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.

Former SEC-registered adviser

Riverstone Wealth Management

Former SEC-registered adviserAustin, TexasCRD 40418SEC 801-63700IAPD
Latest filing Mar 5, 2013
First filing on the tape Feb 3, 2012 · 4 filings
RAUM
$380M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$380M as of Mar 5, 2013
Feb 3, 2012$161M then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 5, 2013
Feb 3, 20120 then
Employees (5.A): 23
Private funds: no history
RAUM +136% over the last fiscal yearIARs 0 to 20
Practice profile
derived from the filing of Mar 5, 2013; every figure names its basis
RAUM per advisor
$19.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$139,249derivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
10.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+136%derivedbetween 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, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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 securities (9.A.1.b)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,732reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Torry Christian Scott · Director, Municipal Principalcontrol
    since 12/2000 · owns less than 5%
  • Brian Edward Smith · President,Ceo, Director, Srop / Cropcontrol
    since 05/2011 · owns less than 5%
  • Brian Edward Smith · Presidentcontrol
    since 03/2003 · owns 25% to 50% of Riverstone Financial Group, Inc.
  • Thomas Duane Faught · Chief Compliance Officer
    since 05/2011 · owns less than 5%
  • Paul Kevin Sr Gautier · Director
    since 06/2004 · owns less than 5%
  • Kathleen Mallari · Finop
    since 11/2012 · owns less than 5%
  • Eduardo Valle · Shareholder
    since 05/2011 · owns less than 5%
Entity owners
  • Riverstone Financial Group, Inc. · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • San Antonio, TX
What changed
consecutive filings, newest first
  • Accounts · 892 to 2,732
    Nov 15, 2012 to Mar 5, 2013
  • BD registered reps · 20 to 23
    Nov 15, 2012 to Mar 5, 2013
  • Employees · 27 to 23
    Nov 15, 2012 to Mar 5, 2013
  • Insurance-licensed employees · 0 to 1
    Nov 15, 2012 to Mar 5, 2013
  • State-registered IARs · 24 to 20
    Nov 15, 2012 to Mar 5, 2013
  • Discretionary RAUM · $108M to $216M
    Nov 15, 2012 to Mar 5, 2013
  • Non-discretionary RAUM · $53.9M to $165M
    Nov 15, 2012 to Mar 5, 2013
  • RAUM · $161M to $380M
    Nov 15, 2012 to Mar 5, 2013
  • Advisory employees · unset to 20.0
    Jul 30, 2012 to Nov 15, 2012
  • BD registered reps · unset to 20.0
    Jul 30, 2012 to Nov 15, 2012
  • Employees · unset to 27.0
    Jul 30, 2012 to Nov 15, 2012
  • State-registered IARs · 0 to 24
    Jul 30, 2012 to Nov 15, 2012
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.
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