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

A••••••••• L••

Independent wealth managerAustin, TexasCRD 333587SEC 801-131682IAPD
Latest filing Jun 29, 2026
First filing on the tape Nov 21, 2024 · 9 filings
SEC status approved since Jan 15, 2025
RAUM
$879M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$872M individuals and HNW
Advisors
24
registered through the firm on IAPD
RAUM per advisor
$36.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$879M as of Jun 29, 2026
May 30, 2025$0 then
HNW client RAUM$386M as of Jun 29, 2026
Mar 31, 2026$386M then
State-registered IARs (5.B.3)3 as of Jun 29, 2026
May 30, 20253 then
Employees (5.A)3 as of Jun 29, 2026
May 30, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
RAUM per advisor
$36.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$225,112derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.1derivedItem 5.A over advisors
Advisors per office
3.4derived7 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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
Custody
$179M, 442 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$486M55%
  • High-net-worth individuals$386M44%
  • Corporations and businesses$4.8M0.5%
  • Charitable organizations$2.2M0.3%
Individual clients
1,912reported
HNW clients
191reported
Pension plan clients
n/areported
Charitable clients
3reported
Accounts
3,903reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$179M for 442 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S••• S••••••Certified Financial PlannerAllen, Tx Jun 2, 202526 y3
M•••••• T••••• S••••••••Allen, Tx Jun 2, 202516 y2
J•••• S••••• J•••••••••Allen, Tx Jun 2, 202515 y2
B•••• W•••• E••••••Austin, Tx Jun 2, 202513 y1
E••• D•••• S••••••••New Berlin, Wi Jun 2, 202511 y1
J••••• P•••••• K•••Certified Financial Planner, Chartered Financial ConsultantNew Berlin, Wi Jun 2, 202523 y2
P•••• M•••••• L••Certified Financial Planner, Chartered Financial ConsultantAustin, Tx Jun 2, 202520 y2
J••• M• K••••Certified Financial PlannerNew Berlin, Wi Jun 2, 202511 y3
N••• P•••••• S••••••••Mill Creek, Wa Jun 4, 202515 y1
J••••• B•••••••••Certified Financial PlannerMissoula, Mt Jun 4, 202514 y2
P•••••• S••••••Mill Creek, Wa Jun 5, 202510 y2
D•••• J••••• Z•••••••Certified Financial PlannerAustin, Tx Jun 20, 202510 y1
B•••••• T•••• B••••Austin, Tx Jul 24, 202511 y0
T•••••• J•••• D•••••Austin, Tx Dec 1, 202513 y2
D••••• S•••••• S•••••Austin, Tx Dec 1, 202516 y2
K•••• J•••••• C•••••••••Austin, Tx Dec 1, 202521 y2
D••••• S•••• M••••••Certified Financial PlannerCastle Rock, Co Jul 1, 202622 y5
S•••• E••••••• V•••••••••Certified Financial PlannerAustin, Tx Jul 1, 202626 y2
Advisor movement
0 left, 5 joined in 12 months
net +5 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••••• L••••• W••••• M••••• · Presidentcontrol
        since 11/2024 · owns less than 5%
      • W••••••••• D•••••• C••••••••• · Chief Compliance Officercontrol
        since 11/2024 · owns less than 5%
      • P•••••••• T•••••• J••••• · Membercontrol
        since 11/2024 · owns 50% to 75% of A•••••••• H••••••• L••
      • W••••••••• L••••• W••••• M••••• · Membercontrol
        since 11/2024 · owns 50% to 75% of A•••••••• H••••••• L••
      Entity owners
      • A•••••••• H••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Austin, Tx · principal2490
      Allen, Tx400
      New Berlin, Wi400
      Irving, Tx440
      Mt Pleasant, Wi330
      Mill Creek, Wa300
      Castle Rock, Co220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 5 to 6
        Apr 14, 2026 to Jun 29, 2026
      • Other offices · 4 to 5
        Mar 31, 2026 to Apr 14, 2026
      • Accounts · 0 to 3,903
        Dec 2, 2025 to Mar 31, 2026
      • Charity clients · unset to 3.0
        Dec 2, 2025 to Mar 31, 2026
      • Corporate clients · unset to 16.0
        Dec 2, 2025 to Mar 31, 2026
      • HNW clients · unset to 191.0
        Dec 2, 2025 to Mar 31, 2026
      • Individual clients · unset to 1912.0
        Dec 2, 2025 to Mar 31, 2026
      • Assets in custody · unset to 179039618.0
        Dec 2, 2025 to Mar 31, 2026
      • Custody of client assets · false to true
        Dec 2, 2025 to Mar 31, 2026
      • Financial planning clients · 0 to 51-100
        Dec 2, 2025 to Mar 31, 2026
      • Other offices · 3 to 4
        Dec 2, 2025 to Mar 31, 2026
      • Discretionary RAUM · $0 to $879M
        Dec 2, 2025 to Mar 31, 2026
      • HNW RAUM · unset to 385899040.0
        Dec 2, 2025 to Mar 31, 2026
      • Individual RAUM · unset to 485707200.0
        Dec 2, 2025 to Mar 31, 2026
      • RAUM · $0 to $879M
        Dec 2, 2025 to Mar 31, 2026
      • Financial planning clients · 0 to 0
        May 30, 2025 to Jun 3, 2025
      • Other offices · 0 to 3
        May 30, 2025 to Jun 3, 2025
      Signals
      5 dated events
      • 2 advisors left C••••••••• F•••••••• N•••••• (San Diego, CA) for A••••••••• L•• on the same day
        Jul 1, 2026 · Team lift-out · derived
      • 4 advisors left T••••••• A•••••• N••••••• L•• (Minneapolis, MN) for A••••••••• L•• within 8 days
        Dec 23, 2025 · Team lift-out · derived
      • 2 advisors left T••••••• A•••••• N••••••• L•• (Mill Creek, WA) for A••••••••• L•• on the same day
        Jul 7, 2025 · Team lift-out · derived
      • 7 advisors left T••••••• A•••••• N••••••• L•• (Minneapolis, MN) for A••••••••• L•• on the same day
        Jul 7, 2025 · Team lift-out · derived
      • A••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 21, 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
      (512) 241-7341reportedpublic record, Form ADV, Jun 29, 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
      $36.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026