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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Former SEC-registered adviser
A•••• F•••••••• A•••••••• L••
Latest filing Jul 31, 2025
First filing on the tape Nov 5, 2024 · 8 filings
SEC status 120-day approval since Dec 5, 2024
RAUM
$61.1M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$60.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$20.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$61.1M as of Jul 31, 2025
Feb 7, 2025$39.5M then
HNW client RAUM$44.4M as of Jul 31, 2025
Feb 7, 2025$30.3M then
State-registered IARs (5.B.3)3 as of Jul 31, 2025
Feb 7, 20253 then
Employees (5.A)3 as of Jul 31, 2025
Feb 7, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 31, 2025; every figure names its basis
- RAUM per advisor
- $20.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $240,589derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$44.4M73%
- Individuals$16.5M27%
- Charitable organizations$234,6440.4%
- Individual clients
- 48reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 254reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J••••••• M••••• | Mckinney, Tx | Dec 5, 2024 | 11 y | 1 |
| J•••••• C••••••••• S•••• | Mckinney, Tx | Dec 5, 2024 | 11 y | 0 |
| L••• B••• G•••••Certified Financial Planner | Mckinney, Tx | Sep 22, 2025 | 15 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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••• B••• G••••• from W•••• G••••• F••••••••• L••Sep 22, 2025 · RIA to RIA
- K•••• J••••••• M••••• from W•••• G••••• F••••••••• L••Dec 5, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• G••••• F••••••••• L••Oct 21, 2024 · Mckinney, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• L•••• B••• · Co-Owner/Advisor/Ccocontrolsince 11/2024 · owns 25% to 50%
- M•••••• K••••• J••••••• · Co-Owner/Advisorcontrolsince 11/2024 · owns 25% to 50%
- S••••• J••••••• C• · Co-Owner/Advisorcontrolsince 11/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Mckinney, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 3, 2025 to Jul 31, 2025
- Accounts · 133 to 254Feb 7, 2025 to Apr 10, 2025
- HNW clients · 14 to 25Feb 7, 2025 to Apr 10, 2025
- Individual clients · 23 to 48Feb 7, 2025 to Apr 10, 2025
- Discretionary RAUM · $36.3M to $56.8MFeb 7, 2025 to Apr 10, 2025
- HNW RAUM · $30.3M to $44.4MFeb 7, 2025 to Apr 10, 2025
- Individual RAUM · $8.9M to $16.5MFeb 7, 2025 to Apr 10, 2025
- Non-discretionary RAUM · $3.2M to $4.3MFeb 7, 2025 to Apr 10, 2025
- RAUM · $39.5M to $61.1MFeb 7, 2025 to Apr 10, 2025
- Accounts · 0 to 133Dec 16, 2024 to Feb 7, 2025
- Charity clients · unset to 1.0Dec 16, 2024 to Feb 7, 2025
- HNW clients · unset to 14.0Dec 16, 2024 to Feb 7, 2025
- Individual clients · 0 to 23Dec 16, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 1-10Dec 16, 2024 to Feb 7, 2025
- Discretionary RAUM · $0 to $36.3MDec 16, 2024 to Feb 7, 2025
- HNW RAUM · unset to 30309855.0Dec 16, 2024 to Feb 7, 2025
- Individual RAUM · $0 to $8.9MDec 16, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $0 to $3.2MDec 16, 2024 to Feb 7, 2025
- RAUM · $0 to $39.5MDec 16, 2024 to Feb 7, 2025
- HQ city · unset to MCKINNEYNov 13, 2024 to Dec 9, 2024
- HQ state · unset to TXNov 13, 2024 to Dec 9, 2024
- Other offices · 2 to 3Nov 13, 2024 to Dec 9, 2024
Signals
3 dated events
- A•••• F•••••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $61.1M)Dec 20, 2025 · Left the SEC roster · derived
- A•••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 2024 · First SEC registration · fact
- 2 advisors left W•••• G••••• F••••••••• L•• (Mckinney, TX) for A•••• F•••••••• A•••••••• L•• within 8 daysOct 21, 2024 · Team lift-out · derived
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
- alignfa.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026