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
I••••••••• A••••••••
Legal name I••••••••• A•••••••• L•••••
Latest filing Mar 4, 2026
First filing on the tape Jul 12, 2021 · 14 filings
SEC status approved since Aug 13, 2021
RAUM
$98.7M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$94.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$98.7M
derived; firm RAUM over IAPD count
Employees
2
1 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$98.7M as of Mar 4, 2026
Mar 5, 2022$119M then
HNW client RAUM$81.2M as of Mar 4, 2026
Mar 5, 2022$99.1M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Mar 5, 20221 then
Employees (5.A)2 as of Mar 4, 2026
Mar 5, 20221 then
Private funds: no history
RAUM -1.5% over the last fiscal year-1.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $98.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $488,444derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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$81.2M82%
- Individuals$13.7M14%
- Corporations and businesses$3.8M3.8%
- Individual clients
- 57reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 202reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••• B•••• | Dallas, Tx | Mar 14, 2022 | 35 y | 2 |
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
- F••• B•••• from P•• S••••••• C•••••• M••••••••• L••Mar 14, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• F••• · President/Ccocontrolsince 07/2021 · owns 75% or more
- B••••• H•••• C• · Co-Ownercontrolsince 07/2021 · owns 5% to 10%
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 · 198 to 202Feb 27, 2025 to Mar 4, 2026
- Corporate clients · 6 to 5Feb 27, 2025 to Mar 4, 2026
- HNW clients · 26 to 25Feb 27, 2025 to Mar 4, 2026
- Individual clients · 53 to 57Feb 27, 2025 to Mar 4, 2026
- Discretionary RAUM · $96.4M to $96.4MFeb 27, 2025 to Mar 4, 2026
- HNW RAUM · $74.8M to $81.2MFeb 27, 2025 to Mar 4, 2026
- Individual RAUM · $11.9M to $13.7MFeb 27, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $3.7M to $2.3MFeb 27, 2025 to Mar 4, 2026
- RAUM · $100M to $98.7MFeb 27, 2025 to Mar 4, 2026
- Accounts · 209 to 198Feb 29, 2024 to Feb 27, 2025
- Corporate clients · 11 to 6Feb 29, 2024 to Feb 27, 2025
- HNW clients · 24 to 26Feb 29, 2024 to Feb 27, 2025
- Individual clients · 64 to 53Feb 29, 2024 to Feb 27, 2025
- Financial planning clients · unset to Feb 29, 2024 to Feb 27, 2025
- HQ city · unset to Feb 29, 2024 to Feb 27, 2025
- HQ state · unset to Feb 29, 2024 to Feb 27, 2025
- Discretionary RAUM · $95.1M to $96.4MFeb 29, 2024 to Feb 27, 2025
- HNW RAUM · $71.5M to $74.8MFeb 29, 2024 to Feb 27, 2025
- Individual RAUM · $12.8M to $11.9MFeb 29, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $3.1M to $3.7MFeb 29, 2024 to Feb 27, 2025
- RAUM · $98.3M to $100MFeb 29, 2024 to Feb 27, 2025
- Accounts · 214 to 209Sep 19, 2023 to Feb 29, 2024
- Corporate clients · 16 to 11Sep 19, 2023 to Feb 29, 2024
- HNW clients · 23 to 24Sep 19, 2023 to Feb 29, 2024
- Individual clients · 63 to 64Sep 19, 2023 to Feb 29, 2024
- Discretionary RAUM · $103M to $95.1MSep 19, 2023 to Feb 29, 2024
- HNW RAUM · $51.3M to $71.5MSep 19, 2023 to Feb 29, 2024
- Individual RAUM · $25.4M to $12.8MSep 19, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $1.6M to $3.1MSep 19, 2023 to Feb 29, 2024
- RAUM · $105M to $98.3MSep 19, 2023 to Feb 29, 2024
- Accounts · 207 to 214Apr 22, 2022 to Feb 10, 2023
- BD registered reps · 0 to 1Apr 22, 2022 to Feb 10, 2023
- Corporate clients · 19 to 16Apr 22, 2022 to Feb 10, 2023
- HNW clients · 26 to 23Apr 22, 2022 to Feb 10, 2023
- Individual clients · 70 to 63Apr 22, 2022 to Feb 10, 2023
- Employees · 1 to 2Apr 22, 2022 to Feb 10, 2023
- Discretionary RAUM · $117M to $103MApr 22, 2022 to Feb 10, 2023
- HNW RAUM · $99.1M to $51.3MApr 22, 2022 to Feb 10, 2023
- Individual RAUM · $18.7M to $25.4MApr 22, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $1.7M to $1.6MApr 22, 2022 to Feb 10, 2023
Signals
1 dated events
- I••••••• A•••••••• filed its initial SEC registration (Form ADV)Jul 12, 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
- Principal office phone
- 469-569-2145reportedpublic record, Form ADV, Mar 4, 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
- $98.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026