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
C••••• W••••• M••••••••• G••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 13, 2023 · 9 filings
SEC status approved since Mar 15, 2023
RAUM
$241M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.3M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$241M as of Mar 12, 2026
Feb 9, 2024$150M then
HNW client RAUM$192M as of Mar 12, 2026
Feb 9, 2024$96.8M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Feb 9, 20241 then
Employees (5.A)4 as of Mar 12, 2026
Feb 9, 20242 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $80.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $223,875derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$192M80%
- Individuals$48.4M20%
- Charitable organizations$214,3090.1%
- Individual clients
- 117reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,076reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| N••••••• S•••••• C•••••Certified Financial Planner, Chartered Financial Consultant | Austin, Tx | Mar 23, 2023 | 21 y | 1 |
| T••••• A••••••• J••••• | Austin, Tx | Mar 24, 2023 | 12 y | 1 |
| R••• C••••• J•••••• | Austin, Tx | May 22, 2026 | 10 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
- T••••• A••••••• J••••• from A••••••••• F•••••••• S•••••••• L••Mar 24, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- N••••••• S•••••• C••••• from A••••••••• F•••••••• S•••••••• L••Mar 23, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• N•••••••• S•••••• · Managing Principalcontrolsince 03/2023 · owns 50% to 75%
- J•••••• T•••••• A••••••• · Chief Compliance Officercontrolsince 03/2023 · owns 10% to 25%
- C•••••• N•••••••• S•••••• · Ownercontrolsince 02/2023 · owns 75% or more of P•••••• C•••••• I••••••••• I•••
Entity owners
- P•••••• C•••••• I••••••••• I••• · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Austin, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,009 to 1,076Feb 4, 2025 to Jan 14, 2026
- Advisory employees · 1 to 2Feb 4, 2025 to Jan 14, 2026
- HNW clients · 60 to 72Feb 4, 2025 to Jan 14, 2026
- Individual clients · 107 to 117Feb 4, 2025 to Jan 14, 2026
- Employees · 2 to 4Feb 4, 2025 to Jan 14, 2026
- Financial planning clients · 1-10 to 0Feb 4, 2025 to Jan 14, 2026
- State-registered IARs · 1 to 2Feb 4, 2025 to Jan 14, 2026
- Discretionary RAUM · $196M to $229MFeb 4, 2025 to Jan 14, 2026
- HNW RAUM · $154M to $192MFeb 4, 2025 to Jan 14, 2026
- Individual RAUM · $40.7M to $48.4MFeb 4, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $0 to $11.5MFeb 4, 2025 to Jan 14, 2026
- RAUM · $196M to $241MFeb 4, 2025 to Jan 14, 2026
- Financial planning clients · 1-10 to 1-10Jan 20, 2025 to Feb 4, 2025
- Accounts · 778 to 1,009Jun 19, 2024 to Jan 20, 2025
- HNW clients · 67 to 60Jun 19, 2024 to Jan 20, 2025
- Individual clients · 166 to 107Jun 19, 2024 to Jan 20, 2025
- Assets in custody · 7000000.0 to unsetJun 19, 2024 to Jan 20, 2025
- Custody of client assets · true to falseJun 19, 2024 to Jan 20, 2025
- Financial planning clients · 0 to 1-10Jun 19, 2024 to Jan 20, 2025
- Discretionary RAUM · $150M to $196MJun 19, 2024 to Jan 20, 2025
- HNW RAUM · $96.8M to $154MJun 19, 2024 to Jan 20, 2025
- Individual RAUM · $53.3M to $40.7MJun 19, 2024 to Jan 20, 2025
- RAUM · $150M to $196MJun 19, 2024 to Jan 20, 2025
- Accounts · 800 to 778Jun 21, 2023 to Feb 9, 2024
- Advisory employees · 2 to 1Jun 21, 2023 to Feb 9, 2024
- HNW clients · unset to 67.0Jun 21, 2023 to Feb 9, 2024
- Individual clients · 330 to 166Jun 21, 2023 to Feb 9, 2024
- Assets in custody · unset to 7000000.0Jun 21, 2023 to Feb 9, 2024
- Custody of client assets · false to trueJun 21, 2023 to Feb 9, 2024
- State-registered IARs · 2 to 1Jun 21, 2023 to Feb 9, 2024
- Discretionary RAUM · $120M to $150MJun 21, 2023 to Feb 9, 2024
- HNW RAUM · unset to 96767956.0Jun 21, 2023 to Feb 9, 2024
- Individual RAUM · $120M to $53.3MJun 21, 2023 to Feb 9, 2024
- RAUM · $120M to $150MJun 21, 2023 to Feb 9, 2024
- Accounts · 0 to 800Feb 13, 2023 to Jun 15, 2023
- Individual clients · unset to 330.0Feb 13, 2023 to Jun 15, 2023
- Discretionary RAUM · $0 to $120MFeb 13, 2023 to Jun 15, 2023
- Individual RAUM · unset to 120000000.0Feb 13, 2023 to Jun 15, 2023
- RAUM · $0 to $120MFeb 13, 2023 to Jun 15, 2023
Signals
1 dated events
- C••••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 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
- 737-414-6590reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 737-414-6565reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 737-414-6585reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/carlin-wealth-management-groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C•••••WEALTHMANAGEMENTGROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 737-414-6565reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $80.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026