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
T•••••••• W•••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 10, 2023 · 9 filings
SEC status approved since Apr 7, 2023
RAUM
$208M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
2
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$208M as of Mar 25, 2026
Mar 12, 2024$173M then
HNW client RAUM$207M as of Mar 25, 2026
Mar 12, 2024$173M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 12, 20242 then
Employees (5.A)2 as of Mar 25, 2026
Mar 12, 20242 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $41.4MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +80%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$207M100%
- Individuals$498,3900.2%
- Charitable organizations$106,0000.1%
- Individual clients
- 4reported
- HNW clients
- 5reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 85reported
- Financial planning clients
- reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• N•••• S••••• | Houston, Tx | Apr 7, 2023 | 19 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
- S•••••• S•••• N•••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- C•••••• P•••• D•••• · Ciocontrolsince 01/2023 · owns 50% to 75% of T•••••••• H•••••••• L••
- S•••••• S•••• N•••• · Ceocontrolsince 01/2023 · owns 50% to 75% of T•••••••• H•••••••• L••
Entity owners
- T•••••••• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••••• R••• E•••••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 25, 2026discretionary share of RAUM moved from 100.0% to 79.0% between the annual amendments of 2025-03-07 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 5 to 85Dec 5, 2025 to Mar 25, 2026
- HNW clients · 4 to 5Dec 5, 2025 to Mar 25, 2026
- Individual clients · 1 to 4Dec 5, 2025 to Mar 25, 2026
- Pension plan clients · 0 to 1Dec 5, 2025 to Mar 25, 2026
- Discretionary RAUM · $182M to $164MDec 5, 2025 to Mar 25, 2026
- HNW RAUM · $182M to $207MDec 5, 2025 to Mar 25, 2026
- Individual RAUM · $159,089 to $498,390Dec 5, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $0 to $43.5MDec 5, 2025 to Mar 25, 2026
- RAUM · $182M to $208MDec 5, 2025 to Mar 25, 2026
- Accounts · 2 to 5Jul 1, 2024 to Mar 7, 2025
- HNW clients · 2 to 4Jul 1, 2024 to Mar 7, 2025
- Individual clients · 0 to 1Jul 1, 2024 to Mar 7, 2025
- Financial planning clients · unset to Jul 1, 2024 to Mar 7, 2025
- Discretionary RAUM · $173M to $182MJul 1, 2024 to Mar 7, 2025
- HNW RAUM · $173M to $182MJul 1, 2024 to Mar 7, 2025
- Individual RAUM · $0 to $159,089Jul 1, 2024 to Mar 7, 2025
- RAUM · $173M to $182MJul 1, 2024 to Mar 7, 2025
- Assets in custody · 0.0 to unsetMar 12, 2024 to Apr 17, 2024
- Custody of client assets · true to falseMar 12, 2024 to Apr 17, 2024
- Discretionary RAUM · $152M to $173MSep 6, 2023 to Mar 12, 2024
- HNW RAUM · $152M to $173MSep 6, 2023 to Mar 12, 2024
- RAUM · $152M to $173MSep 6, 2023 to Mar 12, 2024
- Accounts · 0 to 2Mar 10, 2023 to Sep 6, 2023
- Charity clients · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- Corporate clients · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- HNW clients · unset to 2.0Mar 10, 2023 to Sep 6, 2023
- Individual clients · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- Pension plan clients · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- Pooled vehicle clients · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- Discretionary RAUM · $0 to $152MMar 10, 2023 to Sep 6, 2023
- HNW RAUM · unset to 151916768.0Mar 10, 2023 to Sep 6, 2023
- Individual RAUM · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- Pension RAUM · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- Pooled vehicle RAUM · unset to 0.0Mar 10, 2023 to Sep 6, 2023
- RAUM · $0 to $152MMar 10, 2023 to Sep 6, 2023
- Business name · T•••••••• W••••• L••• to T•••••••• W•••••• L••Mar 10, 2023 to Mar 10, 2023
- Legal name · T•••••••• W•••••• L••. to T•••••••• W•••••• L••Mar 10, 2023 to Mar 10, 2023
Signals
1 dated events
- T•••••••• W••••• L••• filed its initial SEC registration (Form ADV)Mar 10, 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
- 713-784-4848reportedpublic record, Form ADV, Mar 25, 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026