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
A• C•••••• A•••••••
Legal name A• C•••••• A•••••••• L••
Latest filing Jun 23, 2026
First filing on the tape Nov 17, 2025 · 6 filings
SEC status approved since Nov 19, 2025
RAUM
$237M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$225M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$237M as of Jun 23, 2026
Nov 17, 2025$0 then
HNW client RAUM$225M as of Jun 23, 2026
Jan 16, 2026$0 then
State-registered IARs (5.B.3)1 as of Jun 23, 2026
Nov 17, 20251 then
Employees (5.A)2 as of Jun 23, 2026
Nov 17, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.4MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $166M, 27 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$225M95%
- Corporations and businesses$12.0M5.1%
- Individual clients
- 0reported
- HNW clients
- 24reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 63reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 27 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A••••• T••••• A•••• | Houston, Tx | Jan 23, 2026 | 22 y | 2 |
| L•••• H••••• F••• | Houston, Tx | Feb 9, 2026 | 19 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- L•••• H••••• F••• from H•••••••• C••••••• L••Feb 9, 2026 · RIA to a newly registered adviser
- A••••• T••••• A•••• from H•••••••• C••••••• L••Jan 23, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H•••••••• C••••••• L••Jan 8, 2026 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• A•••••• T••••• · Managing Member And Chief Compliance Officercontrolsince 07/2025 · 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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Apr 30, 2026 to Jun 23, 2026
- Corporate clients · 0 to 2Apr 30, 2026 to Jun 23, 2026
- Assets in custody · $162M to $166MApr 30, 2026 to Jun 23, 2026
- State-registered IARs · 2 to 1Apr 30, 2026 to Jun 23, 2026
- Discretionary RAUM · $227M to $225MApr 30, 2026 to Jun 23, 2026
- HNW RAUM · $227M to $225MApr 30, 2026 to Jun 23, 2026
- Non-discretionary RAUM · $0 to $11.5MApr 30, 2026 to Jun 23, 2026
- RAUM · $227M to $237MApr 30, 2026 to Jun 23, 2026
- Accounts · 0 to 63Jan 16, 2026 to Feb 19, 2026
- Advisory employees · 1 to 2Jan 16, 2026 to Feb 19, 2026
- Advisory activities · 1 to 2Jan 16, 2026 to Feb 19, 2026
- HNW clients · 0 to 24Jan 16, 2026 to Feb 19, 2026
- Assets in custody · unset to 161824680.0Jan 16, 2026 to Feb 19, 2026
- Custody of client assets · false to trueJan 16, 2026 to Feb 19, 2026
- Employees · 1 to 2Jan 16, 2026 to Feb 19, 2026
- HQ city · to HOUSTONJan 16, 2026 to Feb 19, 2026
- HQ state · to TXJan 16, 2026 to Feb 19, 2026
- State-registered IARs · 1 to 2Jan 16, 2026 to Feb 19, 2026
- Discretionary RAUM · $0 to $227MJan 16, 2026 to Feb 19, 2026
- HNW RAUM · $0 to $227MJan 16, 2026 to Feb 19, 2026
- RAUM · $0 to $227MJan 16, 2026 to Feb 19, 2026
- Related adviser · true to falseJan 16, 2026 to Feb 19, 2026
- Charity clients · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Corporate clients · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- HNW clients · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Individual clients · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Pension plan clients · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Pooled vehicle clients · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- HNW RAUM · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Individual RAUM · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Pension RAUM · unset to 0.0Nov 17, 2025 to Jan 16, 2026
- Pooled vehicle RAUM · unset to 0.0Nov 17, 2025 to Jan 16, 2026
Signals
1 dated events
- 2 advisors left H•••••••• C••••••• L•• (Houston, TX) for A• C•••••• A••••••• within 13 daysJan 8, 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
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 713-447-5856reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-447-5856reportedpublic record, Form ADV, Jun 23, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026