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
E••••••••• W••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Nov 16, 2020 · 15 filings
SEC status approved since Dec 15, 2020
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$129M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$130M as of Mar 6, 2026
Mar 24, 2021$0 then
HNW client RAUM$65.6M as of Mar 6, 2026
Mar 28, 2022$114M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Mar 24, 20213 then
Employees (5.A)3 as of Mar 6, 2026
Mar 24, 20213 then
Private funds: no history
RAUM +4.9% over the last fiscal year+1.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $43.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $636,240derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$65.6M50%
- Individuals$63.0M48%
- Corporations and businesses$1.8M1.4%
- Individual clients
- 94reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 205reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• G•••••••• B••••• | Katy, Tx | Dec 15, 2020 | 19 y | 3 |
| J••• M•••••• M•••• | Katy, Tx | Dec 15, 2020 | 42 y | 3 |
| M•••••• C••••••••• M•••• | Katy, Tx | Sep 13, 2022 | 11 y | 0 |
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•••••• M•••• from S••••• F•••••••• G•••• I••Dec 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• G•••••••• B••••• from S••••• F•••••••• G•••• I••Dec 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••• F•••••••• G•••• I••Dec 31, 2020 · Dripping Springs, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M•••••••• G•••••••• · Cco And Managing Membercontrolsince 02/2010 · owns 25% to 50%
- M••••• J•••• M•••••• · Managing Membercontrolsince 02/2010 · owns 25% to 50%
- W•••••• G•••• W•••• · Managing Membercontrolsince 02/2010 · 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 |
|---|---|---|---|---|---|
| Katy, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 208 to 205Mar 10, 2025 to Mar 6, 2026
- Corporate clients · 5 to 1Mar 10, 2025 to Mar 6, 2026
- HNW clients · 17 to 21Mar 10, 2025 to Mar 6, 2026
- Individual clients · 99 to 94Mar 10, 2025 to Mar 6, 2026
- Discretionary RAUM · $124M to $130MMar 10, 2025 to Mar 6, 2026
- HNW RAUM · $57.2M to $65.6MMar 10, 2025 to Mar 6, 2026
- Individual RAUM · $59.8M to $63.0MMar 10, 2025 to Mar 6, 2026
- RAUM · $124M to $130MMar 10, 2025 to Mar 6, 2026
- Accounts · 226 to 208Mar 28, 2024 to Mar 10, 2025
- HNW clients · 15 to 17Mar 28, 2024 to Mar 10, 2025
- Individual clients · 107 to 99Mar 28, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 10, 2025
- Discretionary RAUM · $126M to $124MMar 28, 2024 to Mar 10, 2025
- HNW RAUM · $63.6M to $57.2MMar 28, 2024 to Mar 10, 2025
- Individual RAUM · $55.5M to $59.8MMar 28, 2024 to Mar 10, 2025
- RAUM · $126M to $124MMar 28, 2024 to Mar 10, 2025
- Accounts · 257 to 226Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 11 to 5Mar 31, 2023 to Mar 28, 2024
- HNW clients · 11 to 15Mar 31, 2023 to Mar 28, 2024
- Individual clients · 46 to 107Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $126M to $126MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $60.3M to $63.6MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $57.2M to $55.5MMar 31, 2023 to Mar 28, 2024
- RAUM · $126M to $126MMar 31, 2023 to Mar 28, 2024
- Accounts · 281 to 257Mar 28, 2022 to Mar 31, 2023
- HNW clients · 29 to 11Mar 28, 2022 to Mar 31, 2023
- Individual clients · 241 to 46Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $143M to $126MMar 28, 2022 to Mar 31, 2023
- HNW RAUM · $114M to $60.3MMar 28, 2022 to Mar 31, 2023
- Individual RAUM · $18.6M to $57.2MMar 28, 2022 to Mar 31, 2023
- RAUM · $143M to $126MMar 28, 2022 to Mar 31, 2023
- Accounts · 256 to 281Dec 8, 2021 to Mar 28, 2022
- Advisory activities · 3 to 2Dec 8, 2021 to Mar 28, 2022
- Corporate clients · 13 to 11Dec 8, 2021 to Mar 28, 2022
- HNW clients · 18 to 29Dec 8, 2021 to Mar 28, 2022
- Individual clients · 87 to 241Dec 8, 2021 to Mar 28, 2022
- Discretionary RAUM · $123M to $143MDec 8, 2021 to Mar 28, 2022
- HNW RAUM · $58.9M to $114MDec 8, 2021 to Mar 28, 2022
- Individual RAUM · $22.6M to $18.6MDec 8, 2021 to Mar 28, 2022
- RAUM · $123M to $143MDec 8, 2021 to Mar 28, 2022
Signals
1 dated events
- E••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 16, 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
- Principal office phone
- 432-617-7788reportedpublic record, Form ADV, Mar 6, 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
- $43.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026