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
S••••• L••• C•••••• P•••••••
Legal name S••••• L••• C•••••• P••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Jan 24, 2024 · 7 filings
SEC status approved since Feb 23, 2024
RAUM
$212M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$212M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$212M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$212M as of Mar 9, 2026
Mar 21, 2025$235M then
HNW client RAUM: $170M
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 21, 20252 then
Employees (5.A)2 as of Mar 9, 2026
Mar 21, 20253 then
Private funds: no history
RAUM -9.9% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $212MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $304,755derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$212M100%
- Individual clients
- 115reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 694reported
- Financial planning clients
- 1-10reported
- 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 |
|---|---|---|---|---|
| D•••• T•••••• M•••••• | Dallas, Tx | May 14, 2024 | 44 y | 2 |
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 headcount2 left over 36 months
Left, latest
- K••• J••• B•••••• to F••••••Jul 30, 2025 · RIA to RIA
- D•••• L••• J•••••• to R••••• W• B•••• • C•• I•••••••••Dec 2, 2024 · RIA to RIA
Joined, latest
- D•••• L••• J•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 14, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- K••• J••• B•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 14, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• T•••••• M•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 14, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 15, 2024 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• D••••• T•••••• · Managing Partner And Chief Compliance Officercontrolsince 01/2024 · 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 | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 9, 2026financial planning (Item 5.G.1): no on the filing of 2025-06-13, yes on the filing of 2026-03-09peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 9, 2026pension consulting (Item 5.G.6): yes on the filing of 2025-06-13, no on the filing of 2026-03-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 597 to 694Jun 13, 2025 to Mar 9, 2026
- Advisory employees · 2 to 1Jun 13, 2025 to Mar 9, 2026
- HNW clients · 55.0 to unsetJun 13, 2025 to Mar 9, 2026
- Individual clients · 117 to 115Jun 13, 2025 to Mar 9, 2026
- Employees · 3 to 2Jun 13, 2025 to Mar 9, 2026
- Financial planning clients · to 1-10Jun 13, 2025 to Mar 9, 2026
- State-registered IARs · 2 to 1Jun 13, 2025 to Mar 9, 2026
- Discretionary RAUM · $235M to $210MJun 13, 2025 to Mar 9, 2026
- HNW RAUM · 170000000.0 to unsetJun 13, 2025 to Mar 9, 2026
- Individual RAUM · $54.1M to $212MJun 13, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $0 to $1.5MJun 13, 2025 to Mar 9, 2026
- Pension RAUM · 10500000.0 to unsetJun 13, 2025 to Mar 9, 2026
- RAUM · $235M to $212MJun 13, 2025 to Mar 9, 2026
- Advisory activities · 4 to 3Mar 21, 2025 to Jun 13, 2025
- BD registered reps · 2 to 0Mar 21, 2025 to Jun 13, 2025
- HNW clients · unset to 55.0Mar 21, 2025 to Jun 13, 2025
- Individual clients · 172 to 117Mar 21, 2025 to Jun 13, 2025
- Financial planning clients · 51-100 to Mar 21, 2025 to Jun 13, 2025
- HNW RAUM · unset to 170000000.0Mar 21, 2025 to Jun 13, 2025
- Individual RAUM · $224M to $54.1MMar 21, 2025 to Jun 13, 2025
- Accounts · 531 to 597Nov 26, 2024 to Mar 21, 2025
- Advisory employees · 3 to 2Nov 26, 2024 to Mar 21, 2025
- BD registered reps · 3 to 2Nov 26, 2024 to Mar 21, 2025
- HNW clients · 50.0 to unsetNov 26, 2024 to Mar 21, 2025
- Individual clients · 74 to 172Nov 26, 2024 to Mar 21, 2025
- Employees · 4 to 3Nov 26, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 51-100Nov 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $150M to $235MNov 26, 2024 to Mar 21, 2025
- HNW RAUM · 94146000.0 to unsetNov 26, 2024 to Mar 21, 2025
- Individual RAUM · $55.5M to $224MNov 26, 2024 to Mar 21, 2025
- Pension RAUM · unset to 10500000.0Nov 26, 2024 to Mar 21, 2025
- RAUM · $150M to $235MNov 26, 2024 to Mar 21, 2025
- Accounts · 0 to 531May 14, 2024 to Jun 21, 2024
- HNW clients · unset to 50.0May 14, 2024 to Jun 21, 2024
- Individual clients · unset to 74.0May 14, 2024 to Jun 21, 2024
- State-registered IARs · 3 to 2May 14, 2024 to Jun 21, 2024
- Discretionary RAUM · $0 to $150MMay 14, 2024 to Jun 21, 2024
- HNW RAUM · unset to 94146000.0May 14, 2024 to Jun 21, 2024
- Individual RAUM · unset to 55504000.0May 14, 2024 to Jun 21, 2024
- RAUM · $0 to $150MMay 14, 2024 to Jun 21, 2024
Signals
4 dated events
- K••• J••• B•••••• left S••••• L••• C•••••• P••••••• for Farther (registered 2025-06-16)Jul 30, 2025 · Advisor changed firm · fact
- D•••• L••• J•••••• left S••••• L••• C•••••• P••••••• for R••••• W• B•••• • C•• I••••••••• (registered 2024-07-18)Dec 2, 2024 · Advisor changed firm · fact
- 3 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Dallas, TX) for S••••• L••• C•••••• P••••••• a day apartMay 15, 2024 · Team lift-out · derived
- S••••• L••• C•••••• P••••••• filed its initial SEC registration (Form ADV)Jan 24, 2024 · 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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-701-2040reportedpublic record, Form ADV, Mar 9, 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
- $212Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026