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

H••••• W••••• G•••• L••

Independent wealth managerHouston, TexasCRD 340589SEC 801-135429IAPD
Latest filing Jun 9, 2026
First filing on the tape Feb 27, 2026 · 2 filings
SEC status approved since Feb 27, 2026
RAUM
$366M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$338M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$183M
derived; firm RAUM over IAPD count
Employees
2
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$366M as of Jun 9, 2026
Feb 27, 2026$0 then
HNW client RAUM: $338M
State-registered IARs (5.B.3)2 as of Jun 9, 2026
Feb 27, 20262 then
Employees (5.A)2 as of Jun 9, 2026
Feb 27, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 9, 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
  • 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
$183MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$113MderivedHNW RAUM over HNW clients
Average account
$52.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.7%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$338M92%
  • Charitable organizations$28.3M7.7%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L•••••• D•••••• S•••••••Certified Financial PlannerHouston, TxMar 3, 202616 y2
A••••• B•••• S••••Houston, TxMar 3, 202612 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• A•••••• B•••• · Managing Member And Chief Compliance Officercontrol
      since 01/2026 · owns 50% to 75%
    • S•••••••• L••••••• D•••••• · Managing Membercontrol
      since 01/2026 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Houston, Tx · principal220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 7
      Feb 27, 2026 to Jun 9, 2026
    • Charity clients · unset to 1.0
      Feb 27, 2026 to Jun 9, 2026
    • HNW clients · unset to 3.0
      Feb 27, 2026 to Jun 9, 2026
    • Discretionary RAUM · $0 to $366M
      Feb 27, 2026 to Jun 9, 2026
    • HNW RAUM · unset to 337861642.0
      Feb 27, 2026 to Jun 9, 2026
    • RAUM · $0 to $366M
      Feb 27, 2026 to Jun 9, 2026
    Signals
    No event on the tape.
    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
    (713) 725-0696reportedpublic record, Form ADV, Jun 9, 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
    $183Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026