DFX Intelligence
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A•••••• C•••••• P•••••••• L••
Independent wealth manager, based in Houston, Texas, reporting $140M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $140M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- Not established
- Private clients
- 84% of RAUM, $118M
Form ADV
IAPD
IAPD registration history
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
custody of client assets (Item 9.A): no on the filing of 2025-06-06, yes on the filing of 2026-03-06
custody of client assets (Item 9.A) 1- Contact points 5
Every filed figure, and the identifiersCRD 335079 · SEC 801-132143 · 3 filingsShowHide
CRD 335079SEC 801-132143First filing on the tape Feb 7, 2025, latest Mar 6, 2026SEC status approved since Mar 10, 2025IAPD
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$118M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$140M as of Mar 6, 2026
Feb 7, 2025$0 then
HNW client RAUM$90.3M as of Mar 6, 2026
Jun 6, 2025$77.2M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Feb 7, 20253 then
Employees (5.A)3 as of Mar 6, 2026
Feb 7, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $69.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $462,021derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $12.9M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.3M65%
- Individuals$27.4M20%
- Charitable organizations$21.3M15%
- Pension and profit-sharing plans$520,7950.4%
- Individual clients
- 73reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 302reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.9M for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• F•••••• K••••••Certified Financial Planner | Houston, Tx | Apr 1, 2025 | 18 y | 2 |
| S••••• E•••• | Houston, Tx | Apr 1, 2025 | 11 y | 2 |
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
- T••••• F•••••• K•••••• from G••••• W••••• A•••••••Apr 1, 2025 · Other
- S••••• E•••• from G••••• W••••• A•••••••Apr 1, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G••••• W••••• A•••••••Jan 2, 2026 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• S••••• · Partner, Chief Operating Officercontrolsince 02/2025 · owns 10% to 25%
- K••••••• T•••••• F•••••• · Founder, Chief Compliance Officercontrolsince 02/2025 · owns 75% or more
- S••••• J••••• P•••• · Partner, Chief Investment Officercontrolsince 02/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 6, 2026custody of client assets (Item 9.A): no on the filing of 2025-06-06, yes on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,682)
- business activity changedChange between filings · filing Mar 6, 2026pension consulting (Item 5.G.6): no on the filing of 2025-06-06, yes on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,682)
What changed
consecutive filings, newest first
- Accounts · 288 to 302Jun 6, 2025 to Mar 6, 2026
- Advisory activities · 4 to 5Jun 6, 2025 to Mar 6, 2026
- HNW clients · 13 to 15Jun 6, 2025 to Mar 6, 2026
- Individual clients · 80 to 73Jun 6, 2025 to Mar 6, 2026
- Assets in custody · unset to 12934536.0Jun 6, 2025 to Mar 6, 2026
- Custody of client assets · false to trueJun 6, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 51-100Jun 6, 2025 to Mar 6, 2026
- Discretionary RAUM · $101M to $140MJun 6, 2025 to Mar 6, 2026
- HNW RAUM · $77.2M to $90.3MJun 6, 2025 to Mar 6, 2026
- Individual RAUM · $23.0M to $27.4MJun 6, 2025 to Mar 6, 2026
- Pension RAUM · $467,623 to $520,795Jun 6, 2025 to Mar 6, 2026
- RAUM · $101M to $140MJun 6, 2025 to Mar 6, 2026
- Accounts · 0 to 288Feb 7, 2025 to Jun 6, 2025
- Advisory activities · 3 to 4Feb 7, 2025 to Jun 6, 2025
- HNW clients · unset to 13.0Feb 7, 2025 to Jun 6, 2025
- Individual clients · unset to 80.0Feb 7, 2025 to Jun 6, 2025
- Financial planning clients · 26-50 to 0Feb 7, 2025 to Jun 6, 2025
- Discretionary RAUM · $0 to $101MFeb 7, 2025 to Jun 6, 2025
- HNW RAUM · unset to 77207140.0Feb 7, 2025 to Jun 6, 2025
- Individual RAUM · unset to 22970928.0Feb 7, 2025 to Jun 6, 2025
- Pension RAUM · unset to 467623.0Feb 7, 2025 to Jun 6, 2025
- RAUM · $0 to $101MFeb 7, 2025 to Jun 6, 2025
Signals
1 dated events
- ••• LockedJan 2, 2026 · 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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- ••• Lockedreportedpublished 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
- $69.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026