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
A•• F•••••••• P•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Jul 8, 2024 · 6 filings
SEC status approved since Aug 7, 2024
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$87.2M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$174M as of Mar 25, 2026
Mar 12, 2025$127M then
HNW client RAUM$120M as of Mar 25, 2026
Mar 12, 2025$88.1M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 12, 20252 then
Employees (5.A)4 as of Mar 25, 2026
Mar 12, 20253 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Mar 25, 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
- 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
- $87.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $355,746derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +35%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$120M69%
- Individuals$46.6M27%
- Pension and profit-sharing plans$6.3M3.6%
- Charitable organizations$1.2M0.7%
- Corporations and businesses$630.0%
- Individual clients
- 150reported
- HNW clients
- 57reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 490reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| R•••••• M•••••• M••••• | Austin, Tx | Dec 16, 2020 | 19 y | 4 |
| D••••• C•••• M••• | Austin, Tx | Jun 30, 2023 | 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
- D••••• C•••• M••• from U••• C•••••• W••••• A•••••••• L••Jun 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••••• M•••••• M••••• from U••• C•••••• W••••• A•••••••• L••Dec 16, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••••• M•••••• · Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- M•••••• R••••••• M•••••• · Trusteecontrolsince 10/2020 · owns F of T•• A•••••• B••••••• T•••• U• D•••• 1•••••••••
Entity owners
- T•• A•••••• B••••••• T•••• U• D•••• 1••••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- L••••••••• L••real estaten
- R•••••• M•••••• M•••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $126,538,000 to $174,315,751 (+38.0%) between the annual amendments of 2025-03-12 and 2026-03-25; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
- b••••••• activity changedChange between filings · filing Mar 25, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-11-25, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 399 to 490Nov 25, 2025 to Mar 25, 2026
- Advisory activities · 2 to 3Nov 25, 2025 to Mar 25, 2026
- Charity clients · unset to 1.0Nov 25, 2025 to Mar 25, 2026
- HNW clients · 41 to 57Nov 25, 2025 to Mar 25, 2026
- Individual clients · 113 to 150Nov 25, 2025 to Mar 25, 2026
- Pension plan clients · unset to 1.0Nov 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $140M to $174MNov 25, 2025 to Mar 25, 2026
- HNW RAUM · $96.3M to $120MNov 25, 2025 to Mar 25, 2026
- Individual RAUM · $43.6M to $46.6MNov 25, 2025 to Mar 25, 2026
- Pension RAUM · unset to 6330183.0Nov 25, 2025 to Mar 25, 2026
- RAUM · $140M to $174MNov 25, 2025 to Mar 25, 2026
- Accounts · 386 to 399Mar 12, 2025 to Nov 25, 2025
- HNW clients · 40 to 41Mar 12, 2025 to Nov 25, 2025
- Employees · 3 to 4Mar 12, 2025 to Nov 25, 2025
- Financial planning clients · 0 to 0Mar 12, 2025 to Nov 25, 2025
- Other offices · 0 to 1Mar 12, 2025 to Nov 25, 2025
- Discretionary RAUM · $127M to $140MMar 12, 2025 to Nov 25, 2025
- HNW RAUM · $88.1M to $96.3MMar 12, 2025 to Nov 25, 2025
- Individual RAUM · $38.2M to $43.6MMar 12, 2025 to Nov 25, 2025
- RAUM · $127M to $140MMar 12, 2025 to Nov 25, 2025
- Accounts · 146 to 386Sep 5, 2024 to Mar 12, 2025
- HNW clients · 37 to 40Sep 5, 2024 to Mar 12, 2025
- Individual clients · 109 to 113Sep 5, 2024 to Mar 12, 2025
- Assets in custody · 4154251.0 to unsetSep 5, 2024 to Mar 12, 2025
- Custody of client assets · true to falseSep 5, 2024 to Mar 12, 2025
- Discretionary RAUM · $108M to $127MSep 5, 2024 to Mar 12, 2025
- HNW RAUM · $72.9M to $88.1MSep 5, 2024 to Mar 12, 2025
- Individual RAUM · $34.6M to $38.2MSep 5, 2024 to Mar 12, 2025
- RAUM · $108M to $127MSep 5, 2024 to Mar 12, 2025
Signals
1 dated events
- A•• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 8, 2024 · 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
- b••••••• phone
- 512-643-4040reportedpublished by the firm, firm site, Sep 17, 2026
- b••••••• phone
- 512-693-4040reportedpublished by the firm, firm site, Sep 17, 2026
- b••••••• phone
- 512-751-9142reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- atxfinancialplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-693-4040reportedpublic record, Form ADV, Mar 25, 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
- $87.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026