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DFW CAPITAL PARTNERS

NEW YORK, NY · CRD 157337 · IAPD ↗ · dfwcapital.com · 201-836-6000

$2.89BRegulatory AUM
18Advisory reps
25Employees
0Clients
n/aPlanning clients
7Private funds
6States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

51
April 2026 — DFW CAPITAL PARTNERS reported RAUM up 31% ($2.21B -> $2.89B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
April 2024 — DFW CAPITAL MANAGEMENT, LLC is now doing business as DFW CAPITAL PARTNERS.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
30
February 2024 — DFW CAPITAL MANAGEMENT, LLC filed an Item 4A succession naming DFW MANAGEMENT CORPORATION (CRD 157337) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
34
February 2024 — DFW CAPITAL MANAGEMENT, LLC notice-filed in CT, NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
35
February 2024 — DFW CAPITAL MANAGEMENT, LLC moved its main office from TEANECK, NJ to NEW YORK, NY.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
40
February 2024 — DFW CAPITAL MANAGEMENT, LLC added office(s): 3 -> 5 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
February 2024 — DFW MANAGEMENT CORPORATION is now doing business as DFW CAPITAL MANAGEMENT, LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.