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
C••••• L••••• P•••••••
Legal name C••••• L••••• P•••••••• L••
Latest filing May 22, 2026
First filing on the tape Oct 28, 2024 · 4 filings
SEC status approved since Nov 27, 2024
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$131M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$133M as of May 22, 2026
Jan 27, 2025$117M then
HNW client RAUM$119M as of May 22, 2026
Jan 27, 2025$106M then
State-registered IARs (5.B.3)1 as of May 22, 2026
Jan 27, 20251 then
Employees (5.A)1 as of May 22, 2026
Jan 27, 20251 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $543,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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$119M90%
- Individuals$12.4M9.4%
- Pension and profit-sharing plans$1.3M1.0%
- Individual clients
- 22reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 244reported
- Financial planning clients
- 51-100reported
- 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=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• R••• M•••Certified Financial Planner, Chartered Financial Analyst | Br•••, Tx | Sep 3, 2021 | 13 y | 1 |
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
- S•••• R••• M••• from V••••••• A•••••••• I•••Sep 3, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• S••••• R••• · Founder, Ceo, Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- M•••• S••••• R••• · Trusteecontrolsince 07/2021 · owns F of W•• V••••••• I••••••••• T••••
Entity owners
- W•• V••••••• I••••••••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 196 to 244Jan 27, 2025 to Jan 9, 2026
- HNW clients · 30 to 37Jan 27, 2025 to Jan 9, 2026
- Individual clients · 26 to 22Jan 27, 2025 to Jan 9, 2026
- Pension plan clients · unset to 1.0Jan 27, 2025 to Jan 9, 2026
- Assets in custody · 0.0 to unsetJan 27, 2025 to Jan 9, 2026
- Discretionary RAUM · $110M to $133MJan 27, 2025 to Jan 9, 2026
- HNW RAUM · $106M to $119MJan 27, 2025 to Jan 9, 2026
- Individual RAUM · $10.1M to $12.4MJan 27, 2025 to Jan 9, 2026
- Non-discretionary RAUM · $7.7M to $0Jan 27, 2025 to Jan 9, 2026
- Pension RAUM · $1.3M to $1.3MJan 27, 2025 to Jan 9, 2026
- RAUM · $117M to $133MJan 27, 2025 to Jan 9, 2026
- Accounts · 193 to 196Oct 28, 2024 to Jan 27, 2025
- HNW clients · 31 to 30Oct 28, 2024 to Jan 27, 2025
- Individual clients · 22 to 26Oct 28, 2024 to Jan 27, 2025
- Financial planning clients · 51-100 to 51-100Oct 28, 2024 to Jan 27, 2025
- Discretionary RAUM · $102M to $110MOct 28, 2024 to Jan 27, 2025
- HNW RAUM · $94.0M to $106MOct 28, 2024 to Jan 27, 2025
- Individual RAUM · $7.2M to $10.1MOct 28, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $0 to $7.7MOct 28, 2024 to Jan 27, 2025
- Pension RAUM · $1.2M to $1.3MOct 28, 2024 to Jan 27, 2025
- RAUM · $102M to $117MOct 28, 2024 to Jan 27, 2025
Signals
1 dated events
- C••••• L••••• P••••••• filed its initial SEC registration (Form ADV)Oct 28, 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
- charislegacy.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 979-406-7875reportedpublic record, Form ADV, May 22, 2026
- Contact form
- charislegacy.com/contact-usreportedpublished by the firm, firm site, Sep 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026