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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Former SEC-registered adviser
V••••••••• F••••••••• L••
Latest filing Oct 25, 2024
First filing on the tape Aug 11, 2020 · 12 filings
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$195M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$200M as of Feb 15, 2024
Feb 1, 2021$189M then
HNW client RAUM$163M as of Feb 15, 2024
Feb 1, 2021$128M then
State-registered IARs (5.B.3)0 as of Feb 15, 2024
Feb 1, 20214 then
Employees (5.A)6 as of Feb 15, 2024
Feb 1, 20216 then
Private funds: no history
RAUM +8.2% over the last fiscal year+1.8% a year over threeIARs 4 to 0
Practice profile
derived from the filing of Oct 25, 2024; every figure names its basis
- 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
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $160,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%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
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $179,292, 9 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$163M82%
- Individuals$31.2M16%
- Corporations and businesses$4.6M2.3%
- Pension and profit-sharing plans$431,3070.2%
- Individual clients
- 418reported
- HNW clients
- 97reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 1,244reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $179,292 for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- J•••• R••••• O••••• to M•••••• W••••• M•••••••••Nov 22, 2024 · RIA to RIA
- K•••••• A•••••••• M••••••• to M•••••• W••••• M•••••••••Nov 22, 2024 · RIA to RIA
- J•••• D••••• J••••••••• to M•••••• W••••• M•••••••••Nov 22, 2024 · RIA to RIA
- C••••••••• R••• M••••• to M•••••• W••••• M•••••••••Nov 22, 2024 · RIA to RIA
Joined, latest
- J•••• D••••• J••••••••• from M•• I•••••••• S•••••••• L••Oct 9, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• R••••• O••••• from M•• I•••••••• S•••••••• L••Oct 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• A•••••••• M••••••• from M•• I•••••••• S•••••••• L••Oct 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• R••• M••••• from M•• I•••••••• S•••••••• L••Oct 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M•••••• W••••• M•••••••••Nov 22, 2024 · Shavano Park, Tx · Firm absorbed
- 4 joined from M•• I•••••••• S•••••••• L••Oct 6, 2020 · San Antonio, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••••• J••••• D••••• · Managing Membercontrolsince 08/2020 · owns 25% to 50%
- M•••••• C••••••••• R••• · Managing Membercontrolsince 08/2020 · owns 25% to 50%
- O•••••• J••••• R••••• · Cco, Managing Membercontrolsince 08/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Shavano Park, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,137 to 1,244Jan 13, 2023 to Feb 15, 2024
- HNW clients · 87 to 97Jan 13, 2023 to Feb 15, 2024
- Individual clients · 371 to 418Jan 13, 2023 to Feb 15, 2024
- State-registered IARs · 4 to 0Jan 13, 2023 to Feb 15, 2024
- Discretionary RAUM · $185M to $200MJan 13, 2023 to Feb 15, 2024
- HNW RAUM · $137M to $163MJan 13, 2023 to Feb 15, 2024
- Individual RAUM · $43.0M to $31.2MJan 13, 2023 to Feb 15, 2024
- Pension RAUM · $510,720 to $431,307Jan 13, 2023 to Feb 15, 2024
- RAUM · $185M to $200MJan 13, 2023 to Feb 15, 2024
- Accounts · 1,014 to 1,137Mar 15, 2022 to Jan 13, 2023
- Advisory employees · 5 to 4Mar 15, 2022 to Jan 13, 2023
- HNW clients · 83 to 87Mar 15, 2022 to Jan 13, 2023
- Individual clients · 461 to 371Mar 15, 2022 to Jan 13, 2023
- Pension plan clients · 8 to 2Mar 15, 2022 to Jan 13, 2023
- Assets in custody · $513,493 to $179,292Mar 15, 2022 to Jan 13, 2023
- Employees · 7 to 6Mar 15, 2022 to Jan 13, 2023
- Financial planning clients · 51-100 to 251-500Mar 15, 2022 to Jan 13, 2023
- State-registered IARs · 5 to 4Mar 15, 2022 to Jan 13, 2023
- Discretionary RAUM · $153M to $185MMar 15, 2022 to Jan 13, 2023
- HNW RAUM · $110M to $137MMar 15, 2022 to Jan 13, 2023
- Individual RAUM · $32.3M to $43.0MMar 15, 2022 to Jan 13, 2023
- Pension RAUM · $4.1M to $510,720Mar 15, 2022 to Jan 13, 2023
- RAUM · $153M to $185MMar 15, 2022 to Jan 13, 2023
- Accounts · 745 to 1,014Oct 12, 2021 to Mar 15, 2022
- Advisory employees · 4 to 5Oct 12, 2021 to Mar 15, 2022
- Corporate clients · 6 to 5Oct 12, 2021 to Mar 15, 2022
- HNW clients · 33 to 83Oct 12, 2021 to Mar 15, 2022
- Individual clients · 260 to 461Oct 12, 2021 to Mar 15, 2022
- Pension plan clients · unset to 8.0Oct 12, 2021 to Mar 15, 2022
- Assets in custody · $592,001 to $513,493Oct 12, 2021 to Mar 15, 2022
- Employees · 6 to 7Oct 12, 2021 to Mar 15, 2022
- State-registered IARs · 4 to 5Oct 12, 2021 to Mar 15, 2022
- Discretionary RAUM · $189M to $153MOct 12, 2021 to Mar 15, 2022
- HNW RAUM · $128M to $110MOct 12, 2021 to Mar 15, 2022
- Individual RAUM · $54.3M to $32.3MOct 12, 2021 to Mar 15, 2022
- Pension RAUM · unset to 4107942.0Oct 12, 2021 to Mar 15, 2022
- RAUM · $189M to $153MOct 12, 2021 to Mar 15, 2022
- HQ city · SAN ANTONIO to SHAVANO PARKFeb 1, 2021 to Oct 8, 2021
- Accounts · 697 to 745Dec 17, 2020 to Feb 1, 2021
- HNW clients · 46 to 33Dec 17, 2020 to Feb 1, 2021
Signals
6 dated events
- K•••••• A•••••••• M••••••• left V••••••••• F••••••••• L•• for M•••••• W••••• M••••••••• (registered 2024-09-20)Nov 22, 2024 · Advisor changed firm · fact
- J•••• R••••• O••••• left V••••••••• F••••••••• L•• for M•••••• W••••• M••••••••• (registered 2024-09-20)Nov 22, 2024 · Advisor changed firm · fact
- C••••••••• R••• M••••• left V••••••••• F••••••••• L•• for M•••••• W••••• M••••••••• (registered 2024-09-20)Nov 22, 2024 · Advisor changed firm · fact
- J•••• D••••• J••••••••• left V••••••••• F••••••••• L•• for M•••••• W••••• M••••••••• (registered 2024-09-30)Nov 22, 2024 · Advisor changed firm · fact
- V••••••••• F••••••••• L••'s advisors moved to M•••••• W••••• M••••••••• (Shavano Park, TX): 4 of 4 registered, on the same dayNov 22, 2024 · Firm absorbed (people side) · derived
- V••••••••• F•••••••• L•• filed its initial SEC registration (Form ADV)Aug 11, 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.
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