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
B••••• C•••••• A•••••••
Latest filing Sep 29, 2025
First filing on the tape May 15, 2022 · 8 filings
SEC status approved since Jun 14, 2022
RAUM
$687M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$687M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$687M as of Sep 29, 2025
Sep 29, 2023$443M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Sep 29, 2025
Sep 29, 20231 then
Employees (5.A)3 as of Sep 29, 2025
Sep 29, 20233 then
Private funds: no history
RAUM +55% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Sep 29, 2025; 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
- $687MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $98.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$350M51%
- Banks and thrifts$187M27%
- Pooled investment vehicles$150M22%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.73 institutional_share=0.0 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 |
|---|---|---|---|---|
| J••• C•••••• R••••••• | Houston, Tx | Jun 14, 2022 | 33 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• J•••• C•••••• · Chief Executive Officer & Chief Compliance Officercontrolsince 08/2019 · owns 75% or more
Entity owners
- P••••••• P••••••• C•••••• M••••••••• · Affiliated Ownerdirect · owns 25% to 50%
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
- Financial planning clients · 0 to 0Sep 30, 2024 to Sep 29, 2025
- Discretionary RAUM · $548M to $500MSep 30, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $0 to $187MSep 30, 2024 to Sep 29, 2025
- Pooled vehicle RAUM · $130M to $150MSep 30, 2024 to Sep 29, 2025
- RAUM · $548M to $687MSep 30, 2024 to Sep 29, 2025
- Accounts · 5 to 7Sep 29, 2023 to Sep 30, 2024
- Pooled vehicle clients · 3 to 5Sep 29, 2023 to Sep 30, 2024
- Discretionary RAUM · $443M to $548MSep 29, 2023 to Sep 30, 2024
- Pooled vehicle RAUM · $30.0M to $130MSep 29, 2023 to Sep 30, 2024
- RAUM · $443M to $548MSep 29, 2023 to Sep 30, 2024
- Accounts · 0 to 5Jun 6, 2023 to Sep 29, 2023
- Pooled vehicle clients · unset to 3.0Jun 6, 2023 to Sep 29, 2023
- Financial planning clients · unset to 0Jun 6, 2023 to Sep 29, 2023
- Discretionary RAUM · $0 to $443MJun 6, 2023 to Sep 29, 2023
- Pooled vehicle RAUM · unset to 30000000.0Jun 6, 2023 to Sep 29, 2023
- RAUM · $0 to $443MJun 6, 2023 to Sep 29, 2023
- Related adviser · false to trueMay 15, 2022 to Oct 28, 2022
Signals
2 dated events
- B••••• C•••••• A••••••• reported RAUM $687.3M, up 25% from $548.0M (2024-09-30 to 2025-09-29)Sep 29, 2025 · RAUM change · derived
- B••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)May 15, 2022 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 2813560193reportedpublic record, Form ADV, Sep 29, 2025
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $687Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026