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
R•••••• F••••• W••••• L••
Latest filing Aug 4, 2026
First filing on the tape Dec 13, 2024 · 7 filings
SEC status approved since Jan 13, 2025
RAUM
$259M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$255M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$259M as of Aug 4, 2026
Apr 30, 2025$222M then
HNW client RAUM$205M as of Aug 4, 2026
Apr 30, 2025$164M then
State-registered IARs (5.B.3)2 as of Aug 4, 2026
Apr 30, 20252 then
Employees (5.A)4 as of Aug 4, 2026
Apr 30, 20254 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $290,825derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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$205M79%
- Individuals$49.8M19%
- Pension and profit-sharing plans$3.9M1.5%
- Charitable organizations$86,1860.0%
- Individual clients
- 164reported
- HNW clients
- 62reported
- Pension plan clients
- 7reported
- Charitable clients
- 2reported
- Accounts
- 889reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• F• E•••••••• | Golden, Co | Jan 13, 2025 | 10 y | 2 |
| P••••• J•••••• B••••• | Plano, Tx | Jan 18, 2025 | 44 y | 4 |
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
- P••••• J•••••• B••••• from X• W••••• M•••••••••Jan 18, 2025 · RIA to a newly registered adviser
- E••• F• E•••••••• from X• W••••• M•••••••••Jan 13, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• E•••• F• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- B•••••• P•••••• J•••••• · Presidentcontrolsince 02/2020 · owns 75% or more of P•• I••••••••• A•••••••• L••
- E••••••••• E•••• F• · Presidentcontrolsince 04/2020 · owns 75% or more of E•••••••• W••••• M••••••••• L••
Entity owners
- E•••••••• W••••• M••••••••• L•• · Ownerdirect · owns 50% to 75%
- P•• I••••••••• A•••••••• L•• · Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Plano, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Golden, CO1 employees
What changed
consecutive filings, newest first
- HQ city · ADDISON to PLANOApr 30, 2026 to Aug 4, 2026
- Accounts · 873 to 889Sep 30, 2025 to Mar 30, 2026
- Advisory activities · 3 to 5Sep 30, 2025 to Mar 30, 2026
- BD registered reps · 3 to 2Sep 30, 2025 to Mar 30, 2026
- Charity clients · unset to 2.0Sep 30, 2025 to Mar 30, 2026
- HNW clients · 54 to 62Sep 30, 2025 to Mar 30, 2026
- Individual clients · 165 to 164Sep 30, 2025 to Mar 30, 2026
- Pension plan clients · 15 to 7Sep 30, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 11-25Sep 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $213M to $252MSep 30, 2025 to Mar 30, 2026
- HNW RAUM · $164M to $205MSep 30, 2025 to Mar 30, 2026
- Individual RAUM · $49.6M to $49.8MSep 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $8.5M to $6.5MSep 30, 2025 to Mar 30, 2026
- Pension RAUM · $8.1M to $3.9MSep 30, 2025 to Mar 30, 2026
- RAUM · $222M to $259MSep 30, 2025 to Mar 30, 2026
- Accounts · 0 to 873Dec 13, 2024 to Apr 30, 2025
- HNW clients · unset to 54.0Dec 13, 2024 to Apr 30, 2025
- Individual clients · unset to 165.0Dec 13, 2024 to Apr 30, 2025
- Pension plan clients · unset to 15.0Dec 13, 2024 to Apr 30, 2025
- Financial planning clients · 0 to 1-10Dec 13, 2024 to Apr 30, 2025
- Discretionary RAUM · $0 to $213MDec 13, 2024 to Apr 30, 2025
- HNW RAUM · unset to 163984014.0Dec 13, 2024 to Apr 30, 2025
- Individual RAUM · unset to 49624085.0Dec 13, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $0 to $8.5MDec 13, 2024 to Apr 30, 2025
- Pension RAUM · unset to 8099871.0Dec 13, 2024 to Apr 30, 2025
- RAUM · $0 to $222MDec 13, 2024 to Apr 30, 2025
- Business name · R•••••• F••••• W••••• to R•••••• F••••• W••••• L••Dec 13, 2024 to Dec 13, 2024
- Financial planning clients · unset to 0Dec 13, 2024 to Dec 13, 2024
Signals
1 dated events
- R•••••• F••••• W••••• filed its initial SEC registration (Form ADV)Dec 13, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••• F••••• W••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 469-965-4001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 469-965-4004reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 469-965-4005reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- redwoodfamilywealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 469-965-4001reportedpublic record, Form ADV, Aug 4, 2026
- Contact form
- redwoodfamilywealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026