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
H••••••• W••••• P•••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Apr 4, 2022 · 25 filings
SEC status approved since May 5, 2022
RAUM
$373M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$352M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$53.2M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$373M as of Mar 4, 2026
Mar 9, 2023$219M then
HNW client RAUM$272M as of Mar 4, 2026
Mar 9, 2023$126M then
State-registered IARs (5.B.3)5 as of Mar 4, 2026
Mar 9, 20236 then
Employees (5.A)10 as of Mar 4, 2026
Mar 9, 202311 then
Private funds: no history
RAUM +7.5% over the last fiscal year+19% a year over threeIARs 6 to 5
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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $53.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $348,491derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $319MreportedItem 5.I
- Custody
- $174M, 314 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$272M74%
- Individuals$79.3M21%
- Pension and profit-sharing plans$14.2M3.9%
- Corporations and businesses$3.2M0.9%
- Charitable organizations$445,1620.1%
- Individual clients
- 393reported
- HNW clients
- 230reported
- Pension plan clients
- 21reported
- Charitable clients
- 2reported
- Accounts
- 1,069reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $174M for 314 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• K••••• | Baton Rouge, La | Jul 29, 2022 | 10 y | 2 |
| J••••••• F•••• S•••• | Baton Rouge, La | Jul 29, 2022 | 21 y | 3 |
| P••• V•••••• S••••••••• | Baton Rouge, La | Jul 29, 2022 | 23 y | 6 |
| T••••• B••••• W••• | Harvest, Al | Jul 29, 2022 | 14 y | 2 |
| W•••••• D••••• S••••••• | Baton Rouge, La | Feb 2, 2024 | 26 y | 4 |
| J••• G•••••• W••• | Baton Rouge, La | Aug 15, 2024 | 12 y | 1 |
| B•••• J• M••••••• | Baton Rouge, La | Mar 18, 2026 | 14 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount5 left over 36 months
Left, latest
- M•••••• S•••• M••••• to L•• F•••••••• L••Dec 26, 2025 · RIA to affiliated broker-dealer or bank
- A••••• R••••• S••••••• to S•••••• W••••• P•••••••• L••Mar 7, 2025 · RIA to affiliated broker-dealer or bank
- E•••••••• C•••• W••••••• Y•••• to D•••••••• F•••••••• P•••••••Oct 9, 2024 · RIA to a state-registered adviser
- J••• A••••• W•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 24, 2024 · RIA to affiliated broker-dealer or bank
- R••••• V• B•••••• to M•••• A•• A••••••••• L••Jan 10, 2024 · RIA to a state-registered adviser
Joined, latest
- B•••• J• M••••••• from S•••••• W••••• P•••••••• L••Mar 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• S•••• M••••• from P••••••• F•••••••• S•••••••• I•••Mar 19, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• G•••••• W••• from A••••••••• F•••••••• S•••••••• L••Aug 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- W•••••• D••••• S••••••• from F•••• A••••• A••••••• S•••••••• I•••Feb 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- A••••• R••••• S••••••• from A••••••••• F•••••••• S•••••••• L••Jul 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- E•••••••• C•••• W••••••• Y•••• from P•••••• A•••••• G••••• L••Jan 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- J••• A••••• W•••••• from S•••••• W••••• P•••••••• L••Jul 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- P••• V•••••• S••••••••• from S•••••• W••••• P•••••••• L••Jul 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• F•••• S•••• from S•••••• W••••• P•••••••• L••Jul 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••• B••••• W••• from S•••••• W••••• P•••••••• L••Jul 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- R••••• K••••• from S•••••• W••••• P•••••••• L••Jul 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S•••••• W••••• P•••••••• L••Aug 4, 2022 · Deridder, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• P•••• V•••••• · Managing Member/Ccocontrolsince 03/2022 · 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 |
|---|---|---|---|---|---|
| Baton Rouge, La · principal | 7 | 1 | 1 | ||
| Deridder, La | 0 | 0 | 0 | ||
| Edgewater, Md | 0 | 0 | 0 | ||
| Lafayette, La | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX1 employees
- Lafayette, LA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,146 to 1,069Dec 26, 2025 to Mar 4, 2026
- Corporate clients · 9 to 6Dec 26, 2025 to Mar 4, 2026
- HNW clients · 225 to 230Dec 26, 2025 to Mar 4, 2026
- Individual clients · 446 to 393Dec 26, 2025 to Mar 4, 2026
- Pension plan clients · 8 to 21Dec 26, 2025 to Mar 4, 2026
- Assets in custody · $164M to $174MDec 26, 2025 to Mar 4, 2026
- Financial planning clients · 26-50 to 1-10Dec 26, 2025 to Mar 4, 2026
- Other offices · 4 to 3Dec 26, 2025 to Mar 4, 2026
- Discretionary RAUM · $347M to $365MDec 26, 2025 to Mar 4, 2026
- HNW RAUM · $256M to $272MDec 26, 2025 to Mar 4, 2026
- Individual RAUM · $78.8M to $79.3MDec 26, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $0 to $7.8MDec 26, 2025 to Mar 4, 2026
- Pension RAUM · $4.7M to $14.2MDec 26, 2025 to Mar 4, 2026
- RAUM · $347M to $373MDec 26, 2025 to Mar 4, 2026
- Advisory employees · 6 to 5Oct 24, 2025 to Dec 26, 2025
- BD registered reps · 7 to 6Oct 24, 2025 to Dec 26, 2025
- Employees · 11 to 10Oct 24, 2025 to Dec 26, 2025
- State-registered IARs · 6 to 5Oct 24, 2025 to Dec 26, 2025
- Other offices · 3 to 4Sep 1, 2025 to Oct 24, 2025
- Accounts · 1,074 to 1,146Dec 4, 2024 to Apr 9, 2025
- Advisory employees · 7 to 6Dec 4, 2024 to Apr 9, 2025
- Charity clients · 3 to 2Dec 4, 2024 to Apr 9, 2025
- Corporate clients · 6 to 9Dec 4, 2024 to Apr 9, 2025
- HNW clients · 186 to 225Dec 4, 2024 to Apr 9, 2025
- Individual clients · 471 to 446Dec 4, 2024 to Apr 9, 2025
- Pension plan clients · 6 to 8Dec 4, 2024 to Apr 9, 2025
- Assets in custody · unset to 163899311.0Dec 4, 2024 to Apr 9, 2025
- Custody of client assets · false to trueDec 4, 2024 to Apr 9, 2025
- Employees · 12 to 11Dec 4, 2024 to Apr 9, 2025
- Financial planning clients · 1-10 to 26-50Dec 4, 2024 to Apr 9, 2025
- State-registered IARs · 7 to 6Dec 4, 2024 to Apr 9, 2025
- Discretionary RAUM · $289M to $347MDec 4, 2024 to Apr 9, 2025
- HNW RAUM · $197M to $256MDec 4, 2024 to Apr 9, 2025
- Individual RAUM · $82.5M to $78.8MDec 4, 2024 to Apr 9, 2025
- Pension RAUM · $1.8M to $4.7MDec 4, 2024 to Apr 9, 2025
- RAUM · $289M to $347MDec 4, 2024 to Apr 9, 2025
- BD registered reps · 6 to 7Mar 13, 2024 to Oct 16, 2024
- Other offices · 4 to 3Mar 13, 2024 to Oct 16, 2024
- Accounts · 864 to 1,074Feb 20, 2024 to Mar 13, 2024
- Advisory employees · 4 to 7Feb 20, 2024 to Mar 13, 2024
Signals
7 dated events
- M•••••• S•••• M••••• left H••••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2026-01-05)Dec 26, 2025 · a•••••• firm change · fact
- A••••• R••••• S••••••• left H••••••• W••••• P•••••••• L•• for S•••••• W••••• P•••••••• L•• (registered 2025-03-17)Mar 7, 2025 · a•••••• firm change · fact
- E•••••••• C•••• W••••••• Y•••• left H••••••• W••••• P•••••••• L•• for D•••••••• F•••••••• P••••••• (registered 2024-10-16)Oct 9, 2024 · a•••••• firm change · fact
- J••• A••••• W•••••• left H••••••• W••••• P•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-01-25)Jan 24, 2024 · a•••••• firm change · fact
- R••••• V• B•••••• left H••••••• W••••• P•••••••• L•• for M•••• A•• A••••••••• L•• (registered 2024-12-19)Jan 10, 2024 · a•••••• firm change · fact
- 4 advisors left S•••••• W••••• P•••••••• L•• (Deridder, LA) for H••••••• W••••• P•••••••• L•• on the same dayAug 4, 2022 · Team lift-out · derived
- H••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 4, 2022 · ria f•••• adv filing · 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
- i•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- b•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 225-771-8595reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 225-427-0503reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 225-448-2178reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/10866295reportedpublic record, Form ADV, Sep 18, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 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
- $53.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026