DFX Intelligence
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R••••••••• C••••••
Independent wealth manager, based in Midland, Texas, reporting $237M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $237M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -11%
- Private clients
- 94% of RAUM, $224M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 310824 · SEC 801-123416 · 16 filingsShowHide
CRD 310824SEC 801-123416Legal name R••••••••• C•••••• P•••••••• L••First filing on the tape Sep 12, 2020, latest Feb 17, 2026SEC status approved since Mar 10, 2022IAPD
RAUM
$237M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
94%
$224M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$237M as of Feb 17, 2026
Mar 26, 2021$36.0M then
HNW client RAUM$210M as of Feb 17, 2026
Mar 23, 2023$50.1M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Mar 26, 20212 then
Employees (5.A)4 as of Feb 17, 2026
Mar 26, 20212 then
Private funds: no history
RAUM -11% over the last fiscal year+37% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 48derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $470,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $52.4M, 34 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$210M88%
- Individuals$13.7M5.8%
- Pension and profit-sharing plans$13.6M5.7%
- Individual clients
- 33reported
- HNW clients
- 63reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 504reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.4M for 34 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• C• C•••• | Midland, Tx | Oct 13, 2020 | 20 y | 4 |
| J••• M•••• | Midland, Tx | Jun 22, 2021 | 10 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••• M•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 22, 2021 · Wirehouse to independent RIA
- C••• C• C•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 13, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 14, 2020 · Midland, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• C•••• C• · Partner & Senior Advisorcontrolsince 10/2020 · owns 50% to 75%
- M••••• J•••• C••• · Chief Compliance Officer, Partner, & Advisercontrolsince 10/2020 · 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 |
|---|---|---|---|---|---|
| Midland, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 380 to 504Mar 24, 2025 to Feb 17, 2026
- HNW clients · 61 to 63Mar 24, 2025 to Feb 17, 2026
- Individual clients · 30 to 33Mar 24, 2025 to Feb 17, 2026
- Assets in custody · $111M to $52.4MMar 24, 2025 to Feb 17, 2026
- Employees · 3 to 4Mar 24, 2025 to Feb 17, 2026
- Discretionary RAUM · $231M to $191MMar 24, 2025 to Feb 17, 2026
- HNW RAUM · $245M to $210MMar 24, 2025 to Feb 17, 2026
- Individual RAUM · $12.2M to $13.7MMar 24, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $34.3M to $46.4MMar 24, 2025 to Feb 17, 2026
- Pension RAUM · $8.6M to $13.6MMar 24, 2025 to Feb 17, 2026
- RAUM · $266M to $237MMar 24, 2025 to Feb 17, 2026
- Accounts · 350 to 380Mar 5, 2024 to Mar 24, 2025
- Charity clients · 4.0 to unsetMar 5, 2024 to Mar 24, 2025
- HNW clients · 76 to 61Mar 5, 2024 to Mar 24, 2025
- Individual clients · 7 to 30Mar 5, 2024 to Mar 24, 2025
- Pension plan clients · 9 to 3Mar 5, 2024 to Mar 24, 2025
- Assets in custody · $1.2M to $111MMar 5, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Mar 5, 2024 to Mar 24, 2025
- Discretionary RAUM · $54.3M to $231MMar 5, 2024 to Mar 24, 2025
- HNW RAUM · $91.7M to $245MMar 5, 2024 to Mar 24, 2025
- Individual RAUM · $8.3M to $12.2MMar 5, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $66.8M to $34.3MMar 5, 2024 to Mar 24, 2025
- Pension RAUM · $10.1M to $8.6MMar 5, 2024 to Mar 24, 2025
- RAUM · $121M to $266MMar 5, 2024 to Mar 24, 2025
- Accounts · 316 to 350Jun 7, 2023 to Mar 5, 2024
- Advisory activities · 4 to 5Jun 7, 2023 to Mar 5, 2024
- Charity clients · unset to 4.0Jun 7, 2023 to Mar 5, 2024
- HNW clients · 31 to 76Jun 7, 2023 to Mar 5, 2024
- Individual clients · 20 to 7Jun 7, 2023 to Mar 5, 2024
- Pension plan clients · 3 to 9Jun 7, 2023 to Mar 5, 2024
- Assets in custody · $12.9M to $1.2MJun 7, 2023 to Mar 5, 2024
- Custody of client assets · false to trueJun 7, 2023 to Mar 5, 2024
- Financial planning clients · 0 to 11-25Jun 7, 2023 to Mar 5, 2024
- Discretionary RAUM · $33.4M to $54.3MJun 7, 2023 to Mar 5, 2024
- HNW RAUM · $50.1M to $91.7MJun 7, 2023 to Mar 5, 2024
- Individual RAUM · $37.0M to $8.3MJun 7, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $59.5M to $66.8MJun 7, 2023 to Mar 5, 2024
- Pension RAUM · $5.7M to $10.1MJun 7, 2023 to Mar 5, 2024
- RAUM · $92.9M to $121MJun 7, 2023 to Mar 5, 2024
- Accounts · 257 to 316Feb 8, 2022 to Mar 23, 2023
Signals
2 dated events
- ••• LockedMar 24, 2025 · RAUM change · derived
- ••• LockedSep 12, 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 17, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026