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

R••••••• W••••• M•••••••••

Independent wealth managerRockwall, TexasCRD 339856SEC 801-135636IAPD
Legal name R••••••• W••••• M••••••••• I••
Latest filing Jun 15, 2026
First filing on the tape Feb 23, 2026 · 2 filings
SEC status approved since Mar 20, 2026
RAUM
$305M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$305M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
4
4 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$305M as of Jun 15, 2026
Feb 23, 2026$0 then
HNW client RAUM: $89.3M
State-registered IARs (5.B.3)4 as of Jun 15, 2026
Feb 23, 20264 then
Employees (5.A)4 as of Jun 15, 2026
Feb 23, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 15, 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
204derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$714,135derivedHNW RAUM over HNW clients
Average account
$239,953derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • Individuals$216M71%
  • High-net-worth individuals$89.3M29%
Individual clients
487reported
HNW clients
125reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,273reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• P••• D•••••Certified Financial PlannerRockwall, TxMar 20, 202641 y3
J••• R•• H•••Certified Financial PlannerRockwall, TxMay 5, 202613 y3
R•••• E•••••••• D••••• S••••Certified Financial PlannerRockwall, TxMay 5, 202613 y2
Advisor movement
0 left, 3 joined in 12 months
net +3 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Rockwall, Tx · principal330
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1,273
        Feb 23, 2026 to Jun 15, 2026
      • HNW clients · unset to 125.0
        Feb 23, 2026 to Jun 15, 2026
      • Individual clients · unset to 487.0
        Feb 23, 2026 to Jun 15, 2026
      • Discretionary RAUM · $0 to $305M
        Feb 23, 2026 to Jun 15, 2026
      • HNW RAUM · unset to 89266931.0
        Feb 23, 2026 to Jun 15, 2026
      • Individual RAUM · unset to 216193016.0
        Feb 23, 2026 to Jun 15, 2026
      • RAUM · $0 to $305M
        Feb 23, 2026 to Jun 15, 2026
      Signals
      1 dated events
      • 2 advisors left Leo Wealth, LLC (Rockwall, TX) for Rockwall Wealth Management on the same day
        Jun 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
      Principal office phone
      972-771-1472reportedpublic record, Form ADV, Jun 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
      $102Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026