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
O••••• A•••••••
Legal name O••••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Aug 21, 2023 · 10 filings
SEC status approved since Sep 19, 2023
RAUM
$296M
reported, Item 5.F
Discretionary
35%
of RAUM
Private clients
100%
$296M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$98.6M
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
10 filings and snapshots on the tape
RAUM$296M as of Jun 30, 2026
Jan 17, 2024$125M then
HNW client RAUM$296M as of Jun 30, 2026
Jan 17, 2024$123M then
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Jan 17, 20241 then
Employees (5.A)4 as of Jun 30, 2026
Jan 17, 20241 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 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
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $19.7MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%derivedof RAUM
- Institutional
- 0.0%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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$296M100%
- Individual clients
- n/areported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 84reported
- Financial planning clients
- 1-10reported
- 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 |
|---|---|---|---|---|
| C••••••• E•••••••• C•••• | Dallas, Tx | Sep 19, 2023 | 12 y | 1 |
| S•••• E•••••••• K••••• | Dallas, Tx | Jul 30, 2025 | 11 y | 0 |
| C•••••• S•••••••• L•••••••Certified Financial Planner | Dallas, Tx | Jan 7, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••••••• L••••••• from M••••• F••••• O•••••Jan 7, 2026 · RIA to RIA
- C••••••• E•••••••• C•••• from M••••• F••••• O•••••Sep 19, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• C•••••••• E•••••••• · Managing Member/Ccocontrolsince 07/2023 · 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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 69 to 84Sep 15, 2025 to Feb 5, 2026
- HNW clients · 43 to 15Sep 15, 2025 to Feb 5, 2026
- Employees · 6 to 4Sep 15, 2025 to Feb 5, 2026
- Discretionary RAUM · $113M to $105MSep 15, 2025 to Feb 5, 2026
- HNW RAUM · $266M to $296MSep 15, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $154M to $191MSep 15, 2025 to Feb 5, 2026
- RAUM · $266M to $296MSep 15, 2025 to Feb 5, 2026
- Advisory activities · 2 to 3Feb 12, 2025 to Jul 23, 2025
- Financial planning clients · 1-10 to 1-10Feb 12, 2025 to Jul 23, 2025
- Accounts · 28 to 69Oct 14, 2024 to Feb 12, 2025
- Advisory employees · 1 to 2Oct 14, 2024 to Feb 12, 2025
- HNW clients · 10 to 43Oct 14, 2024 to Feb 12, 2025
- Employees · 1 to 6Oct 14, 2024 to Feb 12, 2025
- State-registered IARs · 1 to 2Oct 14, 2024 to Feb 12, 2025
- Discretionary RAUM · $104M to $113MOct 14, 2024 to Feb 12, 2025
- HNW RAUM · $123M to $266MOct 14, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $21.0M to $154MOct 14, 2024 to Feb 12, 2025
- RAUM · $125M to $266MOct 14, 2024 to Feb 12, 2025
- Accounts · 0 to 28Oct 2, 2023 to Jan 17, 2024
- HNW clients · unset to 10.0Oct 2, 2023 to Jan 17, 2024
- Financial planning clients · 0 to 1-10Oct 2, 2023 to Jan 17, 2024
- Discretionary RAUM · $0 to $104MOct 2, 2023 to Jan 17, 2024
- HNW RAUM · unset to 123200000.0Oct 2, 2023 to Jan 17, 2024
- Non-discretionary RAUM · $0 to $21.0MOct 2, 2023 to Jan 17, 2024
- RAUM · $0 to $125MOct 2, 2023 to Jan 17, 2024
Signals
2 dated events
- O••••• A••••••• reported RAUM $266.2M, up 114% from $124.7M (2024-10-14 to 2025-02-12)Feb 12, 2025 · RAUM change · derived
- O••••• A••••••• filed its initial SEC registration (Form ADV)Aug 21, 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
- 704-763-2776reportedpublic record, Form ADV, Jun 30, 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
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026