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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• A••••••• G••••
Legal name C•••••• A••••••• G••••• L••
Latest filing Feb 18, 2026
First filing on the tape Apr 3, 2025 · 4 filings
SEC status approved since Mar 13, 2025
RAUM
$341M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$328M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$85.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$341M as of Feb 18, 2026
Apr 3, 2025$0 then
HNW client RAUM$278M as of Feb 18, 2026
Jul 29, 2025$171M then
State-registered IARs (5.B.3)4 as of Feb 18, 2026
Apr 3, 20253 then
Employees (5.A)7 as of Feb 18, 2026
Apr 3, 20256 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Feb 18, 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
- $85.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $479,014derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M81%
- Individuals$50.5M15%
- Insurance companies$7.6M2.2%
- Charitable organizations$4.2M1.2%
- Pension and profit-sharing plans$851,7360.2%
- Individual clients
- 110reported
- HNW clients
- 92reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 712reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••••• C••••••Certified Financial Planner | Texarkana, Tx | Mar 25, 2025 | 23 y | 4 |
| N•••••••• R••• D•••••••••Certified Financial Planner | Texarkana, Tx | Mar 28, 2025 | 10 y | 4 |
| A•••••••• W••••••••• D••••Certified Financial Planner | Texarkana, Tx | Mar 28, 2025 | 13 y | 2 |
| J••••• D•••• R•••Certified Financial Planner | Texarkana, Tx | Oct 13, 2025 | 10 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
- J••••• D•••• R••• from T••••••• A•••••• N••••••• L••Oct 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- N•••••••• R••• D••••••••• from S•••••••• F•••••••• C•••••••• L••Mar 28, 2025 · RIA to a newly registered adviser
- A•••••••• W••••••••• D•••• from S•••••••• F•••••••• C•••••••• L••Mar 28, 2025 · RIA to a newly registered adviser
- D•••• A•••••• C•••••• from S•••••••• F•••••••• C•••••••• L••Mar 25, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from S•••••••• F•••••••• C•••••••• L••Dec 2, 2025 · Texarkana, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• D••••• A•••••• · Chief Compliance Officer, Principalcontrolsince 01/2025 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Texarkana, Tx · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 600 to 712Sep 29, 2025 to Feb 18, 2026
- Advisory employees · 3 to 4Sep 29, 2025 to Feb 18, 2026
- HNW clients · 112 to 92Sep 29, 2025 to Feb 18, 2026
- Individual clients · 162 to 110Sep 29, 2025 to Feb 18, 2026
- Pension plan clients · 4 to 5Sep 29, 2025 to Feb 18, 2026
- Employees · 5 to 7Sep 29, 2025 to Feb 18, 2026
- State-registered IARs · 3 to 4Sep 29, 2025 to Feb 18, 2026
- Discretionary RAUM · $221M to $333MSep 29, 2025 to Feb 18, 2026
- HNW RAUM · $171M to $278MSep 29, 2025 to Feb 18, 2026
- Individual RAUM · $44.5M to $50.5MSep 29, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $6.8M to $8.1MSep 29, 2025 to Feb 18, 2026
- Pension RAUM · $742,118 to $851,736Sep 29, 2025 to Feb 18, 2026
- RAUM · $228M to $341MSep 29, 2025 to Feb 18, 2026
- Financial planning clients · 0 to 0Jul 29, 2025 to Sep 29, 2025
- Accounts · 0 to 600Apr 3, 2025 to Jul 29, 2025
- Charity clients · unset to 1.0Apr 3, 2025 to Jul 29, 2025
- HNW clients · unset to 112.0Apr 3, 2025 to Jul 29, 2025
- Individual clients · unset to 162.0Apr 3, 2025 to Jul 29, 2025
- Pension plan clients · unset to 4.0Apr 3, 2025 to Jul 29, 2025
- Employees · 6 to 5Apr 3, 2025 to Jul 29, 2025
- Discretionary RAUM · $0 to $221MApr 3, 2025 to Jul 29, 2025
- HNW RAUM · unset to 171430784.0Apr 3, 2025 to Jul 29, 2025
- Individual RAUM · unset to 44538146.0Apr 3, 2025 to Jul 29, 2025
- Non-discretionary RAUM · $0 to $6.8MApr 3, 2025 to Jul 29, 2025
- Pension RAUM · unset to 742118.0Apr 3, 2025 to Jul 29, 2025
- RAUM · $0 to $228MApr 3, 2025 to Jul 29, 2025
Signals
2 dated events
- C•••••• A••••••• G•••• reported RAUM $341.1M, up 50% from $227.6M (2025-09-29 to 2026-02-18)Feb 18, 2026 · RAUM change · derived
- 3 advisors left S•••••••• F•••••••• C•••••••• L•• (Texarkana, TX) for C•••••• A••••••• G•••• on the same dayDec 2, 2025 · 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
- Business phone
- 903-793-4014reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 903-793-4014reportedpublic record, Form ADV, Feb 18, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $85.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026