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
P••••••• W•••••
Legal name P••••••• W••••• L••
Latest filing Jul 28, 2026
First filing on the tape Jan 27, 2023 · 13 filings
SEC status approved since Feb 27, 2023
RAUM
$242M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$242M as of Jul 28, 2026
Feb 2, 2024$166M then
HNW client RAUM$205M as of Jul 28, 2026
Feb 2, 2024$126M then
State-registered IARs (5.B.3)3 as of Jul 28, 2026
Feb 2, 20242 then
Employees (5.A)3 as of Jul 28, 2026
Feb 2, 20242 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 3 to 3offices 3 to 2
Practice profile
derived from the filing of Jul 28, 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
- $80.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM 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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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$205M85%
- Individuals$37.1M15%
- Corporations and businesses$12,9730.0%
- Charitable organizations$9,3750.0%
- Individual clients
- 142reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 215reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A••••••••Chartered Financial Consultant | The Woodlands, Tx | Mar 2, 2023 | 27 y | 3 |
| C••• S••• M••••• | The Woodlands, Tx | Mar 3, 2023 | 16 y | 3 |
| D••••• J••••• A•••••••• | Phoneix, Az | Oct 21, 2024 | 12 y | 0 |
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
- C••• S••• M••••• from T••••••••• W••••• A•••••••Mar 3, 2023 · RIA to RIA
- D•••• A•••••••• from T••••••••• W••••• A•••••••Mar 2, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• D•••• · Managing Partnercontrolsince 09/2019 · owns less than 5%
- M•••••• C•••• S••• · Ccocontrolsince 09/2019 · owns less than 5%
- A••••••••• D•••• · Managing Partnercontrolsince 09/2019 · owns 75% or more of A•••••••• A•• M••••• C•••••• L••
- M•••••• C•••• S••• · Managing Partnercontrolsince 09/2019 · owns 25% to 50% of A•••••••• A•• M••••• C•••••• L••
Entity owners
- A•••••••• A•• M••••• C•••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| The Woodlands, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Las Vegas, NV1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Jan 27, 2026accounts (Item 5.F.2.f) moved from 581.0 to 215.0 (-63.0%) between the annual amendments of 2025-02-03 and 2026-01-27; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.7% percentile
What changed
consecutive filings, newest first
- Accounts · 581 to 215Jun 23, 2025 to Jan 27, 2026
- HNW clients · 65 to 73Jun 23, 2025 to Jan 27, 2026
- Individual clients · 140 to 142Jun 23, 2025 to Jan 27, 2026
- Discretionary RAUM · $206M to $242MJun 23, 2025 to Jan 27, 2026
- HNW RAUM · $164M to $205MJun 23, 2025 to Jan 27, 2026
- Individual RAUM · $41.8M to $37.1MJun 23, 2025 to Jan 27, 2026
- RAUM · $206M to $242MJun 23, 2025 to Jan 27, 2026
- Financial planning clients · 0 to 0Feb 3, 2025 to Jun 23, 2025
- Other offices · 3 to 2Feb 3, 2025 to Jun 23, 2025
- Accounts · 183 to 581Jul 24, 2024 to Feb 3, 2025
- Advisory employees · 2 to 3Jul 24, 2024 to Feb 3, 2025
- Charity clients · unset to 1.0Jul 24, 2024 to Feb 3, 2025
- Corporate clients · unset to 1.0Jul 24, 2024 to Feb 3, 2025
- HNW clients · 51 to 65Jul 24, 2024 to Feb 3, 2025
- Individual clients · 132 to 140Jul 24, 2024 to Feb 3, 2025
- Employees · 2 to 3Jul 24, 2024 to Feb 3, 2025
- State-registered IARs · 2 to 3Jul 24, 2024 to Feb 3, 2025
- Discretionary RAUM · $166M to $206MJul 24, 2024 to Feb 3, 2025
- HNW RAUM · $126M to $164MJul 24, 2024 to Feb 3, 2025
- Individual RAUM · $40.0M to $41.8MJul 24, 2024 to Feb 3, 2025
- RAUM · $166M to $206MJul 24, 2024 to Feb 3, 2025
- Other offices · 1 to 2Feb 2, 2024 to Jul 24, 2024
- Other offices · 2 to 3Jul 24, 2024 to Jul 24, 2024
- Accounts · 505 to 183Jul 21, 2023 to Feb 2, 2024
- HNW clients · 49 to 51Jul 21, 2023 to Feb 2, 2024
- Individual clients · 133 to 132Jul 21, 2023 to Feb 2, 2024
- Discretionary RAUM · $153M to $166MJul 21, 2023 to Feb 2, 2024
- HNW RAUM · $113M to $126MJul 21, 2023 to Feb 2, 2024
- Individual RAUM · $40.2M to $40.0MJul 21, 2023 to Feb 2, 2024
- RAUM · $153M to $166MJul 21, 2023 to Feb 2, 2024
- Accounts · 471 to 505May 26, 2023 to Jul 21, 2023
- HNW clients · 78 to 49May 26, 2023 to Jul 21, 2023
- Individual clients · 86 to 133May 26, 2023 to Jul 21, 2023
- Discretionary RAUM · $131M to $153MMay 26, 2023 to Jul 21, 2023
- HNW RAUM · $113M to $113MMay 26, 2023 to Jul 21, 2023
- Individual RAUM · $18.3M to $40.2MMay 26, 2023 to Jul 21, 2023
- RAUM · $131M to $153MMay 26, 2023 to Jul 21, 2023
- Other offices · 0 to 1Jan 30, 2023 to Mar 14, 2023
Signals
1 dated events
- P••••••• W••••• filed its initial SEC registration (Form ADV)Jan 27, 2023 · 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
- 281-968-2780reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/position-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- positionwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-968-2780reportedpublic record, Form ADV, Jul 28, 2026
- Contact form
- positionwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- positionwealth.com/the-firm/meet-the-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
- $80.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026