DFX Intelligence

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SEC-registered adviser

P•••••• • T••••• W••••• M•••••••••

Independent wealth managerSan Angelo, TexasCRD 335178SEC 801-132268website IAPD

Legal name P•••••• • T••••• W••••• M••••••••• L••

Latest filing Mar 26, 2026

First filing on the tape Mar 26, 2025 · 3 filings

SEC status approved since Mar 26, 2025

RAUM

$318M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

87%

$276M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$63.7M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

RAUM$318M as of Mar 26, 2026

Mar 26, 2025$0 then

HNW client RAUM$238M as of Mar 26, 2026

Mar 26, 2025$0 then

State-registered IARs (5.B.3)5 as of Mar 26, 2026

Mar 26, 20255 then

Employees (5.A)6 as of Mar 26, 2026

Mar 26, 20256 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 5 to 5

Practice profile

derived from the filing of Mar 26, 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: $63.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 70derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $818,276derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 5.0derived1 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 assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody: $71.5M, 115 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 1derivedhalf or more of a firm's advisors moved here within 14 days
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$238M85%
Individuals$38.0M14%
Corporations and businesses$4.6M1.6%
Charitable organizations$802,1560.3%

Individual clients: 223reported
HNW clients: 127reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 389reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $71.5M for 115 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.87 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
K••• L•• T•••••	San Angelo, Tx	Mar 28, 2025	18 y	1
S•••••• J••••• P••••••	San Angelo, Tx	Mar 28, 2025	13 y	1
C•••••• D••••• R••••••••	San Angelo, Tx	Mar 28, 2025	38 y	2
R•••• J•• T•••••	San Angelo, Tx	Mar 28, 2025	16 y	1
F•••• M•••••	San Angelo, Tx	Mar 28, 2025	14 y	1

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

K••• L•• T••••• from D••••• I••••••••• S•••••••• I•••
Mar 28, 2025 · RIA to a newly registered adviser
S•••••• J••••• P•••••• from D••••• I••••••••• S•••••••• I•••
Mar 28, 2025 · RIA to a newly registered adviser
F•••• M••••• from D••••• I••••••••• S•••••••• I•••
Mar 28, 2025 · RIA to a newly registered adviser
C•••••• D••••• R•••••••• from D••••• I••••••••• S•••••••• I•••
Mar 28, 2025 · RIA to a newly registered adviser
R•••• J•• T••••• from D••••• I••••••••• S•••••••• I•••
Mar 28, 2025 · RIA to a newly registered adviser

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

5 joined from D••••• I••••••••• S•••••••• I•••
Jun 17, 2025 · San Angelo, Tx · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P••••••• S••••••• J••••• · Managing Member & Chief Compliance Officercontrol
since 12/2024 · owns 50% to 75%
T•••••• R••••• J•• · Managing Membercontrol
since 12/2024 · 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
San Angelo, Tx · principal	5	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 758 to 389
Jun 17, 2025 to Mar 26, 2026
Corporate clients · 11 to 20
Jun 17, 2025 to Mar 26, 2026
HNW clients · 122 to 127
Jun 17, 2025 to Mar 26, 2026
Individual clients · 214 to 223
Jun 17, 2025 to Mar 26, 2026
Assets in custody · $60.8M to $71.5M
Jun 17, 2025 to Mar 26, 2026
Discretionary RAUM · $279M to $318M
Jun 17, 2025 to Mar 26, 2026
HNW RAUM · $208M to $238M
Jun 17, 2025 to Mar 26, 2026
Individual RAUM · $33.7M to $38.0M
Jun 17, 2025 to Mar 26, 2026
RAUM · $279M to $318M
Jun 17, 2025 to Mar 26, 2026
Accounts · 0 to 758
Mar 26, 2025 to Jun 17, 2025
Charity clients · 0 to 1
Mar 26, 2025 to Jun 17, 2025
Corporate clients · 0 to 11
Mar 26, 2025 to Jun 17, 2025
HNW clients · 0 to 122
Mar 26, 2025 to Jun 17, 2025
Individual clients · 0 to 214
Mar 26, 2025 to Jun 17, 2025
Assets in custody · unset to 60786716.0
Mar 26, 2025 to Jun 17, 2025
Custody of client assets · false to true
Mar 26, 2025 to Jun 17, 2025
Insurance-licensed employees · 5 to 0
Mar 26, 2025 to Jun 17, 2025
Financial planning clients · unset to
Mar 26, 2025 to Jun 17, 2025
Discretionary RAUM · $0 to $279M
Mar 26, 2025 to Jun 17, 2025
HNW RAUM · $0 to $208M
Mar 26, 2025 to Jun 17, 2025
Individual RAUM · $0 to $33.7M
Mar 26, 2025 to Jun 17, 2025
RAUM · $0 to $279M
Mar 26, 2025 to Jun 17, 2025
Related adviser · true to false
Mar 26, 2025 to Jun 17, 2025

Signals

1 dated events

D••••• I••••••••• S•••••••• I•••'s advisors moved to P•••••• • T••••• W••••• M••••••••• (San Angelo, TX): 5 of 5 registered, on the same day
Jun 17, 2025 · Firm absorbed (people side) · 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: p••••••••.comreportedpublic record, Form ADV, Mar 26, 2026
Principal office phone: 325-486-8600reportedpublic record, Form ADV, Mar 26, 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: $63.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026