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••••• I••••••••• P•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Apr 7, 2021 · 14 filings
SEC status approved since May 7, 2021
RAUM
$206M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$25.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$206M as of Mar 20, 2026
Jan 31, 2022$104M then
HNW client RAUM$23.5M as of Mar 20, 2026
Jan 31, 2022$29.4M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Jan 31, 20223 then
Employees (5.A)4 as of Mar 20, 2026
Jan 31, 20224 then
Private funds: no history
RAUM +14% over the last fiscal year+8.1% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $558,747derivedHNW RAUM over HNW clients
- Average account
- $938,025derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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
- Investment companies$149M72%
- High-net-worth individuals$23.5M11%
- Corporations and businesses$12.2M5.9%
- Pension and profit-sharing plans$11.2M5.4%
- Charitable organizations$8.9M4.3%
- Individuals$1.8M0.8%
- Individual clients
- 21reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 220reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.12 fund_share=0.72 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- A••••• V••••• B••••• R•••••• to I••••••••• S•••••••• W••••• M••••••••• L••Mar 6, 2026 · RIA to RIA
- J•••• W•••••• B••••• to I••••••••• S•••••••• W••••• M••••••••• L••Mar 6, 2026 · RIA to RIA
Joined, latest
- J•••• W•••••• B••••• from S••••• M•••••••••Jun 2, 2021 · RIA to a newly registered adviser
- A••••• V••••• B••••• R•••••• from S••••• M•••••••••May 19, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I••••••••• S•••••••• W••••• M••••••••• L••Mar 6, 2026 · Montgomery, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• W•••••• · Presidentcontrolsince 03/2021 · owns 75% or more
- R••••••• A•••••• V•••• B••••• · Chief Operating Officercontrolsince 03/2021 · owns less than 5%
- M•••••• J••••• L••• · Chief Compliance Officersince 11/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Montgomery, Tx | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 20, 2026private-client share of RAUM moved from 35.0% to 12.0% between the annual amendments of 2025-04-03 and 2026-03-20peers: other advisers, $100M to $500M (212)
- custody status changedChange between filings · filing Mar 20, 2026custody of client assets (Item 9.A): yes on the filing of 2025-04-03, no on the filing of 2026-03-20peers: other advisers, $100M to $500M (212)
- HNW share shiftChange between filings · filing Mar 20, 2026HNW share of RAUM moved from 32.0% to 11.0% between the annual amendments of 2025-04-03 and 2026-03-20peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 247 to 220Apr 3, 2025 to Mar 20, 2026
- Advisory employees · 3 to 2Apr 3, 2025 to Mar 20, 2026
- HNW clients · 30 to 42Apr 3, 2025 to Mar 20, 2026
- Individual clients · 53 to 21Apr 3, 2025 to Mar 20, 2026
- Assets in custody · 3498210.0 to unsetApr 3, 2025 to Mar 20, 2026
- Custody of client assets · true to falseApr 3, 2025 to Mar 20, 2026
- Employees · 5 to 4Apr 3, 2025 to Mar 20, 2026
- Financial planning clients · 26-50 to 0Apr 3, 2025 to Mar 20, 2026
- State-registered IARs · 3 to 2Apr 3, 2025 to Mar 20, 2026
- Discretionary RAUM · $182M to $206MApr 3, 2025 to Mar 20, 2026
- HNW RAUM · $57.3M to $23.5MApr 3, 2025 to Mar 20, 2026
- Individual RAUM · $5.5M to $1.8MApr 3, 2025 to Mar 20, 2026
- Pension RAUM · $8.9M to $11.2MApr 3, 2025 to Mar 20, 2026
- RAUM · $182M to $206MApr 3, 2025 to Mar 20, 2026
- Accounts · 217 to 247Oct 29, 2024 to Apr 3, 2025
- Charity clients · 5 to 6Oct 29, 2024 to Apr 3, 2025
- HNW clients · 43 to 30Oct 29, 2024 to Apr 3, 2025
- Individual clients · 37 to 53Oct 29, 2024 to Apr 3, 2025
- Assets in custody · unset to 3498210.0Oct 29, 2024 to Apr 3, 2025
- Custody of client assets · false to trueOct 29, 2024 to Apr 3, 2025
- Financial planning clients · 26-50 to 26-50Oct 29, 2024 to Apr 3, 2025
- HQ city · unset to Oct 29, 2024 to Apr 3, 2025
- HQ state · unset to Oct 29, 2024 to Apr 3, 2025
- Discretionary RAUM · $160M to $182MOct 29, 2024 to Apr 3, 2025
- HNW RAUM · $36.8M to $57.3MOct 29, 2024 to Apr 3, 2025
- Individual RAUM · $2.3M to $5.5MOct 29, 2024 to Apr 3, 2025
- Pension RAUM · $7.0M to $8.9MOct 29, 2024 to Apr 3, 2025
- RAUM · $160M to $182MOct 29, 2024 to Apr 3, 2025
- Accounts · 210 to 217Feb 2, 2023 to Mar 29, 2024
- Advisory activities · 4 to 5Feb 2, 2023 to Mar 29, 2024
- Charity clients · 2 to 5Feb 2, 2023 to Mar 29, 2024
- Corporate clients · 3.0 to unsetFeb 2, 2023 to Mar 29, 2024
- HNW clients · 33 to 43Feb 2, 2023 to Mar 29, 2024
- Individual clients · 46 to 37Feb 2, 2023 to Mar 29, 2024
- Pension plan clients · 2.0 to unsetFeb 2, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 26-50Feb 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $163M to $160MFeb 2, 2023 to Mar 29, 2024
- HNW RAUM · $27.5M to $36.8MFeb 2, 2023 to Mar 29, 2024
- Individual RAUM · $2.4M to $2.3MFeb 2, 2023 to Mar 29, 2024
- Pension RAUM · $4.7M to $7.0MFeb 2, 2023 to Mar 29, 2024
Signals
5 dated events
- A••••• V••••• B••••• R•••••• left A••••• I••••••••• P•••••••• L•• for I••••••••• S•••••••• W••••• M••••••••• L•• (registered 2026-03-10)Mar 6, 2026 · Advisor changed firm · fact
- J•••• W•••••• B••••• left A••••• I••••••••• P•••••••• L•• for I••••••••• S•••••••• W••••• M••••••••• L•• (registered 2026-03-10)Mar 6, 2026 · Advisor changed firm · fact
- 2 advisors left A••••• I••••••••• P•••••••• L•• (Montgomery, TX) for I••••••••• S•••••••• W••••• M••••••••• L•• on the same dayMar 6, 2026 · Team lift-out · derived
- A••••• I••••••••• P•••••••• L•• reported RAUM $210.6M, up 103% from $103.8M (2022-01-31 to 2022-11-07)Nov 7, 2022 · RAUM change · derived
- A••••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Apr 7, 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
- Website
- alexisinvests.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (925) 457-5258reportedpublic record, Form ADV, Mar 20, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026