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
D••••••••• A•••••••
Legal name F••••••• P••••• F••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Aug 23, 2024 · 7 filings
SEC status approved since Sep 24, 2024
RAUM
$43.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$43.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$14.3M
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
7 filings and snapshots on the tape
RAUM$43.0M as of Mar 26, 2026
Mar 28, 2025$108M then
HNW client RAUM$26.0M as of Mar 26, 2026
Mar 28, 2025$94.8M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Mar 28, 20251 then
Employees (5.A)3 as of Mar 26, 2026
Mar 28, 20251 then
Private funds: no history
RAUM -60% over the last fiscal yearIARs 1 to 3
Practice profile
derived from the filing of Mar 26, 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
- $14.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $477,778derivedRAUM 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
- -60%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$26.0M60%
- Individuals$17.0M40%
- Individual clients
- 77reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 90reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| F••••••• J•••• P•••••Chartered Financial Analyst | Lewisville, Tx | Jan 11, 2021 | 18 y | 5 |
| E••••• O• M••••• | Lewisville, Tx | Apr 7, 2021 | 29 y | 6 |
| M•••••• D••• T••••••••• | Lewisville, Tx | Feb 15, 2025 | 13 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
- E••••• O• M••••• from B••• S••••••••• L••Apr 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- F••••••• J•••• P••••• from B••••• W••••• M••••••••• L••Jan 11, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• F•••••••• J•••• · Managing Member And Ccocontrolsince 10/2020 · 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 |
|---|---|---|---|---|---|
| Lewisville, Tx | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $107,839,000 to $43,000,000 (-60.0%) between the annual amendments of 2025-03-28 and 2026-03-26; the peer median change was +8.0% (220 comparable advisers, 6.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 5.9% percentile
What changed
consecutive filings, newest first
- Accounts · 179 to 90Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 1 to 3Mar 28, 2025 to Mar 26, 2026
- HNW clients · 15 to 13Mar 28, 2025 to Mar 26, 2026
- Individual clients · 72 to 77Mar 28, 2025 to Mar 26, 2026
- Employees · 1 to 3Mar 28, 2025 to Mar 26, 2026
- State-registered IARs · 1 to 3Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $108M to $43.0MMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $94.8M to $26.0MMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $13.0M to $17.0MMar 28, 2025 to Mar 26, 2026
- RAUM · $108M to $43.0MMar 28, 2025 to Mar 26, 2026
- Accounts · 194 to 179Sep 25, 2024 to Mar 28, 2025
- HNW clients · 16 to 15Sep 25, 2024 to Mar 28, 2025
- Individual clients · 70 to 72Sep 25, 2024 to Mar 28, 2025
- Pension plan clients · 4.0 to unsetSep 25, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Sep 25, 2024 to Mar 28, 2025
- HQ city · unset to Sep 25, 2024 to Mar 28, 2025
- HQ state · unset to Sep 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $112M to $108MSep 25, 2024 to Mar 28, 2025
- HNW RAUM · $99.9M to $94.8MSep 25, 2024 to Mar 28, 2025
- Individual RAUM · $12.6M to $13.0MSep 25, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $1.5M to $0Sep 25, 2024 to Mar 28, 2025
- Pension RAUM · 1546398.0 to unsetSep 25, 2024 to Mar 28, 2025
- RAUM · $114M to $108MSep 25, 2024 to Mar 28, 2025
- HQ city · LEWISVILLE to unsetSep 5, 2024 to Sep 24, 2024
- HQ state · TX to unsetSep 5, 2024 to Sep 24, 2024
Signals
1 dated events
- D••••••••• A••••••• filed its initial SEC registration (Form ADV)Aug 23, 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
- Website
- directional-advisors.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-714-5520reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- directional-advisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- directional-advisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $14.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026