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
S••••••••• F••••••••• I••
Legal name S••••••••• F••••••••• I•••
Latest filing Sep 10, 2026
First filing on the tape Jun 30, 2025 · 6 filings
SEC status approved since Jun 23, 2025
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.1M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$210M as of Apr 24, 2026
Jun 30, 2025$0 then
HNW client RAUM$168M as of Apr 24, 2026
Oct 20, 2025$153M then
State-registered IARs (5.B.3)3 as of Apr 24, 2026
Jun 30, 20253 then
Employees (5.A)6 as of Apr 24, 2026
Jun 30, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $70.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $210MreportedItem 5.I
- Custody
- $146M, 150 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
- 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)
- 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$168M80%
- Individuals$41.9M20%
- Charitable organizations$82,2400.0%
- Individual clients
- 111reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 174reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $146M for 150 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• E••••• W••••Certified Financial Planner, Chartered Financial Consultant | Mckinney, Tx | Jun 27, 2025 | 30 y | 2 |
| B•••••• J• B••••••• | Mckinney, Tx | Jun 30, 2025 | 11 y | 1 |
| C•••• D•••••• B•••••••Certified Financial Planner | Mckinney, Tx | Aug 24, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••• D•••••• B••••••• from M•••• L••• • W•••••• L••Aug 24, 2026 · RIA to RIA
- B•••••• J• B••••••• from W••••••••• A•••••••• L••Jun 30, 2025 · RIA to a newly registered adviser
- E••• E••••• W•••• from W••••••••• A•••••••• L••Jun 27, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••••• A•••••••• L••Feb 3, 2026 · Mckinney, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• B••••••• J• · Director Of Operations And Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- W••••• E•••• E••••• · Managing Principalcontrolsince 10/2018 · 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 |
|---|---|---|---|---|---|
| Mckinney, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 5 to 6Apr 24, 2026 to Sep 10, 2026
- Financial planning clients · 101-250 to 101-250Apr 24, 2026 to Sep 10, 2026
- Related adviser · false to unsetApr 24, 2026 to Sep 10, 2026
- Related bank · false to unsetApr 24, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetApr 24, 2026 to Sep 10, 2026
- Related insurance company · false to unsetApr 24, 2026 to Sep 10, 2026
- Succession · false to unsetApr 24, 2026 to Sep 10, 2026
- Accounts · 651 to 174Oct 20, 2025 to Feb 5, 2026
- HNW clients · 57 to 62Oct 20, 2025 to Feb 5, 2026
- Individual clients · 113 to 111Oct 20, 2025 to Feb 5, 2026
- Assets in custody · unset to 146002215.0Oct 20, 2025 to Feb 5, 2026
- Custody of client assets · false to trueOct 20, 2025 to Feb 5, 2026
- Employees · 3 to 6Oct 20, 2025 to Feb 5, 2026
- Insurance-licensed employees · 3 to 0Oct 20, 2025 to Feb 5, 2026
- Financial planning clients · 0 to 101-250Oct 20, 2025 to Feb 5, 2026
- Discretionary RAUM · $210M to $210MOct 20, 2025 to Feb 5, 2026
- HNW RAUM · $153M to $168MOct 20, 2025 to Feb 5, 2026
- Individual RAUM · $56.7M to $41.9MOct 20, 2025 to Feb 5, 2026
- RAUM · $210M to $210MOct 20, 2025 to Feb 5, 2026
- Accounts · 0 to 651Jul 8, 2025 to Oct 20, 2025
- HNW clients · unset to 57.0Jul 8, 2025 to Oct 20, 2025
- Individual clients · unset to 113.0Jul 8, 2025 to Oct 20, 2025
- Financial planning clients · 0 to 0Jul 8, 2025 to Oct 20, 2025
- Discretionary RAUM · $0 to $210MJul 8, 2025 to Oct 20, 2025
- HNW RAUM · unset to 152500168.0Jul 8, 2025 to Oct 20, 2025
- Individual RAUM · unset to 56695030.0Jul 8, 2025 to Oct 20, 2025
- RAUM · $0 to $210MJul 8, 2025 to Oct 20, 2025
- Insurance-licensed employees · 0 to 3Jun 30, 2025 to Jul 8, 2025
Signals
1 dated events
- 2 advisors left W••••••••• A•••••••• L•• (Plano, TX) for S••••••••• F••••••••• I•• on the same dayFeb 3, 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 phone
- 888-249-0988reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 214-334-6261reportedpublic record, Form ADV, Sep 10, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $70.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026