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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Former SEC-registered adviser
R•••••••• F•••••••• G•••• L••
Latest filing Mar 5, 2026
First filing on the tape Jan 5, 2022 · 17 filings
SEC status approved since Feb 9, 2022
RAUM
$189M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$189M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$189M as of Mar 5, 2026
Feb 9, 2023$115M then
HNW client RAUM$137M as of Mar 5, 2026
Feb 9, 2023$61.5M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Feb 9, 20233 then
Employees (5.A)5 as of Mar 5, 2026
Feb 9, 20235 then
Private funds: no history
RAUM +0.0% over the last fiscal year+18% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
- RAUM per advisor
- $62.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $397,031derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M73%
- Individuals$51.5M27%
- Individual clients
- 176reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 475reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- J••• M•••••• C•••••••• to K••••• W•••••• L••Apr 23, 2026 · RIA to RIA
- D••••• E•••••• T•••• to K••••• W•••••• L••Apr 23, 2026 · RIA to RIA
- M••••• S•••• B•••• to K••••• W•••••• L••Apr 23, 2026 · RIA to RIA
- D•••••• S•••••••• to P•••••••• F•••••••• P•••••••• L••Jan 12, 2026 · Other
- E••• M•••••• D•••• to F••••••••Oct 9, 2025 · RIA to RIA
- W•••• W•••••• G••••••••• to V•••• W••••• A••••••• L••Jul 10, 2023 · Other
Joined, latest
- E••• M•••••• D•••• from J••• M••••• S••••••••• L••Mar 10, 2023 · Wirehouse to independent RIA
- W•••• W•••••• G••••••••• from L•• F•••••••• L••Mar 15, 2022 · RIA to a newly registered adviser
- D••••• E•••••• T•••• from L•• F•••••••• L••Mar 15, 2022 · RIA to a newly registered adviser
- M••••• S•••• B•••• from L•• F•••••••• L••Mar 15, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for K••••• W•••••• L••Apr 23, 2026 · Austin, Tx · Firm absorbed
- 2 joined from L•• F•••••••• L••Apr 7, 2022 · Rock Hil, Sc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••••• S•••• · Managing Partner, Chief Compliance Officer, Chief Operating Officer, Chief Information Security Officercontrolsince 01/2015 · owns 10% to 25%
- T••••• D•••••• E•••••• · Managing Partner & Presidentcontrolsince 12/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 3Jan 13, 2026 to Mar 5, 2026
- Employees · 4 to 5Jan 13, 2026 to Mar 5, 2026
- State-registered IARs · 2 to 3Jan 13, 2026 to Mar 5, 2026
- Advisory employees · 3 to 2Nov 20, 2025 to Jan 13, 2026
- Employees · 5 to 4Nov 20, 2025 to Jan 13, 2026
- State-registered IARs · 3 to 2Nov 20, 2025 to Jan 13, 2026
- Advisory employees · 4 to 3Mar 17, 2025 to Nov 20, 2025
- Employees · 6 to 5Mar 17, 2025 to Nov 20, 2025
- State-registered IARs · 4 to 3Mar 17, 2025 to Nov 20, 2025
- Accounts · 452 to 475Feb 21, 2025 to Mar 17, 2025
- HNW clients · 48 to 54Feb 21, 2025 to Mar 17, 2025
- Individual clients · 172 to 176Feb 21, 2025 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Feb 21, 2025 to Mar 17, 2025
- Discretionary RAUM · $121M to $182MFeb 21, 2025 to Mar 17, 2025
- HNW RAUM · $81.5M to $137MFeb 21, 2025 to Mar 17, 2025
- Individual RAUM · $44.5M to $51.5MFeb 21, 2025 to Mar 17, 2025
- Non-discretionary RAUM · $5.3M to $6.6MFeb 21, 2025 to Mar 17, 2025
- RAUM · $126M to $189MFeb 21, 2025 to Mar 17, 2025
- Advisory employees · 3 to 4Feb 1, 2024 to Feb 21, 2025
- Employees · 5 to 6Feb 1, 2024 to Feb 21, 2025
- State-registered IARs · 3 to 4Feb 1, 2024 to Feb 21, 2025
- Accounts · 433 to 452Sep 8, 2023 to Feb 1, 2024
- HNW clients · 32 to 48Sep 8, 2023 to Feb 1, 2024
- Individual clients · 158 to 172Sep 8, 2023 to Feb 1, 2024
- Discretionary RAUM · $111M to $121MSep 8, 2023 to Feb 1, 2024
- HNW RAUM · $61.5M to $81.5MSep 8, 2023 to Feb 1, 2024
- Individual RAUM · $53.9M to $44.5MSep 8, 2023 to Feb 1, 2024
- Non-discretionary RAUM · $4.4M to $5.3MSep 8, 2023 to Feb 1, 2024
- RAUM · $115M to $126MSep 8, 2023 to Feb 1, 2024
- Advisory employees · 4 to 3Mar 30, 2023 to Jul 10, 2023
- Employees · 6 to 5Mar 30, 2023 to Jul 10, 2023
- State-registered IARs · 4 to 3Mar 30, 2023 to Jul 10, 2023
- Advisory employees · 3 to 4Feb 9, 2023 to Mar 30, 2023
- Employees · 5 to 6Feb 9, 2023 to Mar 30, 2023
- State-registered IARs · 3 to 4Feb 9, 2023 to Mar 30, 2023
- Accounts · 423 to 433Jun 16, 2022 to Feb 9, 2023
- HNW clients · 60 to 32Jun 16, 2022 to Feb 9, 2023
- Individual clients · 175 to 158Jun 16, 2022 to Feb 9, 2023
- Employees · 3 to 5Jun 16, 2022 to Feb 9, 2023
- Financial planning clients · 0 to 101-250Jun 16, 2022 to Feb 9, 2023
Signals
11 dated events
- R•••••••• F•••••••• G•••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $188.6M)May 1, 2026 · Left the SEC roster · derived
- M••••• S•••• B•••• left R•••••••• F•••••••• G•••• L•• for K••••• W•••••• L•• (registered 2026-03-26)Apr 23, 2026 · Advisor changed firm · fact
- J••• M•••••• C•••••••• left R•••••••• F•••••••• G•••• L•• for K••••• W•••••• L•• (registered 2026-04-08)Apr 23, 2026 · Advisor changed firm · fact
- D••••• E•••••• T•••• left R•••••••• F•••••••• G•••• L•• for K••••• W•••••• L•• (registered 2026-03-27)Apr 23, 2026 · Advisor changed firm · fact
- R•••••••• F•••••••• G•••• L••'s advisors moved to K••••• W•••••• L•• (Austin, TX): 3 of 3 registered, on the same dayApr 23, 2026 · Firm absorbed (people side) · derived
- D•••••• S•••••••• left R•••••••• F•••••••• G•••• L•• for P•••••••• F•••••••• P•••••••• L•• (registered 2026-01-20)Jan 12, 2026 · Advisor changed firm · fact
- E••• M•••••• D•••• left R•••••••• F•••••••• G•••• L•• for F•••••••• (registered 2026-07-31)Oct 9, 2025 · Advisor changed firm · fact
- W•••••• W•••• G••••••••• (Managing Partner) no longer on Schedule A of R•••••••• F•••••••• G•••• L•• (listed 2023-08-21, absent 2023-09-08)Sep 8, 2023 · Control person left · inference
- W•••• W•••••• G••••••••• left R•••••••• F•••••••• G•••• L•• for V•••• W••••• A••••••• L•• (registered 2023-08-11)Jul 10, 2023 · Advisor changed firm · fact
- 2 advisors left L•• F•••••••• L•• (Rock Hil, SC) for R•••••••• F•••••••• G•••• L•• within 3 daysApr 7, 2022 · Team lift-out · derived
- R•••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 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.
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
- Former SEC-registered 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