DFX Intelligence

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N•••• W•••••

Wealth manager with institutional or fund businessSEC-registered· Houston, Texaswebsite

Wealth manager with institutional or fund business, based in Houston, Texas, reporting $294M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $294M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +25%
Private clients: 32%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $235M to $294M (+24.8%) on the Form ADV filed 27 Mar 2026, while advisors on the filing rose 3 to 3.

Every filed figure, and the identifiersCRD 317730 · SEC 801-129931 · 13 filingsShow

CRD 317730SEC 801-129931Legal name N•••• W••••• L••First filing on the tape Dec 13, 2021, latest Mar 27, 2026SEC status approved since Apr 18, 2024IAPD

RAUM

$294M

reported, Item 5.F

Discretionary

33%

of RAUM

Private clients

32%

$94.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$97.9M

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +25% over the last fiscal year · the tape starts Dec 13, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$294M as of Mar 27, 2026

Mar 30, 2022$0 then

HNW client RAUM$35.8M as of Mar 27, 2026

Mar 21, 2024$20.0M then

State-registered IARs (5.B.3)3 as of Mar 27, 2026

Mar 30, 20222 then

Employees (5.A)8 as of Mar 27, 2026

Mar 30, 20222 then

Private funds: no history

RAUM +25% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $97.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 21derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.1MderivedHNW RAUM over HNW clients
Average account: $4.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 33%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.7derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +25%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +77%derived
Compensation: percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

68% corporations and businesses, 20% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Corporations and businesses$198M68%
Individuals$58.5M20%
High-net-worth individuals$35.8M12%

Individual clients: 55reported
HNW clients: 7reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 69reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, performancereported
Class basis: private_client_share=0.32 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

E••••• S••• A•••••• from M•••••• W•••••
Aug 19, 2022 · Other
A•• L••••• R•••• F••••• from M•••••• W•••••
Jan 12, 2022 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M•••••• W•••••
Jul 27, 2021 · Col Polanco, Miguel Hidalgo

Teams out Teams in

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
A•• L••••• R•••• F•••••	Ciudad De Mexico	Jan 12, 2022	12 y	1
A•••••••• A••• C•••••Chartered Financial Analyst	Houston, Tx	May 3, 2022	11 y	0
E••••• S••• A••••••Chartered Financial Analyst	Houston, Tx	Aug 19, 2022	16 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• M•••••••• M••••••• · Chief Executive Officer And Manager Of Managercontrol
since 02/2024 · owns 25% to 50%
R•••• F•••••• A••• L••••• · Chief Compliance Officercontrol
since 11/2021 · owns less than 5%
S••• A••••••• E••••• · Ultimate Beneficial Ownercontrol
since 11/2021 · owns 25% to 50%
B•••••• M•••••••• M••••••• · Shareholder (Ubo) And Executive Officercontrol
since 05/2019 · owns 25% to 50% of N•••• A•••• M••••••••• S••• D• C•••
C•••• P••••••• F•••••••• · Managing Member And Ubocontrol
since 08/2019 · owns 75% or more of R•••••••• H••••••• L••

All 9 control persons

C•••• P••••••• P•••• · Managing Member And Ubocontrol
since 08/2019 · owns 75% or more of W••••••••• H••••••• L••
C•••• P••••••• P•••• · Managing Member And Ubocontrol
since 08/2019 · owns 75% or more of E••••••• H••••••• L••
C•••• P••••••• S•••••• J••• L••• · Managing Member And Ubocontrol
since 11/2018 · owns 75% or more of C••••• I••••••••• L••
S••• A••••••• E••••• · Shareholder (Ubo) And Executive Officercontrol
since 05/2019 · owns 25% to 50% of N•••• A•••• M••••••••• S••• D• C•••

Entity owners

N•••• M••••••••• C•••••• L•• · Managing Member
direct · owns 75% or more
N•••• A•••• M••••••••• S••• D• C••• · Shareholder
indirect · owns 75% or more of N•••• M••••••••• C•••••• L••
C••••• I••••••••• L•• · Member
direct · owns less than 5%
E••••••• H••••••• L•• · Member
direct · owns less than 5%
R•••••••• H••••••• L•• · Member
direct · owns less than 5%

All 6 entity owners

W••••••••• H••••••• L•• · Member
direct · 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
Houston, Tx · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

Cdmx, Mexico3 employees

ADV anomalies

3 against comparable advisers; where to look, not conclusions

institutional to wealth shiftCombination · filing Mar 27, 2026
institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $235,362,987 to $293,720,804, advisors 3 to 3, private clients 35 to 62, offices 1 to 1 (2025-03-17 to 2026-03-27)
peers: independent wealth managers, $100M to $500M (5,682)
client mix shiftChange between filings · filing Mar 27, 2026
private-client share of RAUM moved from 12.0% to 32.0% between the annual amendments of 2025-03-17 and 2026-03-27
peers: independent wealth managers, $100M to $500M (5,682)
institutional asset share shiftChange between filings · filing Mar 27, 2026
institutional share of RAUM moved from 88.0% to 67.0% between the annual amendments of 2025-03-17 and 2026-03-27
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

RAUM · $235M to $294M
Mar 17, 2025 to Mar 27, 2026
Accounts · 41 to 69
Mar 17, 2025 to Mar 27, 2026
Advisory employees · 6 to 7
Mar 17, 2025 to Mar 27, 2026
BD registered reps · 3 to 0
Mar 17, 2025 to Mar 27, 2026
Corporate clients · 11 to 8
Mar 17, 2025 to Mar 27, 2026

Full history · 61 changes

HNW clients · 4 to 7
Mar 17, 2025 to Mar 27, 2026
Individual clients · 31 to 55
Mar 17, 2025 to Mar 27, 2026
Discretionary RAUM · $62.8M to $97.0M
Mar 17, 2025 to Mar 27, 2026
HNW RAUM · $21.3M to $35.8M
Mar 17, 2025 to Mar 27, 2026
Individual RAUM · $6.1M to $58.5M
Mar 17, 2025 to Mar 27, 2026
Non-discretionary RAUM · $173M to $197M
Mar 17, 2025 to Mar 27, 2026
Accounts · 28 to 41
Dec 2, 2024 to Mar 17, 2025
Advisory employees · 3 to 6
Dec 2, 2024 to Mar 17, 2025
BD registered reps · 0 to 3
Dec 2, 2024 to Mar 17, 2025
Corporate clients · 6 to 11
Dec 2, 2024 to Mar 17, 2025
HNW clients · 6 to 4
Dec 2, 2024 to Mar 17, 2025
Individual clients · 20 to 31
Dec 2, 2024 to Mar 17, 2025
Financial planning clients · 0 to 0
Dec 2, 2024 to Mar 17, 2025
Discretionary RAUM · $95.0M to $62.8M
Dec 2, 2024 to Mar 17, 2025
HNW RAUM · $20.0M to $21.3M
Dec 2, 2024 to Mar 17, 2025
Individual RAUM · $6.6M to $6.1M
Dec 2, 2024 to Mar 17, 2025
Non-discretionary RAUM · $90.0M to $173M
Dec 2, 2024 to Mar 17, 2025
RAUM · $185M to $235M
Dec 2, 2024 to Mar 17, 2025
Accounts · 7 to 28
Aug 19, 2022 to Mar 19, 2024
Advisory activities · 5 to 4
Aug 19, 2022 to Mar 19, 2024
Corporate clients · 1 to 6
Aug 19, 2022 to Mar 19, 2024
HNW clients · 2 to 6
Aug 19, 2022 to Mar 19, 2024
Individual clients · 2 to 20
Aug 19, 2022 to Mar 19, 2024
Assets in custody · 5760559.0 to unset
Aug 19, 2022 to Mar 19, 2024
Custody of client assets · true to false
Aug 19, 2022 to Mar 19, 2024
Employees · 5 to 8
Aug 19, 2022 to Mar 19, 2024
Discretionary RAUM · $5.8M to $95.0M
Aug 19, 2022 to Mar 19, 2024
HNW RAUM · $2.6M to $20.0M
Aug 19, 2022 to Mar 19, 2024
Individual RAUM · $715,500 to $6.6M
Aug 19, 2022 to Mar 19, 2024
Non-discretionary RAUM · $0 to $90.0M
Aug 19, 2022 to Mar 19, 2024
RAUM · $5.8M to $185M
Aug 19, 2022 to Mar 19, 2024
Related adviser · false to true
Aug 19, 2022 to Mar 19, 2024
Accounts · 6 to 7
May 17, 2022 to Jul 8, 2022
Advisory activities · 4 to 5
May 17, 2022 to Jul 8, 2022
Individual clients · 1 to 2
May 17, 2022 to Jul 8, 2022
Assets in custody · $6.8M to $5.8M
May 17, 2022 to Jul 8, 2022
Employees · 3 to 5
May 17, 2022 to Jul 8, 2022
Financial planning clients · unset to 0
May 17, 2022 to Jul 8, 2022
Discretionary RAUM · $6.8M to $5.8M
May 17, 2022 to Jul 8, 2022
Individual RAUM · $700,500 to $715,500
May 17, 2022 to Jul 8, 2022
RAUM · $6.8M to $5.8M
May 17, 2022 to Jul 8, 2022
Accounts · 0 to 6
Mar 30, 2022 to May 17, 2022
Advisory employees · 1 to 3
Mar 30, 2022 to May 17, 2022
Corporate clients · unset to 1.0
Mar 30, 2022 to May 17, 2022
HNW clients · unset to 2.0
Mar 30, 2022 to May 17, 2022
Individual clients · unset to 1.0
Mar 30, 2022 to May 17, 2022
Assets in custody · unset to 6845559.0
Mar 30, 2022 to May 17, 2022
Custody of client assets · false to true
Mar 30, 2022 to May 17, 2022
Employees · 2 to 3
Mar 30, 2022 to May 17, 2022
State-registered IARs · 2 to 3
Mar 30, 2022 to May 17, 2022
Discretionary RAUM · $0 to $6.8M
Mar 30, 2022 to May 17, 2022
HNW RAUM · unset to 2600857.0
Mar 30, 2022 to May 17, 2022
Individual RAUM · unset to 700500.0
Mar 30, 2022 to May 17, 2022
RAUM · $0 to $6.8M
Mar 30, 2022 to May 17, 2022
HQ city · SHENANDOAH to HOUSTON
Dec 13, 2021 to Mar 30, 2022
Other offices · 0 to 1
Dec 13, 2021 to Mar 30, 2022

Signals

4 dated events

••• Locked
Mar 19, 2024 · Control person left · inference
••• Locked
Mar 19, 2024 · Control person left · inference
••• Locked
May 17, 2022 · Control person joined · fact
••• Locked
Dec 13, 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: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $97.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026