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
F•••• F•••• M•••••••••
Legal name F•••• F•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 2, 2023 · 7 filings
SEC status approved since Mar 31, 2023
RAUM
$407M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$407M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$407M as of Mar 27, 2026
Mar 21, 2024$315M then
HNW client RAUM$407M as of Mar 27, 2026
Mar 21, 2024$315M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 21, 20241 then
Employees (5.A)4 as of Mar 27, 2026
Mar 21, 20244 then
Private funds: no history
RAUM +8.4% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $16.0M, 2 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)
- 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$407M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 161reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.0M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• C•••••••• | Dallas, Tx | Jun 2, 2023 | 13 y | 0 |
| G•••••• T••••• M•••••• | Dallas, Tx | Nov 6, 2024 | 15 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R••• · Managing Director And Ccocontrolsince 04/2021 · 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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 146 to 161Mar 5, 2025 to Mar 27, 2026
- Advisory employees · 2 to 3Mar 5, 2025 to Mar 27, 2026
- Assets in custody · $14.5M to $16.0MMar 5, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 3Mar 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $375M to $407MMar 5, 2025 to Mar 27, 2026
- HNW RAUM · $375M to $407MMar 5, 2025 to Mar 27, 2026
- RAUM · $375M to $407MMar 5, 2025 to Mar 27, 2026
- Accounts · 69 to 146Mar 21, 2024 to Mar 5, 2025
- Advisory employees · 1 to 2Mar 21, 2024 to Mar 5, 2025
- Assets in custody · $132,000 to $14.5MMar 21, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 5, 2025
- State-registered IARs · 1 to 2Mar 21, 2024 to Mar 5, 2025
- Discretionary RAUM · $315M to $375MMar 21, 2024 to Mar 5, 2025
- HNW RAUM · $315M to $375MMar 21, 2024 to Mar 5, 2025
- RAUM · $315M to $375MMar 21, 2024 to Mar 5, 2025
- Accounts · 22 to 69Sep 21, 2023 to Mar 21, 2024
- Assets in custody · $113M to $132,000Sep 21, 2023 to Mar 21, 2024
- Employees · 3 to 4Sep 21, 2023 to Mar 21, 2024
- Discretionary RAUM · $113M to $315MSep 21, 2023 to Mar 21, 2024
- HNW RAUM · $113M to $315MSep 21, 2023 to Mar 21, 2024
- RAUM · $113M to $315MSep 21, 2023 to Mar 21, 2024
Signals
2 dated events
- F•••• F•••• M••••••••• reported RAUM $315.0M, up 178% from $113.2M (2023-09-21 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- F•••• F•••• M••••••••• filed its initial SEC registration (Form ADV)Mar 2, 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
- Principal office phone
- 972-571-4397reportedpublic record, Form ADV, Mar 27, 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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026