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
R••••••••• F•••••••• G••••• L••
Latest filing Jun 16, 2026
First filing on the tape Jul 15, 2022 · 16 filings
SEC status approved since Aug 15, 2022
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$46.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$186M as of Jun 16, 2026
Mar 22, 2023$107M then
HNW client RAUM$101M as of Jun 16, 2026
Mar 22, 2023$33.6M then
State-registered IARs (5.B.3)4 as of Jun 16, 2026
Mar 22, 20232 then
Employees (5.A)4 as of Jun 16, 2026
Mar 22, 20234 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 3 to 4offices 2 to 1
Practice profile
derived from the filing of Jun 16, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $46.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $185,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M55%
- Individuals$84.6M45%
- Individual clients
- 366reported
- HNW clients
- 74reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,004reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• C••••• S•••••• | Beaumont, Tx | Oct 26, 2022 | 22 y | 2 |
| E••• O••• M••••• | Beaumont, Tx | Oct 26, 2022 | 13 y | 1 |
| K••••••• M••••••• R•••• | Beaumont, Tx | Jun 24, 2025 | 14 y | 0 |
| H••••• A•••• B••••••• | Beaumont, Tx | Jun 9, 2026 | 12 y | 0 |
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 75% of current headcount3 left over 36 months
Left, latest
- H••• H•••••••• to L•• F•••••••• L••Jun 24, 2026 · RIA to affiliated broker-dealer or bank
- J••••• A••••• A••••••• to F••••••••• I••••••••• A••••••• L••Nov 3, 2025 · RIA to RIA
- S•••• A••••• H•••• to F••••••••• I••••••••• A••••••• L••Nov 3, 2025 · RIA to RIA
Joined, latest
- S•••• A••••• H•••• from N••••••• A•••••••• L••Jun 26, 2025 · RIA to RIA
- J••••• A••••• A••••••• from S•• W••••• M••••••••• L••Mar 19, 2025 · RIA to RIA
- C•••• C••••• S•••••• from A• W••••• M••••••••• L••Oct 26, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- E••• O••• M••••• from A• W••••• M••••••••• L••Oct 26, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for F••••••••• I••••••••• A••••••• L••Nov 3, 2025 · The Woodlands, Tx
- 2 joined from A• W••••• M••••••••• L••Dec 9, 2022 · Beaumont, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• E•••• O••• · Managing Membercontrolsince 07/2022 · owns 50% to 75%
- S••••••• C••••• C••••• · Managing Membercontrolsince 07/2022 · owns 50% to 75%
- R••••• K•••••••• M••••••• · Ccosince 07/2022 · owns less than 5%
Related persons
Schedule D 7.A
- E••• M•••••• L••real estaten
- R••••••••• N•••••••• L••real estaten
- S••••••• C••••• C•••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beaumont, Tx · principal | 4 | 1 | 1 | ||
| The Woodlands, Tx | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- The Woodlands, TX3 employees
- Nederland, TX2 employees
What changed
consecutive filings, newest first
- Other offices · 2 to 1Mar 30, 2026 to May 19, 2026
- Accounts · 805 to 1,004Dec 8, 2025 to Mar 30, 2026
- Advisory employees · 3 to 4Dec 8, 2025 to Mar 30, 2026
- Corporate clients · 1 to 0Dec 8, 2025 to Mar 30, 2026
- HNW clients · 51 to 74Dec 8, 2025 to Mar 30, 2026
- Individual clients · 336 to 366Dec 8, 2025 to Mar 30, 2026
- Employees · 3 to 4Dec 8, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 4Dec 8, 2025 to Mar 30, 2026
- Discretionary RAUM · $151M to $186MDec 8, 2025 to Mar 30, 2026
- HNW RAUM · $64.2M to $101MDec 8, 2025 to Mar 30, 2026
- Individual RAUM · $88.6M to $84.6MDec 8, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.3M to $0Dec 8, 2025 to Mar 30, 2026
- RAUM · $153M to $186MDec 8, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 26, 2025 to Jul 17, 2025
- Accounts · 689 to 805Jan 13, 2025 to Mar 21, 2025
- Advisory employees · 2 to 3Jan 13, 2025 to Mar 21, 2025
- Corporate clients · 2 to 1Jan 13, 2025 to Mar 21, 2025
- HNW clients · 25 to 51Jan 13, 2025 to Mar 21, 2025
- Individual clients · 302 to 336Jan 13, 2025 to Mar 21, 2025
- Employees · 2 to 3Jan 13, 2025 to Mar 21, 2025
- State-registered IARs · 2 to 3Jan 13, 2025 to Mar 21, 2025
- Discretionary RAUM · $122M to $151MJan 13, 2025 to Mar 21, 2025
- HNW RAUM · $35.7M to $64.2MJan 13, 2025 to Mar 21, 2025
- Individual RAUM · $85.5M to $88.6MJan 13, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $0 to $2.3MJan 13, 2025 to Mar 21, 2025
- RAUM · $122M to $153MJan 13, 2025 to Mar 21, 2025
- Other offices · 1 to 2Mar 1, 2024 to Nov 4, 2024
- Accounts · 574 to 689Jun 1, 2023 to Mar 1, 2024
- HNW clients · 22 to 25Jun 1, 2023 to Mar 1, 2024
- Individual clients · 261 to 302Jun 1, 2023 to Mar 1, 2024
- Employees · 4 to 2Jun 1, 2023 to Mar 1, 2024
- Discretionary RAUM · $107M to $122MJun 1, 2023 to Mar 1, 2024
- HNW RAUM · $33.6M to $35.7MJun 1, 2023 to Mar 1, 2024
- Individual RAUM · $73.4M to $85.5MJun 1, 2023 to Mar 1, 2024
- RAUM · $107M to $122MJun 1, 2023 to Mar 1, 2024
- Accounts · 634 to 574Dec 14, 2022 to Mar 22, 2023
- HNW clients · 17 to 22Dec 14, 2022 to Mar 22, 2023
- Individual clients · 283 to 261Dec 14, 2022 to Mar 22, 2023
- Pension plan clients · 5 to 0Dec 14, 2022 to Mar 22, 2023
- Insurance-licensed employees · 2 to 0Dec 14, 2022 to Mar 22, 2023
Signals
6 dated events
- H••• H•••••••• left R••••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2026-06-23)Jun 24, 2026 · Advisor changed firm · fact
- S•••• A••••• H•••• left R••••••••• F•••••••• G••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2025-11-04)Nov 3, 2025 · Advisor changed firm · fact
- J••••• A••••• A••••••• left R••••••••• F•••••••• G••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2025-11-04)Nov 3, 2025 · Advisor changed firm · fact
- 2 advisors left R••••••••• F•••••••• G••••• L•• (The Woodlands, TX) for F••••••••• I••••••••• A••••••• L•• on the same dayNov 3, 2025 · Team lift-out · derived
- 2 advisors left A• W••••• M••••••••• L•• (Beaumont, TX) for R••••••••• F•••••••• G••••• L•• on the same dayDec 9, 2022 · Team lift-out · derived
- R••••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jul 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
- Business email
- info@rfgtex.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 409-908-4160reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 409-724-1173reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 409-724-1174reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/retirement-financial-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- rfgtex.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 409-908-4160reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- rfgtex.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- rfgtex.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $46.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026