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.

SEC-registered adviser

Rwm Capital, LLC

Independent wealth managerSugar Land, TexasCRD 310635SEC 801-119513websiteIAPD
Latest filing Aug 7, 2026
First filing on the tape Aug 21, 2020 · 28 filings
SEC status approved since Sep 21, 2020
RAUM
$222M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$218M individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
$17.1M
derived; firm RAUM over IAPD count
Employees
63
21 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$222M as of Aug 7, 2026
Jan 15, 2021$118M then
HNW client RAUM$71.9M as of Aug 7, 2026
Jan 15, 2021$68.5M then
State-registered IARs (5.B.3)12 as of Aug 7, 2026
Jan 15, 20214 then
Employees (5.A)63 as of Aug 7, 2026
Jan 15, 20219 then
Private funds: no history
RAUM +38% over the last fiscal year+28% a year over threeIARs 13 to 12
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$17.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$374,368derivedHNW RAUM over HNW clients
Average account
$81,424derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.8derivedItem 5.A over advisors
Advisors per office
1.6derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
-7.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$146M66%
  • High-net-worth individuals$71.9M32%
  • Corporations and businesses$4.3M1.9%
Individual clients
1,245reported
HNW clients
192reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,731reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
13 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Zhaoxia LinSugar Land, TxApr 26, 202314 y0
Paul Edward RobertsSugar Land, TxMay 2, 202312 y1
Carter Allan LewisSugar Land, Tx May 3, 202311 y1
Michael L ThompsonSugar Land, TxMay 16, 202321 y6
Thomas Nolan Terrell MooreSugar Land, TxOct 6, 202323 y1
Armir ZeneliSugar Land, Tx Nov 9, 202310 y0
Michael MarkiewiczNoblesville, In Mar 26, 202413 y3
Victor Morales BlandonKaty, Tx Jan 1, 202512 y0
Alan Gregory BradleyCertified Financial PlannerSugar Land, Tx Mar 5, 202519 y3
Richard Donald PeekPensacola, Fl Aug 25, 202511 y0
Brennan KimSugar Land, Tx Oct 22, 202514 y1
Robert Jeffrey KirbyBiloxi, Ms Jul 1, 202638 y0
Jordan D. ThomasSugar Land, Tx Aug 15, 202611 y0
Advisor movement
4 left, 1 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 31% of current headcount7 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Liza Mae Palmer · Chief Compliance Officercontrol
    since 04/2023 · owns less than 5%
  • Edward Paul Roberts · Managing Membercontrol
    since 03/2023 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Sugar Land, Tx · principal13331
Biloxi, Ms431
Daphne, Al210
Offices
Schedule D 1.F, the 25 largest
  • Biloxi, MS17 employees
  • Mobile, AL3 employees
  • Katy, TX1 employees
  • Daphne, AL1 employees
  • Pensacola, FL1 employees
  • The Woodlands, TX1 employees
  • The Woodlands, TX1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • high employee count relative to advisorsStatic outlier · filing Aug 7, 2026
    employees per registered advisor of 4.8 against a peer median of 1.2 (1313 comparable advisers, 99.0th percentile, 12.3 robust deviations)
    peers: independent wealth managers, $100M to $500M (1,313) · 99% percentile
  • RAUM up 25 %Change between filings · filing Mar 17, 2026
    RAUM (Item 5.F) moved from $161,362,901 to $222,369,012 (+38.0%) between the annual amendments of 2025-04-11 and 2026-03-17; the peer median change was +15.0% (4551 comparable advisers, 92.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (4,551) · 92% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 2,096 to 2,731
    Sep 18, 2025 to Mar 17, 2026
  • Advisory employees · 13 to 21
    Sep 18, 2025 to Mar 17, 2026
  • Corporate clients · unset to 2.0
    Sep 18, 2025 to Mar 17, 2026
  • HNW clients · 46 to 192
    Sep 18, 2025 to Mar 17, 2026
  • Individual clients · 1,464 to 1,245
    Sep 18, 2025 to Mar 17, 2026
  • Employees · 50 to 63
    Sep 18, 2025 to Mar 17, 2026
  • State-registered IARs · 13 to 12
    Sep 18, 2025 to Mar 17, 2026
  • Discretionary RAUM · $161M to $222M
    Sep 18, 2025 to Mar 17, 2026
  • HNW RAUM · $68.0M to $71.9M
    Sep 18, 2025 to Mar 17, 2026
  • Individual RAUM · $93.4M to $146M
    Sep 18, 2025 to Mar 17, 2026
  • RAUM · $161M to $222M
    Sep 18, 2025 to Mar 17, 2026
  • Financial planning clients · More than 500 to More than 500
    Jun 12, 2025 to Jul 30, 2025
  • Accounts · 1,585 to 2,096
    Mar 26, 2024 to Apr 11, 2025
  • Advisory employees · 12 to 13
    Mar 26, 2024 to Apr 11, 2025
  • HNW clients · 56 to 46
    Mar 26, 2024 to Apr 11, 2025
  • Individual clients · 730 to 1,464
    Mar 26, 2024 to Apr 11, 2025
  • Employees · 27 to 50
    Mar 26, 2024 to Apr 11, 2025
  • State-registered IARs · 12 to 13
    Mar 26, 2024 to Apr 11, 2025
  • Discretionary RAUM · $108M to $161M
    Mar 26, 2024 to Apr 11, 2025
  • HNW RAUM · $33.4M to $68.0M
    Mar 26, 2024 to Apr 11, 2025
  • Individual RAUM · $74.5M to $93.4M
    Mar 26, 2024 to Apr 11, 2025
  • RAUM · $108M to $161M
    Mar 26, 2024 to Apr 11, 2025
  • Accounts · 676 to 1,585
    Nov 10, 2023 to Mar 22, 2024
  • Advisory employees · 4 to 12
    Nov 10, 2023 to Mar 22, 2024
  • HNW clients · 41 to 56
    Nov 10, 2023 to Mar 22, 2024
  • Individual clients · 400 to 730
    Nov 10, 2023 to Mar 22, 2024
  • Assets in custody · 201193.0 to unset
    Nov 10, 2023 to Mar 22, 2024
  • Custody of client assets · true to false
    Nov 10, 2023 to Mar 22, 2024
  • Employees · 11 to 27
    Nov 10, 2023 to Mar 22, 2024
  • Financial planning clients · 251-500 to More than 500
    Nov 10, 2023 to Mar 22, 2024
  • State-registered IARs · 4 to 12
    Nov 10, 2023 to Mar 22, 2024
  • Discretionary RAUM · $107M to $108M
    Nov 10, 2023 to Mar 22, 2024
  • HNW RAUM · $39.0M to $33.4M
    Nov 10, 2023 to Mar 22, 2024
  • Individual RAUM · $68.0M to $74.5M
    Nov 10, 2023 to Mar 22, 2024
  • RAUM · $107M to $108M
    Nov 10, 2023 to Mar 22, 2024
  • Other offices · 6 to 7
    Nov 8, 2023 to Nov 10, 2023
  • Other offices · 5 to 6
    Jun 2, 2023 to Nov 8, 2023
  • Other offices · 2 to 5
    Apr 26, 2023 to Jun 2, 2023
  • Accounts · 872 to 676
    Oct 30, 2022 to Mar 30, 2023
  • Corporate clients · 5.0 to unset
    Oct 30, 2022 to Mar 30, 2023
Signals
18 dated events
  • Maria Fernanda Wojciechowski left Rwm Capital, Llc for Impact Partnership Wealth, Llc (registered 2026-01-06)
    Dec 4, 2025 · Advisor changed firm · fact
  • Karen Ames Garner left Rwm Capital, Llc for Impact Partnership Wealth, Llc (registered 2025-12-12)
    Dec 4, 2025 · Advisor changed firm · fact
  • Weston Rush Lindemann left Rwm Capital, Llc for Impact Partnership Wealth, Llc (registered 2025-12-19)
    Dec 4, 2025 · Advisor changed firm · fact
  • Scott Francis Davis left Rwm Capital, Llc for Impact Partnership Wealth, Llc (registered 2025-12-04)
    Dec 4, 2025 · Advisor changed firm · fact
  • 2 advisors left Rwm Capital, LLC (Sugar Land, TX) for Impact Partnership Wealth, LLC on the same day
    Dec 4, 2025 · Team lift-out · derived
  • Cory Hunter Easterling left Rwm Capital, Llc for Impact Partnership Wealth, Llc (registered 2026-01-12)
    Sep 11, 2025 · Advisor changed firm · fact
  • William Roger Rassman left Rwm Capital, Llc for Cwm, Llc (registered 2025-01-16)
    Jan 15, 2025 · Advisor changed firm · fact
  • 3 advisors left Foundations Investment Advisors LLC (Daphne, AL) for Rwm Capital, LLC on the same day
    Oct 30, 2024 · Team lift-out · derived
  • 2 advisors left Foundations Investment Advisors LLC (Pensacola, FL) for Rwm Capital, LLC on the same day
    Oct 30, 2024 · Team lift-out · derived
  • Prosper Johnikin left Rwm Capital, Llc for Lpl Enterprise, Llc (registered 2026-04-03)
    Nov 28, 2023 · Advisor changed firm · fact
  • Rochelle April Roberts (Managing Member & Chief Compliance Officer) no longer on Schedule A of Rwm Capital, Llc (listed 2023-03-30, absent 2023-04-19)
    Apr 19, 2023 · Control person left · inference
  • Liza Mae Espiritu (Chief Compliance Officer) appeared on Schedule A of Rwm Capital, Llc
    Apr 19, 2023 · Control person joined · fact
  • Antonio Felipe Castillo left Rwm Capital, Llc for Goodman Financial Corporation (registered 2023-02-15)
    Feb 3, 2023 · Advisor changed firm · fact
  • Patrick Chevalier left Rwm Capital, Llc for Simplicity Wealth (registered 2023-04-13)
    Feb 3, 2023 · Advisor changed firm · fact
  • Abrin Angelus Berkemeyer left Rwm Capital, Llc for Goodman Financial Corporation (registered 2022-04-20)
    Sep 21, 2022 · Advisor changed firm · fact
  • J. Kathy Kuria (Chief Compliance Officer) no longer on Schedule A of Rwm Capital, Llc (listed 2022-04-28, absent 2022-05-27)
    May 27, 2022 · Control person left · inference
  • J. Kathy Kuria (Chief Compliance Officer) appeared on Schedule A of Rwm Capital, Llc
    Dec 16, 2021 · Control person joined · fact
  • Rwm Capital, Llc filed its initial SEC registration (Form ADV)
    Aug 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 phone
228-388-2031reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
251-581-9000reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
832-981-7000reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/robertswealthmgtreportedpublic record, Form ADV, Sep 17, 2026
Website
robertswealth.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
832-981-7000reportedpublic record, Form ADV, Aug 7, 2026
Contact form
robertswealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page
robertswealth.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 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
$17.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026