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
M••• S••••• R••••••••• P•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Jul 9, 2021 · 27 filings
SEC status approved since Oct 18, 2021
RAUM
$717M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$717M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$239M
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
27 filings and snapshots on the tape
RAUM$717M as of Mar 2, 2026
Feb 8, 2022$624M then
HNW client RAUM$268M as of Mar 2, 2026
Feb 8, 2022$258M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Feb 8, 20223 then
Employees (5.A)3 as of Mar 2, 2026
Feb 8, 20223 then
Private funds: no history
RAUM +3.2% over the last fiscal year+7.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 2, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 563derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $244,819derivedRAUM 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
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +48%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$448M63%
- High-net-worth individuals$268M37%
- Individual clients
- 1,543reported
- HNW clients
- 145reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,927reported
- Financial planning clients
- reported
- 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 |
|---|---|---|---|---|
| E•••• R••••• D•••••Certified Financial Planner, Chartered Financial Consultant | Coppell, Tx | Jan 13, 2022 | 36 y | 3 |
| J••••••• A•• D•••••Certified Financial Planner, Personal Financial Specialist | Coppell, Tx | Jan 14, 2022 | 11 y | 1 |
| M••• J••••• K•••••Certified Financial Planner | Coppell, Tx | Jan 24, 2022 | 14 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
- M••• J••••• K••••• from R••••••••• P••••••• O• A••••••Jan 24, 2022 · RIA to RIA
- J••••••• A•• D••••• from R••••••••• P••••••• O• A••••••Jan 14, 2022 · RIA to RIA
- E•••• R••••• D••••• from R••••••••• P••••••• O• A••••••Jan 13, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R••••••••• P••••••• O• A••••••Jan 18, 2022 · Coppell, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• E••••• R••••• · Chief Compliance Officer/Chief Financial Officer/Ownercontrolsince 02/2021 · owns 50% to 75%
- D•••••• J•••••••• A•• · Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- K•••••• M•••• J••••• · Chief Technical Officercontrolsince 02/2021 · owns less than 5%
- D•••••• E••••• T••••• · Trusteecontrolsince 02/2021 · owns F of E•••• T••••• D••••• I••••••••• T••••
- D•••••• J•••••••• A•• · Trusteecontrolsince 02/2021 · owns F of J••••••• A•• D••••• I••••••••• T••••
- K•••••• J••••••• M• · Trusteecontrolsince 02/2021 · owns F of J•••••• M•••• K••••• I••••••••• T••••
Entity owners
- E•••• T••••• D••••• I••••••••• T•••• · Ownerdirect · owns 10% to 25%
- J••••••• A•• D••••• I••••••••• T•••• · Ownerdirect · owns 10% to 25%
- J•••••• M•••• K••••• I••••••••• T•••• · Ownerdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Coppell, Tx · principal | 3 | 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
- unusually high clients per advisorStatic outlier · filing Mar 2, 2026private clients per advisor of 562.7 against a peer median of 63.6 (1210 comparable advisers, 100.0th percentile, 13.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,210) · 100% percentile
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 62.0% to 37.0% between the annual amendments of 2025-02-05 and 2026-03-02peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,830 to 2,927Nov 21, 2025 to Jan 15, 2026
- HNW clients · 285 to 145Nov 21, 2025 to Jan 15, 2026
- Individual clients · 856 to 1,543Nov 21, 2025 to Jan 15, 2026
- Discretionary RAUM · $695M to $717MNov 21, 2025 to Jan 15, 2026
- HNW RAUM · $430M to $268MNov 21, 2025 to Jan 15, 2026
- Individual RAUM · $265M to $448MNov 21, 2025 to Jan 15, 2026
- RAUM · $695M to $717MNov 21, 2025 to Jan 15, 2026
- Financial planning clients · unset to Jan 31, 2025 to Feb 5, 2025
- Accounts · 2,714 to 2,830Dec 9, 2024 to Jan 31, 2025
- HNW clients · 234 to 285Dec 9, 2024 to Jan 31, 2025
- Individual clients · 863 to 856Dec 9, 2024 to Jan 31, 2025
- Discretionary RAUM · $613M to $695MDec 9, 2024 to Jan 31, 2025
- HNW RAUM · $348M to $430MDec 9, 2024 to Jan 31, 2025
- Individual RAUM · $265M to $265MDec 9, 2024 to Jan 31, 2025
- RAUM · $613M to $695MDec 9, 2024 to Jan 31, 2025
- Accounts · 2,702 to 2,714Dec 6, 2023 to Feb 5, 2024
- HNW clients · 221 to 234Dec 6, 2023 to Feb 5, 2024
- Individual clients · 876 to 863Dec 6, 2023 to Feb 5, 2024
- Discretionary RAUM · $582M to $613MDec 6, 2023 to Feb 5, 2024
- HNW RAUM · $317M to $348MDec 6, 2023 to Feb 5, 2024
- Individual RAUM · $265M to $265MDec 6, 2023 to Feb 5, 2024
- RAUM · $582M to $613MDec 6, 2023 to Feb 5, 2024
- Accounts · 2,752 to 2,702Jan 5, 2023 to Jan 27, 2023
- Advisory activities · 2 to 1Jan 5, 2023 to Jan 27, 2023
- Charity clients · unset to 0.0Jan 5, 2023 to Jan 27, 2023
- Corporate clients · unset to 0.0Jan 5, 2023 to Jan 27, 2023
- HNW clients · 151 to 221Jan 5, 2023 to Jan 27, 2023
- Individual clients · 959 to 876Jan 5, 2023 to Jan 27, 2023
- Pension plan clients · unset to 0.0Jan 5, 2023 to Jan 27, 2023
- Pooled vehicle clients · unset to 0.0Jan 5, 2023 to Jan 27, 2023
- Discretionary RAUM · $624M to $582MJan 5, 2023 to Jan 27, 2023
- HNW RAUM · $258M to $317MJan 5, 2023 to Jan 27, 2023
- Individual RAUM · $366M to $265MJan 5, 2023 to Jan 27, 2023
- Pension RAUM · unset to 0.0Jan 5, 2023 to Jan 27, 2023
- Pooled vehicle RAUM · unset to 0.0Jan 5, 2023 to Jan 27, 2023
- RAUM · $624M to $582MJan 5, 2023 to Jan 27, 2023
- Employees · 4 to 3Jun 16, 2022 to Jun 23, 2022
- Employees · 3 to 4Apr 11, 2022 to Jun 16, 2022
- Accounts · 3,083 to 2,752Jan 16, 2022 to Feb 8, 2022
- HNW clients · 121 to 151Jan 16, 2022 to Feb 8, 2022
Signals
4 dated events
- 2 advisors left R••••••••• P••••••• O• A•••••• (Coppell, TX) for M••• S••••• R••••••••• P•••••••• L•• on the same dayJan 18, 2022 · Team lift-out · derived
- Ann J••••••• D••••• (Owner) appeared on Schedule A of M••• S••••• R••••••••• P•••••••• L••Sep 9, 2021 · Control person joined · fact
- Joseph Mark Krehel (Chief Technical Officer) appeared on Schedule A of M••• S••••• R••••••••• P•••••••• L••Sep 9, 2021 · Control person joined · fact
- M••• S••••• R••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 9, 2021 · 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 email
- info@mainstreetretirement.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-393-0327reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 972-393-0376reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mainstreetretirementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mainstreetretirement.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-393-0376reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- mainstreetretirement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mainstreetretirement.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026