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

T••••••• C•••••• A•••••••• L••

Independent wealth managerHouston, TexasCRD 339604SEC 801-134938IAPD
Latest filing Mar 31, 2026
First filing on the tape Dec 4, 2025 · 2 filings
SEC status approved since Dec 11, 2025
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$154M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$154M as of Mar 31, 2026
Dec 4, 2025$0 then
HNW client RAUM$154M as of Mar 31, 2026
Dec 4, 2025$0 then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Dec 4, 20252 then
Employees (5.A)3 as of Mar 31, 2026
Dec 4, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$77.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
2derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$51.5MderivedHNW RAUM over HNW clients
Average account
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$154M100%
Individual clients
0reported
HNW clients
3reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
48reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••••• G•••••• A•••••••Certified Financial PlannerHouston, TxDec 17, 202521 y2
A••••• H••• S••••••Houston, TxDec 18, 202529 y10
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• M•••••••• B••••• · Chief Financial Officer Companycontrol
    since 10/2025 · owns less than 5%
  • S••••••• A•••••• H••• · Ceocontrol
    since 10/2025 · owns less than 5%
  • H•••• D••••• L•• · Chief Compliance Officer
    since 12/2025 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Houston, Tx · principal221
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • custody status changedChange between filings · filing Mar 31, 2026
    custody of client assets (Item 9.A): yes on the filing of 2025-12-04, no on the filing of 2026-03-31
    peers: independent wealth managers, $100M to $500M (5,676)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 0 to 48
    Dec 4, 2025 to Mar 31, 2026
  • HNW clients · 0 to 3
    Dec 4, 2025 to Mar 31, 2026
  • Custody of client assets · true to false
    Dec 4, 2025 to Mar 31, 2026
  • Discretionary RAUM · $0 to $154M
    Dec 4, 2025 to Mar 31, 2026
  • HNW RAUM · $0 to $154M
    Dec 4, 2025 to Mar 31, 2026
  • RAUM · $0 to $154M
    Dec 4, 2025 to Mar 31, 2026
Signals
1 dated events
  • S•••• M•••••• left T••••••• C•••••• A•••••••• L•• for P•• W••••• M••••••••• (registered 2026-08-10)
    Feb 6, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Principal office phone
(713) 250-4200reportedpublic record, Form ADV, Mar 31, 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
$77.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026