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•••••••••
Legal name R•• G••••• R•••••••• L••
Latest filing May 13, 2026
First filing on the tape Aug 27, 2024 · 8 filings
SEC status approved since Oct 1, 2024
RAUM
$928,433
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$928,433 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$464,217
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$928,433 as of May 13, 2026
Feb 28, 2025$0 then
HNW client RAUM$0 as of May 13, 2026
Mar 20, 2026$0 then
State-registered IARs (5.B.3)2 as of May 13, 2026
Feb 28, 20252 then
Employees (5.A)2 as of May 13, 2026
Feb 28, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of May 13, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $464,217derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $61,896derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$928,433100%
- Individual clients
- 13reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- L•••• E••• R•••••• from R•• W••••• A•••••••• L••Oct 15, 2024 · RIA to a newly registered adviser
- C••••• N•• M••• from R•• W••••• A•••••••• L••Oct 3, 2024 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• C•••••• N•• · Chief Compliance Officer, Managing Membercontrolsince 08/2024 · owns less than 5%
- L•••••••• M••••••• P••• · Sole Membercontrolsince 01/2021 · owns 75% or more of 7•• G•••••• L••
- M•••• C•••••• N•• · Managing Membercontrolsince 11/2009 · owns 25% to 50% of R•• A•••••••
- R••••••• L••••• E••• · Membercontrolsince 05/2016 · owns 25% to 50% of R•• A•••••••
- R••••• R••••••• M•••••• · Membercontrolsince 05/2016 · owns 25% to 50% of R•• A•••••••
Entity owners
- R•• A••••••• · Memberdirect · owns 50% to 75%
- 7•• G•••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••• C••••••••• L••real estaten
- R•• A•••••••investment advisernRAUM $1.8B
- R•• I•••••••• A••••• L••real estaten
- R•• W••••• A•••••••• L••investment advisernRAUM $126M
Advisers that list S••••••••• as a related person
- 312072 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Houston, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 15May 5, 2025 to Mar 20, 2026
- Charity clients · unset to 0.0May 5, 2025 to Mar 20, 2026
- Corporate clients · unset to 0.0May 5, 2025 to Mar 20, 2026
- HNW clients · unset to 0.0May 5, 2025 to Mar 20, 2026
- Individual clients · unset to 13.0May 5, 2025 to Mar 20, 2026
- Pension plan clients · unset to 0.0May 5, 2025 to Mar 20, 2026
- Pooled vehicle clients · unset to 0.0May 5, 2025 to Mar 20, 2026
- Discretionary RAUM · $0 to $928,433May 5, 2025 to Mar 20, 2026
- HNW RAUM · unset to 0.0May 5, 2025 to Mar 20, 2026
- Individual RAUM · unset to 928433.0May 5, 2025 to Mar 20, 2026
- Pension RAUM · unset to 0.0May 5, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · unset to 0.0May 5, 2025 to Mar 20, 2026
- RAUM · $0 to $928,433May 5, 2025 to Mar 20, 2026
- Financial planning clients · unset to Feb 28, 2025 to May 5, 2025
- Business name · R•• G••••• R•••••••• L•• to S•••••••••Sep 26, 2024 to Feb 28, 2025
- HNW RAUM · 0.0 to unsetSep 26, 2024 to Feb 28, 2025
- Individual RAUM · 0.0 to unsetSep 26, 2024 to Feb 28, 2025
Signals
1 dated events
- R•• G••••• R•••••••• L•• filed its initial SEC registration (Form ADV)Aug 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
- Business phone
- 888-414-4547reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- simpleadvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-501-1791reportedpublic record, Form ADV, May 13, 2026
- Contact form
- simpleadvisor.com/contactreportedpublished by the firm, firm site, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $464,217derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026