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••••••• I••••••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 27, 2024 · 9 filings
SEC status approved since Apr 25, 2024
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$159M
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
9 filings and snapshots on the tape
RAUM$159M as of Mar 3, 2026
Feb 21, 2025$131M then
HNW client RAUM$158M as of Mar 3, 2026
Feb 21, 2025$130M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Feb 21, 20251 then
Employees (5.A)2 as of Mar 3, 2026
Feb 21, 20252 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 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
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +21%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$158M99%
- Individuals$1.1M0.7%
- Individual clients
- n/areported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 137reported
- 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 |
|---|---|---|---|---|
| J••• S•••Chartered Financial Analyst | Mckinney, Tx | May 8, 2024 | 28 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• S••• from E••••••••• P•••••••• L••May 8, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• J••• · President, Owner, Chief Compliance Officercontrolsince 03/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 133 to 137Jul 1, 2025 to Mar 3, 2026
- Individual clients · 2.0 to unsetJul 1, 2025 to Mar 3, 2026
- Discretionary RAUM · $131M to $159MJul 1, 2025 to Mar 3, 2026
- HNW RAUM · $130M to $158MJul 1, 2025 to Mar 3, 2026
- Individual RAUM · $1.0M to $1.1MJul 1, 2025 to Mar 3, 2026
- RAUM · $131M to $159MJul 1, 2025 to Mar 3, 2026
- Financial planning clients · unset to Feb 21, 2025 to Jul 1, 2025
- Accounts · 42 to 133Aug 29, 2024 to Feb 21, 2025
- HNW clients · 36 to 41Aug 29, 2024 to Feb 21, 2025
- Individual clients · 5 to 2Aug 29, 2024 to Feb 21, 2025
- Employees · 1 to 2Aug 29, 2024 to Feb 21, 2025
- HQ city · unset to Aug 29, 2024 to Feb 21, 2025
- HQ state · unset to Aug 29, 2024 to Feb 21, 2025
- Discretionary RAUM · $127M to $131MAug 29, 2024 to Feb 21, 2025
- HNW RAUM · $123M to $130MAug 29, 2024 to Feb 21, 2025
- Individual RAUM · $2.7M to $1.0MAug 29, 2024 to Feb 21, 2025
- RAUM · $127M to $131MAug 29, 2024 to Feb 21, 2025
- Accounts · 0 to 42Apr 18, 2024 to Jul 30, 2024
- HNW clients · unset to 36.0Apr 18, 2024 to Jul 30, 2024
- Individual clients · unset to 5.0Apr 18, 2024 to Jul 30, 2024
- Discretionary RAUM · $0 to $127MApr 18, 2024 to Jul 30, 2024
- HNW RAUM · unset to 123000000.0Apr 18, 2024 to Jul 30, 2024
- Individual RAUM · unset to 2700000.0Apr 18, 2024 to Jul 30, 2024
- RAUM · $0 to $127MApr 18, 2024 to Jul 30, 2024
Signals
1 dated events
- S••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 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
- Principal office phone
- 254-275-5326reportedpublic record, Form ADV, Mar 3, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026