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
A•••• W••••• M••••••••• G••••
Legal name T•••• W••••• P••••••• L••
Latest filing Jun 16, 2026
First filing on the tape Apr 14, 2023 · 14 filings
SEC status approved since May 15, 2023
RAUM
$1.6B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$1.6B individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
17
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.6B as of Jun 16, 2026
Feb 20, 2024$1.1B then
HNW client RAUM$1.3B as of Jun 16, 2026
Feb 20, 2024$972M then
State-registered IARs (5.B.3)12 as of Jun 16, 2026
Feb 20, 202410 then
Employees (5.A)17 as of Jun 16, 2026
Feb 20, 202416 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 10 to 12
Practice profile
derived from the filing of Jun 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
- $112MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $551,464derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 4.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $815M, 576 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)
- 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$1.3B83%
- Individuals$272M17%
- Individual clients
- 620reported
- HNW clients
- 344reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,843reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $815M for 576 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• C•••••• | Plano, Tx | May 15, 2023 | 27 y | 2 |
| S••••• Z••••• | Plano, Tx | May 15, 2023 | 26 y | 3 |
| O••• T••••• M••••• | Plano, Tx | May 15, 2023 | 11 y | 2 |
| J••• R•••••• D••••• | Plano, Tx | May 15, 2023 | 11 y | 2 |
| M••• F•••••• | Plano, Tx | May 15, 2023 | 39 y | 3 |
| C•••• R••• H•••••• | Plano, Tx | May 15, 2023 | 28 y | 3 |
| B•••••• T••••• V•••••••Certified Financial Planner | Plano, Tx | May 17, 2023 | 26 y | 3 |
| C•••••• A••••• E•••• | Plano, Tx | May 17, 2023 | 36 y | 4 |
| R••••• E••••• H•••••• | Plano, Tx | May 17, 2023 | 39 y | 3 |
| M•••••• D•• B•••••• | Plano, Tx | Jan 24, 2024 | 11 y | 2 |
| B•••••• J•••• A•••••••Certified Financial Planner | Plano, Tx | Mar 25, 2025 | 12 y | 2 |
| R•••• W•••• W•••••Certified Financial Planner | Plano, Tx | Jun 19, 2025 | 13 y | 2 |
| J••• L••••••• M••••• | Plano, Tx | Jun 11, 2026 | 11 y | 1 |
| G•••••• C•••••• | Plano, Tx | Jun 18, 2026 | 23 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- G•••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 18, 2026 · Wirehouse to independent RIA
- J••• L••••••• M••••• from W•••• F•••• A•••••••Jun 11, 2026 · Wirehouse to independent RIA
- R•••• W•••• W••••• from A•••• W••••• M••••••••• L••Jun 19, 2025 · RIA to RIA
- B•••••• J•••• A••••••• from L•• E••••••••• L••Mar 25, 2025 · Other
- M•••••• D•• B•••••• from A•••••••• P•••••••• L••Jan 24, 2024 · RIA to RIA
- B•••••• T••••• V••••••• from W•••• F•••• A•••••••May 17, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• E••••• H•••••• from W•••• F•••• A•••••••May 17, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••• A••••• E•••• from W•••• F•••• A•••••••May 17, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••• Z••••• from W•••• F•••• A•••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- O••• T••••• M••••• from W•••• F•••• A•••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• R•••••• D••••• from W•••• F•••• A•••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••• F•••••• from W•••• F•••• A•••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••• R••• H•••••• from W•••• F•••• A•••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G••• C•••••• from W•••• F•••• A•••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 9 joined from W•••• F•••• A•••••••May 24, 2023 · Plano, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• G••• · Partnercontrolsince 04/2023 · owns less than 5%
- D•••••• J•••• R•••••• · Partnercontrolsince 01/2025 · owns less than 5%
- E••••• C••••••• A••••• · Partnercontrolsince 04/2023 · owns less than 5%
- F••••••• M••• · Partnercontrolsince 04/2023 · owns less than 5%
- H••••••• C••••• R••• · Partnercontrolsince 04/2023 · owns 10% to 25%
- H••••••• R•••••• E••••• · Partnercontrolsince 04/2023 · owns less than 5%
- M•••••• O•••• T••••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- V•••••••• B••••••• T••••• · Partnercontrolsince 04/2023 · owns less than 5%
- Z•••••• S••••• · Partnercontrolsince 04/2023 · owns less than 5%
Entity owners
- A•••• M••••••••• H••••••• L•• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• I•••••••• S••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Plano, Tx · principal | 14 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 16, 2026H••••••• C••••• R••• (PARTNER) left Schedule A between the filings of 2023-09-28 and 2026-06-16peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 16, 2026D•••••• J•••• R•••••• (PARTNER) appeared on Schedule A between the filings of 2023-09-28 and 2026-06-16peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,928 to 2,843Dec 2, 2025 to Feb 6, 2026
- Advisory employees · 10 to 12Dec 2, 2025 to Feb 6, 2026
- HNW clients · 317 to 344Dec 2, 2025 to Feb 6, 2026
- Individual clients · 574 to 620Dec 2, 2025 to Feb 6, 2026
- Assets in custody · $351M to $815MDec 2, 2025 to Feb 6, 2026
- Employees · 15 to 17Dec 2, 2025 to Feb 6, 2026
- Financial planning clients · 51-100 to 11-25Dec 2, 2025 to Feb 6, 2026
- State-registered IARs · 10 to 12Dec 2, 2025 to Feb 6, 2026
- Discretionary RAUM · $1.3B to $1.5BDec 2, 2025 to Feb 6, 2026
- HNW RAUM · $1.1B to $1.3BDec 2, 2025 to Feb 6, 2026
- Individual RAUM · $216M to $272MDec 2, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $41.2M to $45.2MDec 2, 2025 to Feb 6, 2026
- RAUM · $1.3B to $1.6BDec 2, 2025 to Feb 6, 2026
- Financial planning clients · 51-100 to 51-100Feb 4, 2025 to May 9, 2025
- Accounts · 2,796 to 2,928Oct 14, 2024 to Feb 4, 2025
- HNW clients · 309 to 317Oct 14, 2024 to Feb 4, 2025
- Individual clients · 535 to 574Oct 14, 2024 to Feb 4, 2025
- Assets in custody · $1.1B to $351MOct 14, 2024 to Feb 4, 2025
- Employees · 16 to 15Oct 14, 2024 to Feb 4, 2025
- Financial planning clients · 0 to 51-100Oct 14, 2024 to Feb 4, 2025
- Other offices · 0 to 2Oct 14, 2024 to Feb 4, 2025
- Discretionary RAUM · $1.1B to $1.3BOct 14, 2024 to Feb 4, 2025
- HNW RAUM · $972M to $1.1BOct 14, 2024 to Feb 4, 2025
- Individual RAUM · $168M to $216MOct 14, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $47.6M to $41.2MOct 14, 2024 to Feb 4, 2025
- Pension RAUM · 6639063.0 to unsetOct 14, 2024 to Feb 4, 2025
- RAUM · $1.1B to $1.3BOct 14, 2024 to Feb 4, 2025
- Accounts · 2,257 to 2,796Sep 28, 2023 to Feb 20, 2024
- Advisory employees · 9 to 10Sep 28, 2023 to Feb 20, 2024
- BD registered reps · 4 to 3Sep 28, 2023 to Feb 20, 2024
- Charity clients · 2.0 to unsetSep 28, 2023 to Feb 20, 2024
- Corporate clients · 4.0 to unsetSep 28, 2023 to Feb 20, 2024
- HNW clients · 257 to 309Sep 28, 2023 to Feb 20, 2024
- Individual clients · 545 to 535Sep 28, 2023 to Feb 20, 2024
- Assets in custody · $1.1B to $1.1BSep 28, 2023 to Feb 20, 2024
- Employees · 18 to 16Sep 28, 2023 to Feb 20, 2024
- State-registered IARs · 9 to 10Sep 28, 2023 to Feb 20, 2024
- Discretionary RAUM · $1.0B to $1.1BSep 28, 2023 to Feb 20, 2024
- HNW RAUM · $891M to $972MSep 28, 2023 to Feb 20, 2024
- Individual RAUM · $175M to $168MSep 28, 2023 to Feb 20, 2024
Signals
3 dated events
- Turner Owen Mccabe (Chief Compliance Officer) appeared on Schedule A of A•••• W••••• M••••••••• G••••Sep 28, 2023 · Control person joined · fact
- 9 advisors left W•••• F•••• A••••••• (Plano, TX) for A•••• W••••• M••••••••• G•••• on the same dayMay 24, 2023 · Team lift-out · derived
- A•••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)Apr 14, 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 email
- info@trustastra.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 717-519-7996reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 945-256-9942reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- trustastra.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-327-8820reportedpublic record, Form ADV, Jun 16, 2026
- Contact form
- trustastra.com/contact-usreportedpublished 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
- $112Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026