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
D•••••• A•••••••• G•••• • W•••••
Legal name D•••••• W••••• P••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Oct 11, 2023 · 20 filings
SEC status approved since Nov 9, 2023
RAUM
$555M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.7%
$37.1M individuals and HNW
Advisors
21
registered through the firm on IAPD
RAUM per advisor
$26.4M
derived; firm RAUM over IAPD count
Employees
70
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$555M as of Aug 28, 2026
Mar 29, 2024$0 then
HNW client RAUM$37.1M as of Aug 28, 2026
Mar 29, 2024$0 then
State-registered IARs (5.B.3)23 as of Aug 28, 2026
Mar 29, 20241 then
Employees (5.A)70 as of Aug 28, 2026
Mar 29, 20242 then
Private funds4 as of Aug 28, 2026
Jul 29, 20252 then
RAUM +326% over the last fiscal yearIARs 0 to 23offices 1 to 0
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
- RAUM per advisor
- $26.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $97,188derivedHNW RAUM over HNW clients
- Average account
- $217,615derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 21.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +326%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +788%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, educational seminarsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$299M54%
- Pooled investment vehicles$219M40%
- High-net-worth individuals$37.1M6.7%
- Individual clients
- 0reported
- HNW clients
- 382reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,551reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.07 fund_share=0.4 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
21 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• M••••••••• | Dallas, Tx | Jun 13, 2024 | 10 y | 0 |
| F•••••••• W••••••• | Dallas, Tx | Jan 16, 2025 | 17 y | 0 |
| T••••• T•••Certified Financial Planner | Dallas, Tx | May 22, 2025 | 11 y | 3 |
| S•••••••• J••••••• | Fort Smith, Ar | Jun 26, 2025 | 21 y | 0 |
| T•••••• G•••••• | Mesa, Az | Jun 26, 2025 | 13 y | 2 |
| S••••• D•••• G••••• | Dallas, Tx | Jul 10, 2025 | 10 y | 0 |
| J••••• S••••••• | Denver, Co | Jul 29, 2025 | 13 y | 1 |
| T•••• M• O••• | Parrish, Fl | Nov 9, 2025 | 10 y | 3 |
| M••••••• N••••• | Dallas, Tx | Nov 9, 2025 | 14 y | 0 |
| M••••• A••••• C••••• | Tampa, Fl | Nov 9, 2025 | 12 y | 1 |
| R••• A•••••• | Dallas, Tx | Nov 12, 2025 | 10 y | 1 |
| N••••••• G• B•••••• | Saint Petersburg, Fl | Nov 17, 2025 | 10 y | 3 |
| L•••••• R••••••• T••••••• | Tool, Tx | Dec 18, 2025 | 18 y | 1 |
| J••• L••••• A•••• | Dallas, Tx | Dec 19, 2025 | 11 y | 1 |
| A•••• W•••• B••••• | Dallas, Tx | Jan 27, 2026 | 11 y | 2 |
| J••••• A•••• T••••• | Blacksburg, Va | Mar 27, 2026 | 10 y | 5 |
| J••••••• A•• O•••••Certified Financial Planner | Dallas, Tx | Mar 27, 2026 | 18 y | 4 |
| D•• K• W••••••• | West Bountiful, Ut | Mar 30, 2026 | 20 y | 9 |
| M•••••• V•• B••••• | Dallas, Tx | Mar 31, 2026 | 18 y | 2 |
| B•••• K•••••• C••• | Dallas, Tx | Mar 31, 2026 | 10 y | 2 |
| C•••••• A•••••••• J•••••• | York, Sc | Apr 21, 2026 | 25 y | 8 |
Advisor movement
2 left, 15 joined in 12 months
net +13 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 9.5% of current headcount3 left over 36 months
Left, latest
- A••••• N••••• P••• to B•••• S•••• G••••• L••Jul 10, 2026 · Other
- S•••• O••••••• S••• to H•••••• T••••••• • K•••• L••Jun 5, 2026 · Other
- E••• P••• B••••• to T•••••• A•••••••• L••Aug 19, 2024 · Other
Joined, latest
- C•••••• A•••••••• J•••••• from U••• B•••••• I••••••••• I•••Apr 21, 2026 · Other
- B•••• K•••••• C••• from F••••• I•••••••••Mar 31, 2026 · Other
- M•••••• V•• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 31, 2026 · Other
- D•• K• W••••••• from M••••• S••••••Mar 30, 2026 · Other
- J••••••• A•• O••••• from S••••• W••••• M•••••••••Mar 27, 2026 · Other
- J••••• A•••• T••••• from T••••• A••••••• S•••••••• I•••Mar 27, 2026 · Other
- A•••• W•••• B••••• from P•• E•••••• L••Jan 27, 2026 · Other
- J••• L••••• A•••• from E•••••• A••••••• G••••• L••Dec 19, 2025 · Other
- L•••••• R••••••• T••••••• from E••••• J••••Dec 18, 2025 · Other
- N••••••• G• B•••••• from F••••• I•••••••••Nov 17, 2025 · Other
- R••• A•••••• from M•• I•••••••• S•••••••• L••Nov 12, 2025 · Other
- T•••• M• O••• from E••••• J••••Nov 9, 2025 · Other
- A••••• N••••• P••• from L•••Nov 9, 2025 · Other
- M••••• A••••• C••••• from F••••• I•••••••••Nov 9, 2025 · Other
- S•••• O••••••• S••• from H•••••• T••••••• • K•••• L••Oct 6, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• L••• · Directorcontrolsince 08/2023 · owns less than 5%
- T••••• R•••••• R•••••• · Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- C•••••• J••••• L••• · Managing Membercontrolsince 01/2023 · owns 75% or more of D•••••• A•••••••• G••••
Entity owners
- D•••••• A•••••••• G•••• · Memberdirect · owns 50% to 75%
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 | 20 | 14 | 1 | ||
| Evergreen, Co | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 461.0 to 2,551.0 (+453.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +6.0% (24 comparable advisers, 100.0th percentile of changes)peers: other advisers, $500M to $1B (24) · 100% percentile
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 95.0% to 54.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: other advisers, $500M to $1B (95)
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $130,215,307 to $555,135,985 (+326.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +12.0% (87 comparable advisers, 98.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 98% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 28, 2026 to Sep 9, 2026
- Private funds · 4 to unsetAug 28, 2026 to Sep 9, 2026
- Succession · false to unsetAug 28, 2026 to Sep 9, 2026
- Advisory activities · 5 to 7Jul 8, 2026 to Aug 28, 2026
- Advisory employees · 17 to 23Mar 31, 2026 to Jul 8, 2026
- Business name · D•••••• W••••• P••••••• to D•••••• A•••••••• G•••• • W•••••Mar 31, 2026 to Jul 8, 2026
- Employees · 26 to 70Mar 31, 2026 to Jul 8, 2026
- State-registered IARs · 17 to 23Mar 31, 2026 to Jul 8, 2026
- Accounts · 1,398 to 2,551Nov 11, 2025 to Mar 31, 2026
- Advisory employees · 7 to 17Nov 11, 2025 to Mar 31, 2026
- Advisory activities · 4 to 5Nov 11, 2025 to Mar 31, 2026
- Corporate clients · 1,158 to 2,165Nov 11, 2025 to Mar 31, 2026
- HNW clients · 235 to 382Nov 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 5 to 4Nov 11, 2025 to Mar 31, 2026
- Employees · 10 to 26Nov 11, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 1-10Nov 11, 2025 to Mar 31, 2026
- State-registered IARs · 0 to 17Nov 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $589M to $555MNov 11, 2025 to Mar 31, 2026
- HNW RAUM · $35.8M to $37.1MNov 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $232M to $219MNov 11, 2025 to Mar 31, 2026
- RAUM · $589M to $555MNov 11, 2025 to Mar 31, 2026
- Accounts · 1,082 to 1,398Jul 29, 2025 to Nov 11, 2025
- Corporate clients · 896 to 1,158Jul 29, 2025 to Nov 11, 2025
- HNW clients · 184 to 235Jul 29, 2025 to Nov 11, 2025
- Pooled vehicle clients · 2 to 5Jul 29, 2025 to Nov 11, 2025
- Financial planning clients · 0 to 0Jul 29, 2025 to Nov 11, 2025
- HQ city · to DALLASJul 29, 2025 to Nov 11, 2025
- HQ state · to TXJul 29, 2025 to Nov 11, 2025
- Private funds · 2 to 4Jul 29, 2025 to Nov 11, 2025
- Discretionary RAUM · $368M to $589MJul 29, 2025 to Nov 11, 2025
- HNW RAUM · $17.5M to $35.8MJul 29, 2025 to Nov 11, 2025
- Pooled vehicle RAUM · $90.2M to $232MJul 29, 2025 to Nov 11, 2025
- RAUM · $368M to $589MJul 29, 2025 to Nov 11, 2025
- Accounts · 461 to 1,082Mar 31, 2025 to Jul 29, 2025
- Advisory employees · 2 to 7Mar 31, 2025 to Jul 29, 2025
- Advisory activities · 3 to 4Mar 31, 2025 to Jul 29, 2025
- Corporate clients · 333 to 896Mar 31, 2025 to Jul 29, 2025
- HNW clients · 43 to 184Mar 31, 2025 to Jul 29, 2025
- Pooled vehicle clients · 0 to 2Mar 31, 2025 to Jul 29, 2025
- Employees · 5 to 10Mar 31, 2025 to Jul 29, 2025
Signals
10 dated events
- S•••• O••••••• S••• left D•••••• A•••••••• G•••• • W••••• for H•••••• T••••••• • K•••• L•• (registered 2026-06-26)Jun 5, 2026 · Advisor changed firm · fact
- D•••••• A•••••••• G•••• • W••••• reported 17 state-registered advisory representatives, up from 0 (2025-11-11 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
- D•••••• A•••••••• G•••• • W••••• reported RAUM $589.0M, up 60% from $368.0M (2025-07-29 to 2025-11-11)Nov 11, 2025 · RAUM change · derived
- D•••••• A•••••••• G•••• • W••••• reported RAUM $368.0M, up 183% from $130.2M (2025-03-31 to 2025-07-29)Jul 29, 2025 · RAUM change · derived
- R•••••• R••••• T•••• (Chief Compliance Officer) appeared on Schedule A of D•••••• A•••••••• G•••• • W•••••Nov 11, 2024 · Control person joined · fact
- E••• F•••• (Coo/Cco) no longer on Schedule A of D•••••• A•••••••• G•••• • W••••• (listed 2024-10-14, absent 2024-11-11)Nov 11, 2024 · Control person left · inference
- E••• P••• B••••• left D•••••• A•••••••• G•••• • W••••• for T•••••• A•••••••• L•• (registered 2024-04-17)Aug 19, 2024 · Advisor changed firm · fact
- P••• E••• B••••• (Managing Partner And Chief Compliance Officer) no longer on Schedule A of D•••••• A•••••••• G•••• • W••••• (listed 2024-08-09, absent 2024-08-19)Aug 19, 2024 · Control person left · inference
- E••• F•••• (Coo/Cco) appeared on Schedule A of D•••••• A•••••••• G•••• • W•••••Aug 19, 2024 · Control person joined · fact
- D•••••• W••••• P••••••• filed its initial SEC registration (Form ADV)Oct 11, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•••••• W••••• P••••••• LLC · Family Officesshared crd · manager
- D•••••• W••••• P••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/dagwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- dag.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 307-396-0295reportedpublic record, Form ADV, Sep 17, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $26.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026