assets (manager) · $16.5M to $16.9MJun 9, 2025 to Feb 19, 2026
- Financial planning clients · 251-500 to 251-500Feb 10, 2025 to Jun 9, 2025
- Accounts · 721 to 725Mar 1, 2024 to Feb 2, 2025
- HNW clients · 139 to 145Mar 1, 2024 to Feb 2, 2025
- Individual clients · 128 to 124Mar 1, 2024 to Feb 2, 2025
- Assets in custody · $7.0M to $7.9MMar 1, 2024 to Feb 2, 2025
- Discretionary RAUM · $363M to $401MMar 1, 2024 to Feb 2, 2025
- HNW RAUM · $313M to $353MMar 1, 2024 to Feb 2, 2025
- Individual RAUM · $49.2M to $47.0MMar 1, 2024 to Feb 2, 2025
- RAUM · $363M to $401MMar 1, 2024 to Feb 2, 2025
- Wrap assets (manager) · $16.8M to $16.5MMar 1, 2024 to Feb 2, 2025
- Accounts · 694 to 721Oct 3, 2023 to Feb 29, 2024
- HNW clients · 145 to 139Oct 3, 2023 to Feb 29, 2024
- Individual clients · 108 to 128Oct 3, 2023 to Feb 29, 2024
- Assets in custody · $6.1M to $7.0MOct 3, 2023 to Feb 29, 2024
- Discretionary RAUM · $323M to $363MOct 3, 2023 to Feb 29, 2024
- HNW RAUM · $288M to $313MOct 3, 2023 to Feb 29, 2024
- Individual RAUM · $34.7M to $49.2MOct 3, 2023 to Feb 29, 2024
- RAUM · $323M to $363MOct 3, 2023 to Feb 29, 2024
- Wrap assets (manager) · $20.1M to $16.8MOct 3, 2023 to Feb 29, 2024
- Accounts · 668 to 694Oct 12, 2022 to Feb 14, 2023
- HNW clients · 151 to 145Oct 12, 2022 to Feb 14, 2023
- Individual clients · 105 to 108Oct 12, 2022 to Feb 14, 2023
- Assets in custody · $7.3M to $6.1MOct 12, 2022 to Feb 14, 2023
- Discretionary RAUM · $359M to $323MOct 12, 2022 to Feb 14, 2023
- HNW RAUM · $325M to $288MOct 12, 2022 to Feb 14, 2023
- Individual RAUM · $34.3M to $34.7MOct 12, 2022 to Feb 14, 2023
- RAUM · $359M to $323MOct 12, 2022 to Feb 14, 2023
- Wrap assets (manager) · $29.1M to $20.1MOct 12, 2022 to Feb 14, 2023
- Accounts · 625 to 668Nov 5, 2021 to Feb 23, 2022
- HNW clients · 118 to 151Nov 5, 2021 to Feb 23, 2022
Signals
1 dated events
- R••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 21, 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
- Business email
- stephanie.powers@rothfinancialpartners.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 281-973-8716reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 281-973-8816reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-973-8816reportedpublic record, Form ADV, Feb 19, 2026
- Team page
- rothfinancialpartners.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026