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
M•• F•••••••• A•••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Feb 13, 2026 · 2 filings
SEC status approved since Mar 16, 2026
RAUM
$294M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$285M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$58.8M
derived; firm RAUM over IAPD count
Employees
7
5 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$294M as of Jun 26, 2026
Feb 13, 2026$0 then
HNW client RAUM$195M as of Jun 26, 2026
Feb 13, 2026$0 then
State-registered IARs (5.B.3)5 as of Jun 26, 2026
Feb 13, 20262 then
Employees (5.A)7 as of Jun 26, 2026
Feb 13, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 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
- $58.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $456,572derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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 consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $286MreportedItem 5.I
- Custody
- $14.1M, 14 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)
- 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$195M66%
- Individuals$89.8M31%
- Charitable organizations$9.4M3.2%
- Individual clients
- 245reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 644reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $14.1M for 14 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M••••••• | Webster, Tx | May 8, 2026 | 13 y | 2 |
| N••••••• T••••• R•••••Certified Financial Planner | Webster, Tx | May 8, 2026 | 16 y | 1 |
| M••••• E•••••••• A•••••• | Webster, Tx | May 8, 2026 | 10 y | 1 |
| C••• E•••••• T••••• | Webster, Tx | May 8, 2026 | 30 y | 3 |
| L•••• W•••• D•••••Certified Financial Planner | Webster, Tx | May 8, 2026 | 28 y | 2 |
Advisor movement
0 left, 5 joined in 12 months
net +5 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
- C••• E•••••• T••••• from W•••• F•••• A•••••••May 8, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- N••••••• T••••• R••••• from W•••• F•••• A•••••••May 8, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• E•••••••• A•••••• from W•••• F•••• A•••••••May 8, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L•••• W•••• D••••• from W•••• F•••• A•••••••May 8, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••• M••••••• from W•••• F•••• A•••••••May 8, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from W•••• F•••• A•••••••May 21, 2026 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• L••••• W•••• · Member / Chief Compliance Officercontrolsince 10/2024 · owns 50% to 75%
- T•••••• C•••• E•••••• · Membercontrolsince 10/2024 · 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 |
|---|---|---|---|---|---|
| Webster, Tx · principal | 5 | 5 | 0 |
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 Jun 26, 2026custody of client assets (Item 9.A): no on the filing of 2026-02-13, yes on the filing of 2026-06-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 0 to 644Feb 13, 2026 to Jun 26, 2026
- Advisory employees · 2 to 5Feb 13, 2026 to Jun 26, 2026
- BD registered reps · 2 to 0Feb 13, 2026 to Jun 26, 2026
- Charity clients · 0.0 to unsetFeb 13, 2026 to Jun 26, 2026
- HNW clients · 0 to 86Feb 13, 2026 to Jun 26, 2026
- Individual clients · 0 to 245Feb 13, 2026 to Jun 26, 2026
- Assets in custody · unset to 14149989.0Feb 13, 2026 to Jun 26, 2026
- Custody of client assets · false to trueFeb 13, 2026 to Jun 26, 2026
- Employees · 2 to 7Feb 13, 2026 to Jun 26, 2026
- Insurance-licensed employees · 2 to 0Feb 13, 2026 to Jun 26, 2026
- State-registered IARs · 2 to 5Feb 13, 2026 to Jun 26, 2026
- Discretionary RAUM · $0 to $294MFeb 13, 2026 to Jun 26, 2026
- HNW RAUM · $0 to $195MFeb 13, 2026 to Jun 26, 2026
- Individual RAUM · $0 to $89.8MFeb 13, 2026 to Jun 26, 2026
- RAUM · $0 to $294MFeb 13, 2026 to Jun 26, 2026
Signals
1 dated events
- 5 advisors left W•••• F•••• A••••••• (Houston, TX) for M•• F•••••••• A•••••••• L•• on the same dayMay 21, 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
- 281-938-1111reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/mdt-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- m••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 281-938-1111reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- m••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m••••.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
- $58.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026