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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
D•••••• C••••• G••••• L••
Latest filing Mar 21, 2026
First filing on the tape Mar 5, 2025 · 3 filings
SEC status approved since Apr 4, 2025
RAUM
$186M
reported, Item 5.F
Discretionary
54%
of RAUM
Private clients
73%
$135M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$18.6M
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$186M as of Mar 21, 2026
Mar 5, 2025$117M then
HNW client RAUM$117M as of Mar 21, 2026
Mar 5, 2025$79.3M then
State-registered IARs (5.B.3)9 as of Mar 21, 2026
Mar 5, 20258 then
Employees (5.A)11 as of Mar 21, 2026
Mar 5, 20258 then
Private funds: no history
RAUM +58% over the last fiscal yearIARs 8 to 9offices 0 to 1
Practice profile
derived from the filing of Mar 21, 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
- RAUM per advisor
- $18.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $651,289derivedHNW RAUM over HNW clients
- Average account
- $260,237derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 54%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +58%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +117%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $36.2M, 228 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$117M63%
- Corporations and businesses$43.7M24%
- Individuals$18.2M9.8%
- Other investment advisers$6.2M3.4%
- Charitable organizations$409,8170.2%
- Individual clients
- 187reported
- HNW clients
- 180reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 714reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.2M for 228 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.03 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• W•••• C••••••• | The Woodlands, Tx | Dec 23, 2020 | 14 y | 2 |
| M•••••• A••• S•••••• | Katy, Tx | Oct 29, 2021 | 20 y | 4 |
| B•••• C••••• C••••••• | The Woodlands, Tx | Nov 10, 2021 | 16 y | 2 |
| J•••••• J•••• S••••• | The Woodlands, Tx | Mar 12, 2023 | 19 y | 2 |
| W•••••• E••••• G•••• | The Woodlands, Tx | Mar 13, 2023 | 25 y | 2 |
| D•••• R•• L••••••• | The Woodlands, Tx | Dec 14, 2023 | 18 y | 4 |
| J••••••• R••• S••••••Certified Financial Planner | The Woodlands, Tx | Aug 9, 2024 | 22 y | 6 |
| A•••• J•••• B••••••• | The Woodlands, Tx | Nov 25, 2024 | 33 y | 1 |
| C••••• G•••••• | The Woodlands, Tx | Sep 29, 2025 | 10 y | 1 |
| J•••••• C• G••••••Certified Financial Planner, Chartered Financial Consultant | The Woodlands, Tx | Jul 23, 2026 | 15 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- D•••• C•••• to I••••• F••••••••Nov 22, 2023 · RIA to RIA
- D•••• G••• M••••• to C•••••• S••••• • C••• I•••Sep 7, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••••• C• G•••••• from M•• I•••••••• S•••••••• L••Jul 23, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••• G•••••• from M•• I•••••••• S•••••••• L••Sep 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••• J•••• B••••••• from M•• I•••••••• S•••••••• L••Nov 25, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••••••• R••• S•••••• from C••••• P••••••• L••Aug 9, 2024 · RIA to RIA
- D•••• R•• L••••••• from M•• I•••••••• S•••••••• L••Dec 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- D•••• C•••• from A•••Apr 4, 2023 · Other
- W•••••• E••••• G•••• from M•• I•••••••• S•••••••• L••Mar 13, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••••• J•••• S••••• from M•• I•••••••• S•••••••• L••Mar 12, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• A••• S•••••• from M•• I•••••••• S•••••••• L••Oct 29, 2021 · Affiliated broker-dealer or bank to independent RIA
- D•••• G••• M••••• from M•• I•••••••• S•••••••• L••Mar 12, 2021 · Affiliated broker-dealer or bank to independent RIA
- B•••• C••••• C••••••• from M•• I•••••••• S•••••••• L••Mar 12, 2021 · Affiliated broker-dealer or bank to independent RIA
- L•••• W•••• C••••••• from M•• I•••••••• S•••••••• L••Dec 23, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•• I•••••••• S•••••••• L••Mar 13, 2023 · Houston, Tx
- 3 joined from M•• I•••••••• S•••••••• L••Dec 22, 2020 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• D•• · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- C•••••••• B••••• C••••• · Chief Operating Officercontrolsince 08/2022 · owns less than 5%
- C•••••••• L••••• W•••• · Managing Member/Ceocontrolsince 06/2016 · 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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 21, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-10-01, no on the filing of 2026-03-21peers: independent wealth managers, $100M to $500M (5,676)
- c••••• count surgeChange between filings · filing Mar 21, 2026individual and HNW clients (Item 5.D) moved from 169.0 to 367.0 (+117.0%) between the annual amendments of 2025-03-05 and 2026-03-21; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
- RAUM up 50 %Change between filings · filing Mar 21, 2026RAUM (Item 5.F) moved from $117,334,720 to $185,808,906 (+58.0%) between the annual amendments of 2025-03-05 and 2026-03-21; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- custody status changedChange between filings · filing Mar 21, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-01, yes on the filing of 2026-03-21peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 628 to 714Oct 1, 2025 to Mar 21, 2026
- Advisory employees · 9 to 11Oct 1, 2025 to Mar 21, 2026
- Advisory activities · 6 to 3Oct 1, 2025 to Mar 21, 2026
- Corporate clients · 28 to 41Oct 1, 2025 to Mar 21, 2026
- HNW clients · 80 to 180Oct 1, 2025 to Mar 21, 2026
- Individual clients · 89 to 187Oct 1, 2025 to Mar 21, 2026
- Assets in custody · unset to 36224814.0Oct 1, 2025 to Mar 21, 2026
- Custody of client assets · false to trueOct 1, 2025 to Mar 21, 2026
- Employees · 9 to 11Oct 1, 2025 to Mar 21, 2026
- Discretionary RAUM · $66.7M to $99.8MOct 1, 2025 to Mar 21, 2026
- HNW RAUM · $79.3M to $117MOct 1, 2025 to Mar 21, 2026
- Individual RAUM · $17.9M to $18.2MOct 1, 2025 to Mar 21, 2026
- Non-discretionary RAUM · $50.6M to $86.0MOct 1, 2025 to Mar 21, 2026
- RAUM · $117M to $186MOct 1, 2025 to Mar 21, 2026
- Related adviser · false to trueOct 1, 2025 to Mar 21, 2026
- Advisory employees · 8 to 9Mar 5, 2025 to Oct 1, 2025
- Employees · 8 to 9Mar 5, 2025 to Oct 1, 2025
- State-registered IARs · 8 to 9Mar 5, 2025 to Oct 1, 2025
- Other offices · 0 to 1Mar 5, 2025 to Oct 1, 2025
Signals
2 dated events
- D•••• C•••• left D•••••• C••••• G••••• L•• for I••••• F•••••••• (registered 2023-12-01)Nov 22, 2023 · Advisor changed firm · fact
- 2 advisors left M•• I•••••••• S•••••••• L•• (Houston, TX) for D•••••• C••••• G••••• L•• on the same dayMar 13, 2023 · Team lift-out · derived
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
- info@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- marci@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- luke@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- jeff@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- dennisto@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- esmeralda@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- claudia@diamondclientgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 832-319-1555reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/diamond-client-group/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- diamondclientgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 832-319-1555reportedpublic record, Form ADV, Mar 21, 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
- $18.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026