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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Former SEC-registered adviser
W•••••••• W••••• M••••••••• C••
Latest filing Mar 26, 2024
First filing on the tape Feb 10, 2012 · 21 filings
SEC status approved since Jan 9, 2002
RAUM
$255M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$255M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$255M as of Mar 26, 2024
Feb 10, 2012$110M then
HNW client RAUM$237M as of Mar 26, 2024
Mar 19, 2018$149M then
State-registered IARs (5.B.3)4 as of Mar 26, 2024
Feb 10, 20120 then
Employees (5.A)6 as of Mar 26, 2024
Mar 14, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+5.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- $63.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $624,284derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$237M93%
- Individuals$18.4M7.2%
- Individual clients
- 60reported
- HNW clients
- 99reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 409reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- K•••• R• T•••• to B••••• P••••• A•••••••• L••Dec 2, 2024 · RIA to RIA
- M•••••• C••••••• T••••••• to B••••• P••••• A•••••••• L••Dec 2, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••• P••••• A•••••••• L••Dec 2, 2024 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D••••• P•••• · Ccocontrolsince 03/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 385 to 409Mar 23, 2023 to Mar 26, 2024
- Advisory employees · 4 to 3Mar 23, 2023 to Mar 26, 2024
- HNW clients · 93 to 99Mar 23, 2023 to Mar 26, 2024
- Individual clients · 52 to 60Mar 23, 2023 to Mar 26, 2024
- Discretionary RAUM · $195M to $228MMar 23, 2023 to Mar 26, 2024
- HNW RAUM · $203M to $237MMar 23, 2023 to Mar 26, 2024
- Individual RAUM · $20.9M to $18.4MMar 23, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $28.9M to $27.3MMar 23, 2023 to Mar 26, 2024
- RAUM · $224M to $255MMar 23, 2023 to Mar 26, 2024
- Accounts · 349 to 385Mar 11, 2022 to Mar 23, 2023
- HNW clients · 85 to 93Mar 11, 2022 to Mar 23, 2023
- Individual clients · 62 to 52Mar 11, 2022 to Mar 23, 2023
- Discretionary RAUM · $202M to $195MMar 11, 2022 to Mar 23, 2023
- HNW RAUM · $219M to $203MMar 11, 2022 to Mar 23, 2023
- Individual RAUM · $22.1M to $20.9MMar 11, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $39.3M to $28.9MMar 11, 2022 to Mar 23, 2023
- RAUM · $242M to $224MMar 11, 2022 to Mar 23, 2023
- Accounts · 359 to 349Mar 15, 2021 to Mar 11, 2022
- Advisory employees · 3 to 4Mar 15, 2021 to Mar 11, 2022
- HNW clients · 78 to 85Mar 15, 2021 to Mar 11, 2022
- Individual clients · 59 to 62Mar 15, 2021 to Mar 11, 2022
- Employees · 5 to 6Mar 15, 2021 to Mar 11, 2022
- Discretionary RAUM · $185M to $202MMar 15, 2021 to Mar 11, 2022
- HNW RAUM · $199M to $219MMar 15, 2021 to Mar 11, 2022
- Individual RAUM · $19.3M to $22.1MMar 15, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $33.4M to $39.3MMar 15, 2021 to Mar 11, 2022
- RAUM · $218M to $242MMar 15, 2021 to Mar 11, 2022
- Accounts · 350 to 359Jun 18, 2020 to Mar 15, 2021
- HNW clients · 77 to 78Jun 18, 2020 to Mar 15, 2021
- Individual clients · 60 to 59Jun 18, 2020 to Mar 15, 2021
- Employees · 6 to 5Jun 18, 2020 to Mar 15, 2021
- Financial planning clients · 0 to 1-10Jun 18, 2020 to Mar 15, 2021
- Discretionary RAUM · $174M to $185MJun 18, 2020 to Mar 15, 2021
- HNW RAUM · $151M to $199MJun 18, 2020 to Mar 15, 2021
- Individual RAUM · $23.4M to $19.3MJun 18, 2020 to Mar 15, 2021
- Non-discretionary RAUM · $0 to $33.4MJun 18, 2020 to Mar 15, 2021
- RAUM · $174M to $218MJun 18, 2020 to Mar 15, 2021
- Accounts · 127 to 350Mar 15, 2019 to Mar 30, 2020
- Advisory employees · 4 to 3Mar 15, 2019 to Mar 30, 2020
- HNW clients · 74 to 77Mar 15, 2019 to Mar 30, 2020
Signals
5 dated events
- W•••••••• W••••• M••••••••• C•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $255.3M)Feb 3, 2025 · Left the SEC roster · derived
- K•••• R• T•••• left W•••••••• W••••• M••••••••• C•• for B••••• P••••• A•••••••• L•• (registered 2024-12-17)Dec 2, 2024 · Advisor changed firm · fact
- M•••••• C••••••• T••••••• left W•••••••• W••••• M••••••••• C•• for B••••• P••••• A•••••••• L•• (registered 2024-12-17)Dec 2, 2024 · Advisor changed firm · fact
- 2 advisors left W•••••••• W••••• M••••••••• C•• (Dallas, TX) for B••••• P••••• A•••••••• L•• on the same dayDec 2, 2024 · Team lift-out · derived
- Joseph John Gurun (President) no longer on Schedule A of W•••••••• W••••• M••••••••• C•• (listed 2023-03-23, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026