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••••• W••••• A••••••• L••
Latest filing Mar 16, 2026
First filing on the tape May 24, 2024 · 6 filings
SEC status approved since Jun 24, 2024
RAUM
$184M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
92%
$169M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$91.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$184M as of Mar 16, 2026
Mar 3, 2025$131M then
HNW client RAUM$140M as of Mar 16, 2026
Mar 3, 2025$92.9M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 3, 20252 then
Employees (5.A)3 as of Mar 16, 2026
Mar 3, 20252 then
Private funds: no history
RAUM +40% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 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
- $91.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $432,229derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $78.3M, 89 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M76%
- Individuals$28.7M16%
- Pension and profit-sharing plans$13.0M7.1%
- Corporations and businesses$2.0M1.1%
- Individual clients
- 96reported
- HNW clients
- 49reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 425reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $78.3M for 89 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W•••••• D•••••Certified Financial Planner | Fort Worth, Tx | Jan 12, 2023 | 19 y | 3 |
| R••••• W••••• S••••••Certified Financial Planner | Fort Worth, Tx | Apr 15, 2024 | 39 y | 2 |
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
- R••••• W••••• S•••••• from S•• F•••••••• P•••••••• L•••••Apr 15, 2024 · Other
- D•••• W•••••• D••••• from D••••• W••••• M••••••••• L••Jan 12, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• D••••• W•••••• · Owner / Chief Compliance Officercontrolsince 09/2022 · owns 50% to 75%
- S••••••• R•••••• W••••• · Ownercontrolsince 09/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
- L•• O••••• O• D•••• D•••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Worth, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Worth, TX1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $130,819,866 to $183,697,357 (+40.0%) between the annual amendments of 2025-03-03 and 2026-03-16; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 376 to 425May 13, 2025 to Mar 16, 2026
- HNW clients · 38 to 49May 13, 2025 to Mar 16, 2026
- Individual clients · 102 to 96May 13, 2025 to Mar 16, 2026
- Pension plan clients · 10 to 9May 13, 2025 to Mar 16, 2026
- Assets in custody · $68.8M to $78.3MMay 13, 2025 to Mar 16, 2026
- Employees · 2 to 3May 13, 2025 to Mar 16, 2026
- Discretionary RAUM · $131M to $171MMay 13, 2025 to Mar 16, 2026
- HNW RAUM · $92.9M to $140MMay 13, 2025 to Mar 16, 2026
- Individual RAUM · $25.8M to $28.7MMay 13, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $0 to $13.0MMay 13, 2025 to Mar 16, 2026
- Pension RAUM · $10.6M to $13.0MMay 13, 2025 to Mar 16, 2026
- RAUM · $131M to $184MMay 13, 2025 to Mar 16, 2026
- Assets in custody · $3.9M to $68.8MMar 3, 2025 to May 13, 2025
- Financial planning clients · 0 to 0Mar 3, 2025 to May 13, 2025
- Accounts · 359 to 376Sep 18, 2024 to Mar 3, 2025
- Corporate clients · unset to 1.0Sep 18, 2024 to Mar 3, 2025
- HNW clients · 37 to 38Sep 18, 2024 to Mar 3, 2025
- Individual clients · 106 to 102Sep 18, 2024 to Mar 3, 2025
- Pension plan clients · 8 to 10Sep 18, 2024 to Mar 3, 2025
- HQ city · IOWA PARK to FORT WORTHSep 18, 2024 to Mar 3, 2025
- Discretionary RAUM · $96.9M to $131MSep 18, 2024 to Mar 3, 2025
- HNW RAUM · $80.6M to $92.9MSep 18, 2024 to Mar 3, 2025
- Individual RAUM · $22.0M to $25.8MSep 18, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $14.8M to $0Sep 18, 2024 to Mar 3, 2025
- Pension RAUM · $9.1M to $10.6MSep 18, 2024 to Mar 3, 2025
- RAUM · $112M to $131MSep 18, 2024 to Mar 3, 2025
- Financial planning clients · unset to 0May 24, 2024 to May 24, 2024
Signals
1 dated events
- B••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 24, 2024 · 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 phone
- 682-350-1055reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/90641498/ADMIN/FEED/POSTSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- BRAZOSWA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 682-350-1055reportedpublic record, Form ADV, Mar 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
- $91.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026