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
S•••••• S•••••••••
Legal name S•••••• S••••••••• I•••
Latest filing Jun 16, 2026
First filing on the tape Jan 18, 2012 · 50 filings
SEC status approved since Jun 24, 2010
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$2.6B individuals and HNW
Advisors
63
registered through the firm on IAPD
RAUM per advisor
$41.9M
derived; firm RAUM over IAPD count
Employees
68
68 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$2.6B as of Jun 16, 2026
Mar 22, 2012$126M then
HNW client RAUM$481M as of Jun 16, 2026
Mar 28, 2018$149M then
State-registered IARs (5.B.3)63 as of Jun 16, 2026
Mar 22, 20120 then
Employees (5.A)68 as of Jun 16, 2026
Mar 28, 201378 then
Private funds: no history
RAUM +38% over the last fiscal year+32% a year over threeIARs 67 to 63offices 13 to 18
Practice profile
derived from the filing of Jun 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $41.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $523,475derivedHNW RAUM over HNW clients
- Average account
- $423,027derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.3derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $2.4BreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.1B80%
- High-net-worth individuals$481M18%
- Corporations and businesses$47.9M1.8%
- Charitable organizations$1.0M0.0%
- Individual clients
- 5,279reported
- HNW clients
- 919reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 6,241reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=63.0derived
Advisors registered through the firm
63 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••••• M•••••Certified Financial Planner | Houston, Tx | Feb 2, 2009 | 39 y | 6 |
| C•••••• W•••••• R•••Certified Financial Planner, Chartered Financial Consultant | Houston, Tx | Mar 10, 2009 | 31 y | 4 |
| J••• E•••• F••••••••• | Houston, Tx | Apr 27, 2009 | 38 y | 3 |
| K•••••• R••••• B•••• | Houston, Tx | May 22, 2009 | 33 y | 1 |
| R•••••• C••••••• W•••• | Houston, Tx | Mar 12, 2010 | 24 y | 1 |
| J••• E••••• H•••••••• | Houston, Tx | Mar 30, 2010 | 18 y | 1 |
| C•••••• W•••••• B••••••Certified Financial Planner | Houston, Tx | Apr 9, 2010 | 21 y | 1 |
| K••• L•• J••• | Houston, Tx | Apr 16, 2010 | 19 y | 1 |
| J•••• H••••• R••••••Certified Financial Planner | Houston, Tx | Apr 19, 2010 | 19 y | 1 |
| W•••••• R••••••• H••••• | Houston, Tx | Jun 4, 2010 | 17 y | 1 |
| R•• A••• L•••••••Certified Financial Planner | Houston, Tx | Sep 10, 2010 | 24 y | 1 |
| T••••• P•••••• B••••••• | Houston, Tx | Dec 15, 2010 | 37 y | 3 |
| K••• A•••• F••••••Chartered Financial Consultant | Houston, Tx | Apr 13, 2011 | 27 y | 6 |
| G•••••• C•••• | Jasper, Tx | Aug 26, 2011 | 23 y | 3 |
| B•••••• F•••• L••••• | Houston, Tx | Oct 24, 2011 | 26 y | 1 |
| M•••••• C•••••• K••••• | Houston, Tx | Dec 22, 2011 | 15 y | 0 |
| B•••••• G••• A•••••Certified Financial Planner | Houston, Tx | Jun 20, 2012 | 38 y | 2 |
| K•••• B•••• R••••• | Houston, Tx | Jul 11, 2012 | 29 y | 2 |
| M•••• D••• S•••••Certified Financial Planner | Yoakum, Tx | Jul 16, 2012 | 42 y | 2 |
| S•••••• C•••••• M••••••••• | Houston, Tx | Sep 26, 2012 | 35 y | 2 |
| J••• E••• F••••••••• | Kerrville, Tx | Jul 17, 2013 | 14 y | 0 |
| C•••• B••••• B•••• | Houston, Tx | Oct 5, 2015 | 38 y | 3 |
| D•••• Y•••• | Houston, Tx | Feb 18, 2016 | 33 y | 4 |
| B•••• A•••• C••••• | Beaumont, Tx | Feb 19, 2016 | 18 y | 2 |
| R••• P•••••• M••••••••Certified Financial Planner | Houston, Tx | Oct 25, 2016 | 17 y | 1 |
| M•••••• L•••• | Southlake, Tx | Oct 25, 2016 | 17 y | 1 |
| G•••••• M•••••• T••••Certified Financial Planner | Southlake, Tx | Nov 1, 2016 | 30 y | 2 |
| E•••••••• E•••• C••••••••• | Houston, Tx | Mar 23, 2017 | 15 y | 0 |
| J••••••• N••• C••••••••• | Houston, Tx | Mar 23, 2017 | 14 y | 0 |
| M••••••• C•••••• F•••••••••Certified Financial Planner | Houston, Tx | Jun 1, 2017 | 10 y | 0 |
| C•••••• B••••• J••••••• | Houston, Tx | Aug 3, 2017 | 38 y | 2 |
| K•••• M••• R••••• | Dallas, Tx | Aug 10, 2017 | 41 y | 6 |
| M•••• H••••• | Dallas, Tx | Aug 10, 2017 | 46 y | 2 |
| M••••• S••• J••••• | Houston, Tx | Feb 21, 2018 | 41 y | 2 |
| I•••• M• K••••• | Jasper, Tx | Jun 6, 2018 | 23 y | 3 |
| R••••••• S••••••••• | Houston, Tx | Oct 3, 2018 | 10 y | 1 |
| J•••• M•••••• N•••••• | Houston, Tx | Dec 10, 2018 | 30 y | 0 |
| R•••••• N••• C•••••••••Certified Financial Planner | Houston, Tx | Dec 17, 2018 | 27 y | 1 |
| C••••••••• D••• M•••••••Certified Financial Planner | Westminster, Co | Feb 21, 2019 | 26 y | 6 |
| T••••• J••••• C••••••• | Houston, Tx | Apr 23, 2019 | 30 y | 3 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 1.6% of current headcount4 left over 36 months
Left, latest
- W•••••• C•••• P••••• H••••• to A•••••• C••••••••• G•••• A•••••••• L••May 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••• D••••• B•••• to L•• F•••••••• L••Jan 21, 2025 · Affiliated broker-dealer or bank to another
- J•••• L••• H••• to S•••••• W••••• M••••••••• L••Apr 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- P•••••• S••••••••• J••••••• to M•••••• C••••••• L••Dec 31, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- K••• M•••••• K••• to S••••••• S••••••••• L••Dec 1, 2021 · Other
- R••• P•••••••• K••••••• to A••••• A•• P••••••• S•••••••Sep 1, 2021 · Affiliated broker-dealer or bank to another
- R••••• P••••• S•••••••• to P••• W••• I••••••••• L••Jan 10, 2019 · RIA to a state-registered adviser
- L••• L•• G•••• to W•••• F•••••••• G•••• I•••Sep 7, 2016 · Other
- F•••• K•• W••• to N••• F•••••••• G••••• I•••Jun 1, 2016 · Other
- C•••••• D• F••••••• to I••••••••• A••••• I••••••••• M••••••••• L••Feb 16, 2016 · Other
- F•••• J••••• M•••••• to C•••••• W••••• M•••••••••Jan 9, 2015 · Other
- D••• M••••• H••••• to B••••••• L•••••• A•• N••• S••••••••• L•••Aug 1, 2013 · Other
- D••••• M••• T•••••• to B•••• I••••••••• A•••••••• L••Jan 31, 2013 · Other
- K••••• D• P•••••••• to M••••• S••••••Jan 23, 2013 · Other
- K•••• M••• R••••• to M•••••••• • M••••••• P••••••• W••••• M•••••••••Oct 8, 2012 · Other
Joined, latest
- L•• V••••• R•••••• from O••••••••• • C•• I•••Jul 21, 2025 · Affiliated broker-dealer or bank to another
- H••••••• S•••••• H••••••• from S•••• A••••• F••••••••• L••Jun 4, 2025 · RIA to affiliated broker-dealer or bank
- R••••• A•••• B•••••• from A•••••• W••••• S••••••••Feb 4, 2025 · RIA to affiliated broker-dealer or bank
- P•••••• M•••••• B•••••• from S•••• F•••••••• G••••Mar 18, 2024 · RIA to affiliated broker-dealer or bank
- S•••••• W•••• M•••••• from O••••• A••••••• C•••••••••Aug 8, 2023 · Other
- R••••• A••••• D•••••• from M••••• S••••••Mar 22, 2023 · Wirehouse to affiliated broker-dealer or bank
- P•••••• S••••••••• J••••••• from F••••••••• A•••• M•••••••••Mar 9, 2023 · RIA to affiliated broker-dealer or bank
- H••••••• G•••••• from H•••••••• P•••••• C•••••Jul 1, 2021 · RIA to affiliated broker-dealer or bank
- J•••• M•••••• W••••• from A•••••••• A•••••••• L••Oct 13, 2020 · Other
- H••••• A• T•••• from L•• F•••••••• L••Nov 14, 2019 · Other
- K••• M•••••• K••• from S••••••• A•••• M••••••••• L••Oct 31, 2019 · RIA to RIA
- P•••••• L•• E•••••• from L•••••••• I••••••••• C••••••• I•••Sep 20, 2019 · Other
- S•••••• S•••• K•••••• from L•••••••• I••••••••• C••••••• I•••Sep 17, 2019 · Other
- L•••• L•• H••••• from L•••••••• I••••••••• C••••••• I•••Sep 17, 2019 · Other
- R••• H••••••• C••••••• from L•••••••• I••••••••• C••••••• I•••Sep 17, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from L•••••••• I••••••••• C••••••• I•••Jan 8, 2019 · L••••••••, Ky · Firm absorbed
- 3 joined from W•• A•••••••• L•Aug 3, 2017 · Dallas, Tx
- 3 joined from L•• F•••••••• L••Nov 17, 2016 · Southlake, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• T••••• F•••••• · Financial Operations Principalcontrolsince 01/2002 · owns 10% to 25%
- S•••••• D•••• A•••••• · President / Secretarycontrolsince 01/2003 · owns 10% to 25%
- S•••••• P•••••• J••••• · Registered Options Prinicpalcontrolsince 01/2004 · owns 10% to 25%
- M•••••• R•••••• J••••• · Office Manager/Compliancesince 09/2014 · owns 10% to 25%
- Y••••• D•••• W••••• · Municipal S••••••••• Principalsince 04/2016 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Houston, Tx · principal | 63 | 2 | 1 | ||
| Dallas, Tx | 7 | 0 | 0 | ||
| Jasper, Tx | 6 | 0 | 0 | ||
| Westminster, Co | 5 | 1 | 0 | ||
| L••••••••, Ky | 5 | 0 | 0 | ||
| Southlake, Tx | 5 | 1 | 0 | ||
| Beaumont, Tx | 4 | 0 | 0 | ||
| Austin, Tx | 2 | 0 | 0 | ||
| Kerrville, Tx | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- L••••••••, KY7 employees
- Beaumont, TX6 employees
- Dallas, TX5 employees
- Dallas, TX4 employees
- Kerrville, TX3 employees
- Southlake, TX3 employees
- Austin, TX3 employees
- Dallas, TX1 employees
- , 1 employees
- Dallas, TX1 employees
- Aurora, CO1 employees
- Springfield, IL1 employees
- Jasper, TX1 employees
What changed
consecutive filings, newest first
- Accounts · 5,355 to 6,241Jun 24, 2025 to Jun 16, 2026
- Charity clients · 5 to 2Jun 24, 2025 to Jun 16, 2026
- Corporate clients · 11 to 41Jun 24, 2025 to Jun 16, 2026
- HNW clients · 689 to 919Jun 24, 2025 to Jun 16, 2026
- Individual clients · 4,572 to 5,279Jun 24, 2025 to Jun 16, 2026
- Pension plan clients · 78.0 to unsetJun 24, 2025 to Jun 16, 2026
- Discretionary RAUM · $2.0B to $2.6BJun 24, 2025 to Jun 16, 2026
- HNW RAUM · $456M to $481MJun 24, 2025 to Jun 16, 2026
- Individual RAUM · $1.5B to $2.1BJun 24, 2025 to Jun 16, 2026
- Pension RAUM · 17527426.0 to unsetJun 24, 2025 to Jun 16, 2026
- RAUM · $2.0B to $2.6BJun 24, 2025 to Jun 16, 2026
- Financial planning clients · 1-10 to 1-10Mar 31, 2025 to Jun 24, 2025
- Accounts · 4,727 to 5,355May 10, 2024 to Mar 31, 2025
- Advisory employees · 48 to 68May 10, 2024 to Mar 31, 2025
- Charity clients · 3 to 5May 10, 2024 to Mar 31, 2025
- Corporate clients · 13 to 11May 10, 2024 to Mar 31, 2025
- HNW clients · 423 to 689May 10, 2024 to Mar 31, 2025
- Individual clients · 4,149 to 4,572May 10, 2024 to Mar 31, 2025
- Pension plan clients · 139 to 78May 10, 2024 to Mar 31, 2025
- Employees · 67 to 68May 10, 2024 to Mar 31, 2025
- Insurance-licensed employees · 2 to 0May 10, 2024 to Mar 31, 2025
- State-registered IARs · 67 to 63May 10, 2024 to Mar 31, 2025
- Other offices · 13 to 18May 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.9B to $2.0BMay 10, 2024 to Mar 31, 2025
- HNW RAUM · $222M to $456MMay 10, 2024 to Mar 31, 2025
- Individual RAUM · $1.6B to $1.5BMay 10, 2024 to Mar 31, 2025
- Pension RAUM · $35.6M to $17.5MMay 10, 2024 to Mar 31, 2025
- RAUM · $1.9B to $2.0BMay 10, 2024 to Mar 31, 2025
- Accounts · 5,010 to 4,727Nov 1, 2023 to Apr 1, 2024
- Charity clients · 0 to 3Nov 1, 2023 to Apr 1, 2024
- Corporate clients · 48 to 13Nov 1, 2023 to Apr 1, 2024
- HNW clients · 508 to 423Nov 1, 2023 to Apr 1, 2024
- Individual clients · 4,299 to 4,149Nov 1, 2023 to Apr 1, 2024
- Pension plan clients · 155 to 139Nov 1, 2023 to Apr 1, 2024
- Discretionary RAUM · $1.8B to $1.9BNov 1, 2023 to Apr 1, 2024
- HNW RAUM · $521M to $222MNov 1, 2023 to Apr 1, 2024
- Individual RAUM · $1.2B to $1.6BNov 1, 2023 to Apr 1, 2024
- Pension RAUM · $27.2M to $35.6MNov 1, 2023 to Apr 1, 2024
- RAUM · $1.8B to $1.9BNov 1, 2023 to Apr 1, 2024
- Accounts · 4,816 to 5,010Nov 1, 2022 to Apr 7, 2023
Signals
12 dated events
- S•••••• S••••••••• reported RAUM $2.6B, up 30% from $2.0B (2025-06-24 to 2026-06-16)Jun 16, 2026 · RAUM change · derived
- W•••••• C•••• P••••• H••••• left S•••••• S••••••••• for A•••••• C••••••••• G•••• A•••••••• L•• (registered 2026-05-05)May 4, 2026 · a•••••• firm change · fact
- S•••••• S••••••••• reported 18 offices beyond its principal office, up from 13 (2024-05-10 to 2025-03-31)Mar 31, 2025 · Office count change · derived
- C••••• D••••• B•••• left S•••••• S••••••••• for L•• F•••••••• L•• (registered 2025-01-21)Jan 21, 2025 · a•••••• firm change · fact
- J•••• L••• H••• left S•••••• S••••••••• for S•••••• W••••• M••••••••• L•• (registered 2024-04-25)Apr 20, 2024 · a•••••• firm change · fact
- P•••••• S••••••••• J••••••• left S•••••• S••••••••• for M•••••• C••••••• L•• (registered 2024-10-08)Dec 31, 2023 · a•••••• firm change · fact
- S•••••• S••••••••• reported RAUM $1.8B, up 56% from $1.1B (2022-11-01 to 2023-04-07)Apr 7, 2023 · RAUM change · derived
- S•••••• S••••••••• reported RAUM $984.5M, up 63% from $604.0M (2021-03-08 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- S•••••• S••••••••• reported RAUM $604.0M, up 44% from $419.7M (2019-12-20 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- S•••••• S••••••••• reported 64 state-registered advisory representatives, up from 47 (2019-12-20 to 2020-03-29)Mar 29, 2020 · ria a•••••• headcount change · derived
- S•••••• S••••••••• reported RAUM $419.7M, up 40% from $300.9M (2018-12-11 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- S•••••• S••••••••• reported RAUM $300.9M, up 71% from $175.9M (2017-10-18 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••••• S••••••••• · Private Equityshared crd · intermediary
- S•••••• S••••••••• I••• · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- c•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 713-965-9510reportedpublic record, Form ADV, Jun 16, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
S•••••• S••••••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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